NR 162.04 History
History: CR 22-045: cr.
Register October 2023 No. 814, eff. 11-1-23; correction in (1) (a) 11. d., 24. g. made under s.
35.17, Stats.,
Register October 2023 No. 814.
NR 162.05(1)(1)
Notice of intent to apply submittal. If required by the department, a municipality shall submit notice of its intent to apply for financial assistance via the department's online application systems by any applicable deadline set in the CWFP annual intended use plan under s.
NR 162.02 (1). The municipality or its designated representatives shall complete the requirements established by the department for gaining access to and submitting information through the department's online application systems. The department may require the municipality to submit through the online systems any of the following:
NR 162.05 Note
Note: Instructions regarding the online application systems are available on the Environmental Improvement Fund website at dnr.wi.gov/Aid/EIF.html.
NR 162.05(1)(a)
(a) A clear, concise, and comprehensive project description that includes the problem or concern being addressed, the general solution proposed through a single project, and detailed information regarding what structures are to be constructed, what equipment is to be purchased and installed, and project location, including detailed information for purposes of eligibility determinations regarding storm sewer or watermain construction being done at the same time as sanitary sewer construction on the same block of a street or in the same intersection.
NR 162.05(1)(c)
(c) An estimate of the total project cost and what amount of the cost is likely to be requested from the CWFP.
NR 162.05(1)(d)
(d) Estimated or actual dates related to the bidding and construction timeline of the project.
NR 162.05(1)(dm)
(dm) Date and number of the department approval of plans and specifications for each set of plans and specifications associated with the project, if available at time of intent to apply or priority evaluation and ranking information submittal.
NR 162.05(1)(e)
(e) Any other information required to complete the submission in the department's online application systems.
NR 162.05(2)
(2)
Facilities plan. A municipality shall submit a facilities plan or other applicable plan to the department for approval. The municipality shall receive approval of the facilities plan or other applicable plan prior to submitting an application for financial assistance under this subchapter.
NR 162.05(3)
(3)
Application procedures. A municipality shall apply for financial assistance in accordance with s.
281.58 (9), Stats. All applicants must submit the required information and documentation through the department's online application system.
NR 162.05 Note
Note: Directions regarding online submittal are available on the Environmental Improvement Fund website at
https://dnr.wisconsin.gov/aid/EIF.html. An interest rate subsidy application is a different form and must be submitted in accordance with s.
NR 162.40.
NR 162.05(4)
(4)
Contents of application. The applicant shall submit a complete application, including each of the following items, if applicable to the project:
NR 162.05(4)(b)
(b) Construction plans and specifications submitted to the department in accordance with chs.
NR 108 and
110 that are approvable under ch.
281, Stats.
An applicant may be denied funding if the applicant does not provide appropriately complete project plans and specifications to the department prior to or with the application. The applicant shall submit a copy of approvable plans and specifications with the application in addition to the plans and specifications submitted to the department for plan review under chs.
NR 108 and
110.
NR 162.05(4)(c)
(c) Completion of the required fields in and upload of required documentation to the department's online application system, including all of the following:
NR 162.05(4)(c)1.
1. A clear, concise, and comprehensive project description, including any modifications to the project description previously provided in the online application systems.
NR 162.05(4)(c)3.
3. Identification of known ineligible costs included within the total budget provided in the online application.
NR 162.05(4)(c)4.
4. Information regarding assistance received or expected from another funding source.
NR 162.05 Note
Note: The project description may already be included in the online application as it should transfer over to the application if previously provided with intent to apply or priority evaluation and ranking information. When that transfer of information is successful, the applicant must only provide information regarding any modifications to the project description that is already included in the application rather than providing an additional complete project description.
NR 162.05 Note
Note: Under s.
NR 162.04 (2) (om), the CWFP shall not provide any financial assistance for a project if construction costs are not included as part of the project costs to be funded by the CWFP, with the exception of certain situations in which other funding sources are also participating in the financing of the project or the project is the purchase of a package wastewater treatment plant or solely the purchase of equipment in a phase of a multi-phase project.
NR 162.05(4)(d)
(d) Items or information for compliance with federal regulations identified by the department in the online application system as required for a complete application; these items may include documentation of compliance with wage rate laws, completed federal forms, and information regarding green project components, cost and effectiveness of the project, or procuring American-made products for use in the project.
NR 162.05(4)(e)
(e) A copy of each executed engineering contract and any associated existing contract amendments for planning and design of the project if funds are requested for planning and design in the application project budget.
NR 162.05(4)(f)
(f) A copy of each executed engineering contract and any associated contract amendments for construction management if funds are requested for construction management in the application project budget and the contract or amendment is available at the time of application submittal.
NR 162.05(4)(g)
(g) A copy of each executed non-engineering professional services contract related to the project and any associated amendments if funds are requested in the application project budget for services included in the contract and the contract or amendment is available at the time of application submittal.
NR 162.05(4)(h)
(h) A proposed or an executed intermunicipal agreement for each municipality served by the project when 2 or more municipalities utilize shared or interconnected wastewater treatment works. This paragraph does not apply to a metropolitan sewerage district in which all municipalities being served have been annexed into the sewerage district or to a situation in which the intermunicipal exception established in sub.
(5) has been met. This paragraph does apply to biosolids or other treatment facilities when the applicant has ownership in the facility or has purchased capacity in the facility. Prior to receiving financial assistance, the applicant shall ensure that each required intermunicipal agreement does all of the following that are applicable to the project:
NR 162.05(4)(h)1.
1. Identify ownership for each individual portion of the wastewater treatment works, including wastewater treatment plants, interceptors, sewage collection systems, lift stations, biosolids facilities, and privately-owned treatment works.
NR 162.05(4)(h)2.
2. Establish the term of the intermunicipal agreement unless it is effective in perpetuity. If the intermunicipal agreement is new or being negotiated specifically for the project for which financial assistance is being requested, the term shall be for at least the term of the loan. If there is an existing intermunicipal agreement in place that meets the requirements of this paragraph but expires during the term of the loan, the municipality shall renegotiate or extend the existing agreement prior to the end of its term and maintain the intermunicipal agreement throughout the term of the loan.
NR 162.05(4)(h)3.
3. Demonstrate the basis for generating revenue for operation, maintenance, and replacement costs based on actual use or another equitable method, and state the parties that are responsible for paying these charges.
NR 162.05(4)(h)4.
4. Indicate the method for generating revenue for capital costs and indicate who is responsible for payment.
NR 162.05(4)(h)5.
5. Indicate that the owner of the regional facility shall accept the applicant's wastewater and identify the boundary from which the applicant's discharge originates.
NR 162.05(4)(i)
(i) Financial information required by DOA to be used in determining the affordability of the proposed project, the financial capability of the municipality, and the adequacy of the pledge of revenues to repay the obligation securing the proposed financial assistance.
NR 162.05(4)(j)
(j) A copy of the existing user charge system and sewer use ordinance, and information regarding the proposed user charge system and sewer use ordinance if they are new or if the existing user charge system or sewer use ordinance will be revised for the CWFP project.
NR 162.05(4)(k)
(k) Any existing or proposed contracts with users of the wastewater treatment works.
NR 162.05(4)(L)
(L) Documentation applicable to U.S. internal revenue service tax information as indicated in the department's online application system.
NR 162.05(4)(m)
(m) A resolution declaring intent to reimburse municipal accounts with financial assistance proceeds that meets the requirements established in U.S. treasury reimbursement regulations
26 CFR 1.150-2.
NR 162.05(4)(n)
(n) A copy of the debt instrument of any interim debt to be refinanced with CWFP financial assistance.
NR 162.05(4)(o)
(o) A completed design life calculation worksheet if the applicant at the time of application requests or is interested in a loan term that is greater than 20 years. All of the following apply to applicants requesting a loan term greater than 20 years:
NR 162.05(4)(o)1.
1. An applicant requesting a loan term greater than 20 years shall pledge system revenues to secure the CWFP loan.
NR 162.05(4)(o)2.
2. A loan term greater than 20 years is not available for projects for which the applicant pledges general obligation bonds to secure the loan.
NR 162.05(5)
(5)
Intermunicipal exception. The department may waive the requirement of an intermunicipal agreement if an order under s.
281.43 (1), Stats., has been issued, or if the department has obtained executed intermunicipal agreements for subscribing municipalities and the receiving municipality whose annual debt payments, design flow capacities, design suspended solids capacities, and wastewater projects' design biochemical oxygen demand (BOD) capacities total at least 90 percent of the total for the regional treatment works or BMP.
NR 162.05(6)
(6)
Application submittal deadline. In fiscal years for which the department sets an application submittal deadline for all or a specific type of funding, the applicant shall submit the items and information required in the department's online application system by the application submittal deadline in order to be considered eligible to obtain financial assistance from funds available during the funding cycle for which the deadline is set. The department may set application submittal deadlines in the intended use plan.
NR 162.05(7)
(7)
Application acceptance. The department shall accept an application as complete after all of the following occur:
NR 162.05(7)(a)
(a) The department determines that it received all the applicable items and information required under sub.
(4) for the scored project. The department may consider a submitted application complete for purposes of acceptability if the application is otherwise complete but a wrong document was uploaded to the department's online application system, the proper document existed at the time of application submittal, and the applicant uploads the proper document to the system within a timeframe specified by the department.
NR 162.05(7)(b)
(b) The department receives a certification worksheet documenting DOA's initial determination that there is a reasonable likelihood the municipality will be financially capable of repaying a loan from the CWFP.
NR 162.05(8)
(8)
Projects funded jointly with other agencies. If a project is receiving funding from another state or federal agency, and the department is unable to obtain the same type of documentation typically submitted for a specific project requirement due to differences between agencies in items or procedures, including a project that is let with a group of projects by the Wisconsin department of transportation or a project for which the contents of a contract includes language specific to another agency, the department may determine what documentation is appropriate to satisfy the application requirements.
NR 162.05(9)
(9)
Deadline for signing financial assistance agreement. The department shall set in the CWFP annual intended use plan a deadline for signing a financial assistance agreement. An applicant shall sign the financial assistance agreement within the timeframe set by the department. An applicant shall time its submittal of the application accordingly. If a financial assistance agreement is not signed within the established timeframe, the applicant's project shall lose its CWFP allocated subsidy.
NR 162.05 History
History: CR 22-045: cr.
Register October 2023 No. 814, eff. 11-1-23; correction in (4) (b) made under 35.17, Stats.,
Register October 2023 No. 814.
NR 162.055
NR 162.055 Land ownership and easements documentation. NR 162.055(1)(1)
For projects for which an applicant requests financial assistance through the application process under s.
NR 162.05 or
162.24, the applicant shall sign and submit a certification regarding ownership of the land or required easements and permits for access to the land, or both, on which the project takes place.
NR 162.055(2)
(2) The department may require the applicant in addition to or in lieu of a certification under sub.
(1) to submit a legal opinion when it is necessary, as determined by the department, to establish land ownership or easement rights, or both, of the project site.
NR 162.055 Note
Note: Examples of when the department may require a legal opinion in addition to or in lieu of a certification include projects for which new land is being purchased by the applicant or the applicant is extending its facilities onto land on which no municipally owned infrastructure was previously located.
NR 162.055 History
History: CR 22-045: cr.
Register October 2023 No. 814, eff. 11-1-23; correction in numbering of (1) made under s.
13.92 (4) (b) 7., Stats.,
Register October 2023 No. 814.
NR 162.06
NR 162.06 Financial assistance requirements. Before executing a financial assistance agreement for any project under this subchapter, the department shall determine that all of the applicable requirements of s.
NR 162.05 are met and that all of the following are satisfied:
NR 162.06(1)
(1) All of the following documentation, if applicable to the scored project, is submitted to the department:
NR 162.06(1)(b)
(b) Initial flow documentation, if the scored project or a portion of the scored project is to construct a sewage collection system in or extend an interceptor to an unsewered area.
NR 162.06(1)(c)
(c) A certification or legal opinion regarding land ownership and acquisition of easements and rights-of-way necessary for the project. The certification or legal opinion must include all the applicable information required under s.
NR 162.055.
NR 162.06(1)(d)
(d) Items related to bids for each prime contract, including all of the following:
NR 162.06(1)(d)2.
2. An engineer's evaluation of the bids, including bid tabulation and an award recommendation.
NR 162.06(1)(d)3.
3. If an applicant awards a construction or equipment contract to a contractor other than the lowest bidder, any of the following:
NR 162.06(1)(d)3.a.
a. Written documentation of the reasons why the lowest bidder is considered nonresponsive or not responsible.
NR 162.06(1)(d)3.b.
b. A legal opinion stating that the award to a contractor other than the lowest responsive, responsible bidder meets the requirements of municipal bidding law.
NR 162.06(1)(d)5.
5. Evidence of bid advertisement, including a copy of the affidavit of publication and a copy of the advertisement, which should include appropriate language regarding DBEs submitting bid proposals, American-made product requirements, and wage rates, when applicable.
NR 162.06(1)(d)7.
7. Evidence of award of the construction contract by the municipality, which may be a notice of award, a municipal resolution, or minutes from the municipal meeting at which the determination of award was made.
NR 162.06(1)(d)8.
8. A complete copy of the executed construction contract with up-to-date copies of all addenda, attachments, appendices, appropriate Davis-Bacon or other wage rate information, and all other applicable documentation that makes the contract complete. If available, the contract submittal should be a copy of the conformed contract.
NR 162.06(1)(d)9.
9. Documentation of the construction start date and expected substantial and final completion dates.
NR 162.06 Note
Note: A notice of award and a notice to proceed are preferred but not required for this documentation.
NR 162.06(1)(d)10.
10. All negotiated pending change orders and all executed change orders.
NR 162.06(1)(e)
(e) A request for disbursement and required supporting invoices, payoff statements for interim debt, and other applicable documentation of expenditures, including a copy of the title or deed for land purchased for the project if the applicant is requesting financial assistance for land purchase costs, and complete copies of any contract change orders for which costs are included in the request for disbursement, along with a copy of the department construction management engineer's change order approval.
NR 162.06(1)(f)
(f) Evidence that a bond counsel is drafting legal documents related to the authorization and issuance of bonds for action at a municipal meeting prior to the scheduled loan closing.
NR 162.06(1)(g)
(g) Completed federal forms, if applicable, and any other required documentation of compliance with federal requirements, which may include certification of compliance with Davis-Bacon wage rate requirements, certification of use of American-made products in the project, and the cost, effectiveness, energy efficiency, and water efficiency of the selected design.
NR 162.06(1)(i)
(i) An executed intermunicipal agreement or multiple executed agreements described under s.
NR 162.05 (4) (h), if 2 or more municipalities utilize shared or interconnected wastewater treatment works.
NR 162.06(1)(k)
(k) A copy of the adopted user charge system and proof that the municipality adopted the user charge system.
NR 162.06(1)(L)
(L) A copy of each executed construction management or other professional services contract associated with the project if funds are requested for services included in the contract.
NR 162.06(1)(m)
(m) A completed design life calculation worksheet with any backup documentation required by the department if, after the application submittal, the applicant requested a loan term greater than 20 years. All of the following apply to applicants requesting a loan term greater than 20 years:
NR 162.06(1)(m)1.
1. The applicant shall submit the design life calculation worksheet at least 9 weeks prior to loan closing.
NR 162.06(1)(m)2.
2. The applicant shall pledge system revenues to secure the CWFP loan.
NR 162.06(1)(m)3.
3. A loan term greater than 20 years is not available for projects for which the applicant pledges general obligation bonds to secure the loan.
NR 162.06 Note
Note: The design life calculation worksheet is an excel spreadsheet that is available on the department's website at
https://dnr.wisconsin.gov/aid/documents/EIF/Forms/forms.html#cwform. The department strongly encourages applicants to submit the design life calculation worksheet with the rest of its application submittal in order to allow enough review and response time for the worksheet contents. Later submittal of the design life calculation worksheet may delay a loan closing.
NR 162.06(2)
(2) The department has done all of the following, if applicable to the scored project:
