All of the following documentation, if applicable to the scored project, is submitted to the department:
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.
Legal opinion regarding land ownership and acquisition of easements and rights–of–way necessary for the project.
Items related to bids for each prime contract including all of the following:
An engineer's evaluation of the bids, including bid tabulation, and a recommendation.
If an applicant awards a construction or equipment contract to other than the lowest bidder, one of the following:
Written documentation of the reasons why the lowest bidder is considered nonresponsive or nonresponsible.
A legal opinion stating that the award to other than the lowest responsive, responsible bidder meets the requirements of municipal bidding law.
Evidence of bid advertisement, including appropriate wage rate language, when applicable.
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.
A bound 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.
Documentation of the construction start date and expected substantial and final completion dates.
NR 162.07 Note
Note: A notice of award and a notice to proceed are preferred but not required for this documentation.
A request for disbursement and required supporting invoices, payoff statements, 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.
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.
Completed federal forms, if applicable, including federal forms related to compliance with DBE solicitation and utilization requirements.
An executed intermunicipal agreement, if 2 or more municipalities will discharge to or through the same treatment works or BMP.
A copy of the adopted user charge system and proof that the municipality adopted the user charge system.
A copy of the executed construction management contract with an architectural or engineering firm, if costs are requested for this activity.
A resolution declaring intent to reimburse municipal accounts with financial assistance proceeds, as described in U.S. treasury reimbursement regulations 26 CFR 1.150
Documentation of compliance with federal requirements, when applicable, which may include certification of compliance with Davis-Bacon wage rate requirements, use of American iron and steel in the project, and cost, effectiveness, energy efficiency and water efficiency of the selected design.
The department has approved the plans and specifications and the parallel cost percentage for the scored project, and complied with the Wisconsin environmental policy act requirements pursuant to the procedures in ch. NR 150
The scored project has met the priority requirements of subchs. III
, as applicable.
The applicant has the legal, institutional, managerial, technical, and financial capability to ensure adequate construction, operations, and maintenance of the treatment works or BMP throughout the applicant's jurisdiction.
DOA finds that the municipality is likely to be able to meet the terms and conditions for receiving financial assistance under ch. Adm 35
and s. 281.59
The applicant has received, or has applied for, permits required by the department for the scored project, including those under chs. 30
For an runoff treatment works or BMP, the applicant agrees to do the following:
Adopt a municipal storm water management plan for new development and redevelopment, consistent with performance standards developed by the department under s. 281.33 (3)
NR 162.07 Note
The performance standards are established in ch. NR 151
Adopt a storm water management zoning ordinance for new development and redevelopment, when required by the department.
NR 162.07 History
History: CR 14-043
: cr. Register June 2015 No. 714
, eff. 7-1-15; correction in (1) (j) made under s. 35.17
, Stats., Register June 2015 No. 714
Requirements for a user charge system and sewer use ordinance. NR 162.08(1)
Any user charge system and applicable ordinances adopted by a recipient shall be maintained in accordance with s. 281.58 (14) (b) 7.
, Stats., or s. NR 216.06 (2) (c)
, for the useful life of a treatment works or BMP. The applicant shall submit user charge information to the department and shall certify to the department that the user charge system meets all of the applicable requirements in this subsection.
A user charge system and sewer use ordinance is required of any wastewater treatment works project receiving a loan under this chapter.
A user charge system is required of any storm water project receiving a revenue pledge loan under this chapter.
A user charge system is required of any storm water project that requires an intermunicipal agreement under s. NR 162.06 (2) (h)
. In this case, “users" means the municipalities covered by the agreement.
(3) User charge system requirements.
Any user charge system shall do all of the following:
Require that each user or user class pays its proportionate share of operation and maintenance costs, including replacement costs, of the treatment works or BMP within the recipient's service area.
Provide that the costs of operation and maintenance for all flow not directly attributable to users be distributed proportionally among all users of the recipient's treatment works or BMP.
Require that the charges for users or user classes generate sufficient revenue to pay costs identified in par. (e) 2.
Require that the recipient establish an equipment replacement fund, maintain the equipment replacement fund as a separate fund of the municipality, and make deposits to this fund on an annual basis or maintain a balance acceptable to the department. This fund is to be used for the costs of replacing equipment related to the treatment works or BMP, or conducting maintenance of a runoff treatment works or BMP. The municipality may also use the equipment replacement fund for unexpected unbudgeted costs incurred for continuing effective operations of the treatment works. The municipality shall periodically make appropriate adjustments to the equipment replacement fund deposit schedule or balance, including adjustments needed to bring the fund balance back up following an expenditure from the fund.
Establish a financial management system that accounts for all of the following:
Costs of operation and maintenance of the treatment works or BMP, including an appropriate amount of money to be deposited annually into the equipment replacement fund.
Debt service costs, including debt service reserves, and debt coverage requirements. Debt coverage means the ratio of net revenue available for debt service to the average annual debt service requirements of an issue of revenue bonds.
Require the review, at least once every 2 years, of the wastewater or runoff contribution of users and user classes, the total costs of operation and maintenance of the treatment works or BMP, and the user charge system.
Require that each user that discharges any toxic pollutants or high strength wastes to a wastewater treatment works pay for any increased costs associated with the discharge.
Provide that each user be notified, at least annually, in conjunction with a regular bill, of the rate of charge attributable to service provided by the treatment works or BMP.
(4) Municipal responsibilities.
The municipality shall do all of the following:
Incorporate the user charge system in one or more municipal ordinances or other legislative enactments, and into intermunicipal agreements if the project serves more than one municipality.
Terminate any term or condition of any pre–existing agreement or contract between the recipient and a user that is inconsistent with the requirements of this section.
Maintain records to document compliance with this section.
For a wastewater treatment works, enact and enforce a sewer use ordinance that does all of the following:
Prohibits any new connections from sources that will add substantial infiltration or inflow into the sanitary sewer system.
Requires that new sewers and connections to the sewer system be properly designed and constructed.
Requires that wastewater introduced into the treatment works not endanger public safety or the environment, not jeopardize the physical integrity of the treatment works, not cause substantial upset to the treatment process, and not cause a violation of effluent or water quality limitations.
Controls and monitors industrial discharges by requiring control manholes, pretreatment, and grease, oil and sand interceptors.
Provides a methodology for establishing sewer use rates that complies with sub. (1)
. A municipality may include an optional class of low income residential users, with incomes below a level established by the municipality, who are charged at a lower rate than other residential users.
For an runoff treatment works or BMP, demonstrate adequate legal authority established by statute, ordinance, or series of contracts to meet the provisions of s. NR 216.06 (2) (c)
(5) Department review.
The department may annually review a recipient's user charge system to ensure that it continues to meet the requirements of this section.
NR 162.08 History
History: CR 14-043
: cr. Register June 2015 No. 714
, eff. 7-1-15.
Procurement of professional services and construction contracts by recipients under this chapter shall be in accordance with state and local law and federal law applicable to the project. No contract may be awarded to any person or organization that does not operate in conformance with state and federal civil rights and equal opportunity laws.
(2) Financial assistance recipient responsibility.
The recipient is responsible for the administration and successful completion of the project as well as acceptance of the terms of the financial assistance agreement or interest rate subsidy agreement.
Contractors may earn only fair and reasonable profits under contracts for projects receiving CWFP assistance. Profit included in a formally advertised, competitively bid, fixed price or unit price construction contract is presumed to be reasonable.
(4) Solicitation of disadvantaged business enterprises. NR 162.09(4)(a)(a)
Whenever a recipient or its prime contractor is procuring construction, equipment, raw materials, or supplies for a project funded wholly or in part with CWFP financial assistance, they shall make good faith efforts to provide DBEs opportunities to compete for participation in the project. Recipients and their prime contractors shall comply with DBE regulations contained in s. 40 CFR part 33
in the manner determined by the CWFP. Failure to comply with DBE regulations and requirements may result in a sanction as defined in par. (b)
. Requirements may include any of the following activities:
Use outreach and recruitment activities to make DBEs aware of contracting opportunities, including any of the following activities:
Including a sentence in bid advertisements that encourages DBEs to submit bids or proposals, and submitting a copy of the advertisement to DNR with evidence of publishing.
Contacting DBEs via telephone, faxed or mailed letter, e-mail, or other methods of correspondence, informing the DBEs of the project and encouraging their participation, and submitting documentation of those contacts to DNR.
Advertising the project in trade publications, and submitting a copy of the advertisement and evidence of publishing to DNR.
Arrange timeframes for contracts and establish delivery schedules when possible in a way that encourages and facilitates participation by DBEs in the competitive process, including posting solicitations for bids or proposals for at least 30 calendar days before the bid or proposal closing date, when possible.
Divide total project requirements into smaller tasks or quantities, when economically feasible, to permit maximum participation by DBEs in the competitive process.
Consider contracting with a consortium of DBEs when a contract is too large for one DBE to handle individually.
Use the services and assistance of the federal small business administration and the minority business development agency of the department of commerce.
Include in project bidding documents DBE information prescribed by the department.