NR 162.16(1) (1)Decision of the department. Except as otherwise provided by law, any dispute arising under subch. II or V prior to the execution of a financial assistance agreement shall be decided in writing by the department. The department shall serve a copy of the decision on the applicant personally or by mail.
NR 162.16(2) (2)Review of the decision. A final decision of the department may be reviewed pursuant to subch. III of ch. 227, Stats., and ch. NR 2.
NR 162.16 History History: CR 14-043: cr. Register June 2015 No. 714, eff. 7-1-15.
NR 162.17 NR 162.17Records and record retention.
NR 162.17(1)(1)Requirements. The recipient shall maintain books, documents, papers, records, and accounting procedures in accordance with generally accepted accounting principles, governmental accounting standards board requirements, or other method of accounting accepted by the department, the financial assistance agreement, and ch. Adm 35, and retain them in accordance with subch. II of ch. 19, Stats. The recipient shall require contractors, including contractors for professional services, to maintain books, documents, papers, and records related to the project that are necessary for the recipients' compliance with this section.
NR 162.17(2) (2)Inspection. The department or its agents may, during normal business hours, inspect and copy the recipient's records and the records of its contractors.
NR 162.17(3) (3)Records retention.
NR 162.17(3)(a)(a) The recipient and its contractors shall retain and make all files, books, documents, and records relating to the construction of the scored project available to the department for a minimum of either 3 years from the date the department notifies the recipient that the project closeout is complete or 3 years from final completion of construction, whichever is later.
NR 162.17(3)(b) (b) If a financial assistance agreement is partially or completely terminated, the records relating to the work terminated shall be kept and made available for a period of 3 years from the date of any resulting final termination settlement.
NR 162.17(3)(c) (c) Records that relate to appeals, disputes, or litigation arising out of the performance of the project shall be retained until any appeals, disputes, or litigation have been finally resolved or for a period of 3 years from the date the department notifies the recipient that the project closeout is complete, whichever is later.
NR 162.17(3)(d) (d) All other files and records relating to the scored project shall be retained so long as this FAA remains in effect. As-built plans for the project shall be retained for the useful life of the project.
NR 162.17(4) (4)Federal single audit. Recipients of financial assistance provided directly from the federal capitalization grant shall comply with the federal single audit act 31 USC 7501 to 7507, OMB circular A–133 and ch. Adm 35.
NR 162.17 History History: CR 14-043: cr. Register June 2015 No. 714, eff. 7-1-15.
NR 162.18 NR 162.18Breach of contract.
NR 162.18(1) (1) Upon breach of contract by the recipient, the department may do any of the following:
NR 162.18(1)(a) (a) Declare the unpaid loan balance due and immediately payable.
NR 162.18(1)(b) (b) Increase the interest rate on the unpaid balance of the loan to the market interest rate in effect on the date the financial assistance agreement was executed.
NR 162.18(1)(c) (c) Rescind the grant and convert the grant amount to a loan.
NR 162.18(1)(d) (d) Immediately terminate the financial assistance agreement and disburse no additional funds, if the financial assistance has not been fully disbursed.
NR 162.18(1)(e) (e) Seek an injunction or any other equitable or judicial relief from a court of appropriate jurisdiction.
NR 162.18(1)(f) (f) Seek any other appropriate administrative remedy.
NR 162.18(2) (2) DOA's receipt of any payment after the occurrence of a breach of contract does not constitute the department's waiver of any rights and remedies under this section.
NR 162.18 Note Note: DOA may under s. 281.59 (11) (b), Stats., seek recovery of some or all financial assistance payments by deducting those amounts from any state payments due to a municipality, or by adding a special charge to the amount of taxes apportioned to and levied upon the county under s. 70.60, Stats.
NR 162.18 History History: CR 14-043: cr. Register June 2015 No. 714, eff. 7-1-15.
NR 162.19 NR 162.19Noncompliance. Upon failure of the recipient to comply with ss. 281.58 and 281.59, Stats., or with provisions of this chapter, the department may do any of the following:
NR 162.19(1) (1) Refuse to enter into a financial assistance agreement.
NR 162.19(2) (2) Seek penalties as provided in s. 281.59 or 281.98, Stats.
NR 162.19(3) (3) Seek any other appropriate remedy, relief or penalty.
NR 162.19 History History: CR 14-043: cr. Register June 2015 No. 714, eff. 7-1-15; correction in (2) made under s. 35.17, Stats., Register June 2015 No. 714.
NR 162.20 NR 162.20Variances.
NR 162.20(1) (1)General. The department may, on its own initiative or pursuant to a written request from an applicant, approve a variance from a requirement of this chapter when it determines that special circumstances make a variance in the best interest of the state. Any variance approved shall be consistent with the objectives of ss. 281.58 and 281.59, Stats.
NR 162.20(2) (2)Applicability. The department may only approve a variance from any non–statutory requirement of this chapter.
NR 162.20(3) (3)Request for variance. An applicant shall submit a request for a variance in writing to the department as soon as it is determined a variance is needed. Each request for a variance shall contain all of the following:
NR 162.20(3)(a) (a) The name of the applicant and CWFP project number.
NR 162.20(3)(b) (b) The section of this chapter from which the applicant seeks a variance and a statement explaining why the variance is necessary.
NR 162.20(3)(c) (c) An adequate description of the variance desired, and the facts that the recipient believes warrant the department's approving the variance.
NR 162.20(3)(d) (d) A statement as to whether the recipient has previously requested the same or a similar variance, and if so, the circumstances of the previous request.
NR 162.20 History History: CR 14-043: cr. Register June 2015 No. 714, eff. 7-1-15.
NR 162.21 NR 162.21Administrative fees.
NR 162.21(1) (1) An administrative fee, if one is imposed, shall be included in the biennial finance plan established under s. 281.59 (3), Stats., which is approved by the building commission under s. 13.48, Stats.
NR 162.21(2) (2) Hardship financial assistance provided under subch. III is not subject to an administrative fee.
NR 162.21 History History: CR 14-043: cr. Register June 2015 No. 714, eff. 7-1-15.
subch. III of ch. NR 162 Subchapter III — Hardship Financial Assistance
NR 162.22 NR 162.22Applicability.
NR 162.22(1) (1)General. This subchapter applies to all applicants for and recipients of hardship financial assistance pursuant to s. 281.58 (13), Stats. Compliance with the applicable requirements of this subchapter is a prerequisite to receiving financial assistance under s. 281.58 (13), Stats. This subchapter does not apply to financial assistance for BMPs under subch. II or to interest rate subsidy provided under subch. IV.
NR 162.22(2) (2)Administrative or service fees. Administrative or service fees under s. NR 162.21 shall not be charged to hardship financial assistance recipients.
NR 162.22 History History: CR 14-043: cr. Register June 2015 No. 714, eff. 7-1-15.
NR 162.23 NR 162.23Types of hardship financial assistance. The department may provide any of the following types of hardship financial assistance:
NR 162.23(1) (1) Loans with interest rates lower than the interest rates specified in s. NR 162.11.
NR 162.23(2) (2) Grants not to exceed 70% of the eligible costs of the project.
NR 162.23 History History: CR 14-043: cr. Register June 2015 No. 714, eff. 7-1-15.
NR 162.24 NR 162.24Eligibility for hardship financial assistance.
NR 162.24(1)(1)Eligible municipalities. A municipality that meets all of the following criteria is eligible for hardship financial assistance:
NR 162.24(1)(a) (a) The median household income in the municipality is 80% or less of the median household income in this state. The department shall determine median household income as follows:
NR 162.24(1)(a)1. 1. If the municipality is a place, including a city, village, or census designated place, or the municipality is a county or a minor civil division, such as a town, the department shall obtain the most recent median household income figure published for the municipality by the U.S. bureau of the census prior to the department's publishing of the project priority list.
NR 162.24 Note Note: The department uses the U.S. census bureau's municipal incomes as derived from the ACS and published annually in the 5-year survey data. At the time of writing of this administrative code, the U.S. census bureau is not collecting income data during the decennial census. The U.S. census bureau does not publish data for all types of municipalities eligible for CWFP financial assistance. A municipality for which the U.S. census bureau does not publish median household income data is responsible for obtaining a median household income and supplying it to the department.
NR 162.24(1)(a)2. 2. If the municipality is a town sanitary district or public inland lake protection and rehabilitation district, the municipality shall supply a median household income provided by the U.S. bureau of the census along with documentation of how the median household income was determined. This median household income of the municipality shall be one of the following:
NR 162.24(1)(a)2.a. a. A median household income derived by requesting a custom tabulation of income data at the census block level from the ACS most recently published with 5-year data.
NR 162.24 Note Note: To obtain a custom tabulation, the municipality will likely need to compare a map showing the boundaries of the municipality to a census block map and determine which census blocks contain any portion of the municipality. The municipality would then submit the appropriate census block numbers to the U.S. bureau of the census with a request for a custom tabulation of a median household income figure for that set of identified blocks only.
NR 162.24(1)(a)2.b. b. The median household income of the census tract, block numbering area, or block group that encompasses the municipality. If the municipality falls within two or more census tracts, block numbering areas, or block groups, the median household income shall be weighted by the population of the municipality that resides within each census tract, block numbering area, or block group.
NR 162.24(1)(a)2.c. c. The median household income of the minor civil division, such as a town, within which the municipality is located. If the municipality falls within two or more minor civil divisions, the median household income shall be weighted by the population of the municipality that resides within each minor civil division.
NR 162.24(1)(a)3. 3. If the sewer service area of the treatment works within the boundaries of the municipality is different than the municipality's boundaries, the municipality may choose to follow the custom tabulation procedure as described in par. 2. a. and submit the result to the department to use in lieu of the median household income obtained by the department as described in subd. 1.
NR 162.24(1)(b) (b) The estimated total annual charges per residential user in the municipality that relate to wastewater treatment would exceed 2% of the median household income in the municipality without assistance under s. 281.58 (13), Stats.
NR 162.24(2) (2)Project eligibility.
NR 162.24(2)(a)(a) Wastewater projects described in s. NR 162.03 (1) (a), (b), and (d), and (2) are eligible for hardship financial assistance.
NR 162.24(2)(b) (b) Projects or portions of projects described in s. NR 162.03 (1) (c) are not eligible for hardship financial assistance.
NR 162.24(2)(c) (c) Projects described in s. NR 162.03 (3), (4), and (5) are not eligible for hardship financial assistance.
NR 162.24(3) (3)Cost eligibility. Eligible and ineligible costs described in s. NR 162.04 apply to hardship financial assistance projects.
NR 162.24(4) (4)Refinancing and reimbursement.
NR 162.24(4)(a)(a) The department may refinance a project with hardship financial assistance for a municipality in the hardship fundable range if any of the following applies:
NR 162.24(4)(a)1. 1. The municipality started or completed construction of the project prior to receiving hardship financial assistance and received a loan for the project from a source other than the department.
NR 162.24(4)(a)2. 2. The municipality received a financial assistance agreement for a CWFP loan at an interest rate specified in s. NR 162.11 for the project and all of the following apply:
NR 162.24(4)(a)2.a. a. The municipality was on a hardship financial assistance funding list and did not receive hardship financial assistance for the entire project due to insufficient hardship present value subsidy.
NR 162.24(4)(a)2.b. b. At the time of each application submittal for the project, the municipality met the criteria described in sub. (1).
NR 162.24(4)(b) (b) A financial assistance agreement to refinance an existing project debt shall be executed before the project has been substantially complete for more than 3 years.
NR 162.24(4)(c) (c) An applicant for refinancing shall meet the planning and design criteria and application requirements as established in subch. II.
NR 162.24(4)(d) (d) Refinancing shall be subject to the limitations of issuance and interim financing costs established in s. NR 162.04 (3).
NR 162.24(4)(e) (e) Reimbursement of the municipality's internal funds for previously paid project costs shall be in accordance with s. NR 162.10 (1) and subject to U.S. treasury reimbursement regulations in 26 CFR 1.150–2.
NR 162.24 History History: CR 14-043: cr. Register June 2015 No. 714, eff. 7-1-15; correction in (1) (a) 3. made under s. 13.92 (4) (b) 7., Stats., Register June 2015 No. 714.
NR 162.25 NR 162.25Application.
NR 162.25(1) (1)Notice of intent to apply. Each municipality intending to apply for hardship financial assistance shall inform the department of its intent by the October 31 prior to the hardship application deadline specified in sub. (2). Section NR 162.05 (1) and (2) apply to hardship financial assistance projects.
NR 162.25 Note Note: A Notice of Intent to Apply form is available on the Environmental Improvement Fund website at dnr.wi.gov/Aid/EIF.html or in paper form from the Bureau of Community Financial Assistance, Department of Natural Resources, Box 7921, Madison, WI 53707-7921.
NR 162.25(2) (2)Application deadline. To request hardship financial assistance for the following state fiscal year, a municipality shall submit a complete application and plans and specifications by June 30.
NR 162.25 Note Note: An application form is available on the Environmental Improvement Fund website at dnr.wi.gov/Aid/EIF.html or in paper form from the Bureau of Community Financial Assistance, Department of Natural Resources, Box 7921, Madison WI 53707-7921. An interest subsidy application is a different form and must be submitted in accordance with s. NR 162.41.
NR 162.25(3) (3)Procedures. Subject to sub. (2), hardship financial assistance applicants shall follow the procedures described in s. NR 162.06 (1) and s. 281.58 (9) (a) to (c), Stats.
NR 162.25(4) (4)Contents of application. An application for hardship financial assistance shall comply with the requirements of s. NR 162.06 (2).
NR 162.25(5) (5)Application acceptance. The rules for accepting an application for hardship financial assistance are the same as those described in s. NR 162.06 (3).
NR 162.25(6) (6)Projects funded jointly with other agencies. Section NR 162.06 (4) applies to hardship financial assistance projects.
NR 162.25(7) (7)Missing items. The applicant shall submit a completed application form and required attachments by the application submittal deadline identified in sub. (2). If the department determines an attachment or some information is missing from the application and is, therefore, incomplete, the department may allow a reasonable amount of additional time for an applicant to submit the missing items. The department may refuse an application if it is missing multiple attachments or a significant amount of information, or if the applicant fails to submit missing attachments or information by the extended deadline date set by the department in correspondence sent to the applicant.
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Published under s. 35.93, Stats. Updated on the first day of each month. Entire code is always current. The Register date on each page is the date the chapter was last published.