NR 166.07(2)(o)
(o)
Negligence. Costs incurred due to negligence or error of a party contracted by the municipality.
NR 166.07(2)(p)
(p)
No construction. All costs of a project if the municipality does not finance some construction costs through the SDWLP, unless the department is cooperating with another governmental funding agency to provide an affordable financing package for the project, the other agency is financing the construction costs, and the department receives acceptable documentation of the other agency's commitment.
NR 166.07(2)(r)
(r)
Ordinary municipal operating expenses. Ordinary operating expenses of a municipality, such as salaries and expenses of elected officials and on-staff attorneys, postage, utility bills, and annual financial audits.
NR 166.07(2)(s)
(s)
Other funding. Costs for which payment has been or will be received from another funding source, including costs for which funds from the U.S. department of agriculture's rural development program or a community development block grant program are committed, or costs covered by a focus on energy grant. If the municipality does not receive the funds expected from the other source, the department may consider the costs of the work that was to be funded through the other source to be eligible for SDWLP financial assistance unless the costs are considered ineligible under another paragraph in this subsection.
NR 166.07(2)(t)
(t)
Outside of scope. Costs outside the scope of the scored project unless the department approves the costs as necessary and reasonable to improve the overall integrity, operation, or functionality of the water system.
NR 166.07(2)(u)
(u)
Personal injury. Personal injury compensation or damages arising out of the project, whether determined by adjudication, arbitration, negotiation, or otherwise.
NR 166.07(2)(v)
(v)
Post-closeout. Expenses incurred after the project completion date of the scored project.
NR 166.07(2)(w)
(w)
Private service lines. Removal or replacement of private service lines that are not made of lead or galvanized materials.
NR 166.07(2)(x)
(x)
Sewer pipes. Storm sewer or wastewater sewer pipe construction, replacement, or repair, unless the work is necessary as a direct result of work performed for a scored project, such as moving a wastewater pipe to allow appropriate distance between it and a watermain being constructed or repairing or replacing a sewer pipe damaged during construction of the scored project.
NR 166.07(2)(xm)
(xm)
Site acquisition. Site acquisition expenses other than those meeting the criteria established under sub.
(1) (h) and
(p).
NR 166.07(2)(y)
(y)
Source water protection. Land acquisition or easement costs incurred for land used for source water protection.
NR 166.07(2)(ym)
(ym)
Special districts. Costs of establishing special purpose districts or commissions, such as sanitary districts, utility districts, public inland lake protection and rehabilitation districts, joint local water authorities created under s.
66.0823, Stats., municipal water districts, and joint commissions.
NR 166.07(2)(z)
(z)
Violation penalties. Fines and penalties due to violations of, or failure to comply with, federal, state, or local laws.
NR 166.07(2)(zm)
(zm)
Warranty inspections after construction completion. Costs related to post-construction warranty inspections, including costs of a consulting engineer or a third-party inspector, and costs of extended warranties or service contracts that go beyond construction completion.
NR 166.07(3)
(3)
Limitation on eligibility of interim debt costs. NR 166.07(3)(a)
(a)
Net interest expense. Interim debt interest expenses shall be offset with any interest earnings from the investment of the proceeds from the interim debt to determine the amount eligible for SDWLP financial assistance.
NR 166.07(3)(b)
(b)
Interim debt issuance costs. The amount of interim debt issuance costs eligible for financial assistance is limited to $15,000 plus 0.5 percent of the total eligible face amount of the interim debt. If interim debt is rolled over or renewed, the face amount may not be counted multiple times in calculating the eligible face amount of interim debt for purposes of this limit.
NR 166.07(3)(c)
(c)
Interim debt interest costs. The period of time for which interest on interim debt is eligible for financial assistance shall run from no earlier than 18 months prior to the start of construction to the earliest of the following:
NR 166.07(3)(d)
(d)
Cost proration. If the term of the interim debt exceeds the limit in par.
(c), the interim debt costs shall be prorated using the length of the eligible term divided by the total time that the interim debt is outstanding. If the interim debt is not exclusively for the SDWLP scored project, costs shall be prorated according to the proportion of the total debt that is for the scored project.
NR 166.07(3)(e)
(e)
Maximum principal. The amount of interim debt principal that may be refinanced with SDWLP financial assistance may not exceed the total amount of the interim debt that was spent on eligible project costs.
NR 166.07 History
History: CR 22-068: cr. Register October 2023 No. 814, eff. 11-1-23. NR 166.08(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 SDWLP annual intended use plan under s.
NR 166.05 (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 166.08 Note
Note: Instructions regarding the online application systems are available on the Environmental Improvement Fund website at dnr.wisconsin.gov/aid/EIF.html.
NR 166.08(1)(a)
(a) A clear, concise, and comprehensive project description that includes the public health or water system 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 sanitary sewer construction being done at the same time as watermain construction on the same block of a street or in the same intersection.
NR 166.08(1)(c)
(c) An estimate of the total project cost and what amount of the cost is likely to be requested from the SDWLP.
NR 166.08(1)(d)
(d) Estimated or actual dates related to the bidding and construction timeline of the project.
NR 166.08(1)(e)
(e) 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 166.08(1)(f)
(f) Any other information required to complete the submission in the department's online application systems.
NR 166.08(2)
(2)
Engineering report. A municipality shall submit an engineering report to the department for approval as required under s.
281.61 (4), Stats., subject to all of the following:
NR 166.08(2)(a)
(a) An engineering report shall comply with the applicable engineering report requirements contained in chs.
NR 108 and
811 for the type of project being constructed.
NR 166.08(2)(b)
(b) The department shall determine whether there are activities included in the engineering report that fall outside of the scope of the project for purposes of this chapter.
NR 166.08(2)(c)
(c) If neither ch.
NR 108 nor ch.
NR 811 requires an engineering report for a specific project, or if either ch.
NR 108 or
811 allows submittal and review of the engineering report and plans and specifications simultaneously, and the department receives the plans and specifications with or prior to submittal of the SDWLP application, the municipality may submit an application for financial assistance prior to receiving department approval of the engineering report.
NR 166.08(3)(a)
(a) A municipality shall apply for financial assistance in accordance with s.
281.61 (5), Stats. All applicants must submit the required information and documentation through the department's online application system.
NR 166.08 Note
Note: Directions regarding online submittal are available on the Environmental Improvement Fund website at dnr.wisconsin.gov/aid/EIF.html.
NR 166.08(3)(b)
(b) The applicant shall submit plans and specifications to the department drinking water plan review section as required under ch.
NR 108 or
811, or both, prior to or simultaneously with submitting the financial assistance application for the project to the department environmental loans staff. The applicant must submit a copy of the plans and specifications with the financial assistance application via the online application system in addition to submitting the copies required for drinking water plan review.
NR 166.08(3)(c)
(c) For any type of project for which plans and specifications are required under ch NR 108 or 811, the department may deny an applicant funding if the applicant does not provide appropriately complete plans and specifications to the department prior to or with the application for the project as required under par.
(b) and sub.
(4).
NR 166.08(4)
(4)
Contents of application. The applicant shall submit a complete application, including all of the following items that are applicable to the project:
NR 166.08(4)(b)
(b) Except as provided in par.
(bg), for a project for which the department requires plans and specifications under ch.
NR 108 or
811, or both, a copy of biddable construction plans and specifications approvable by the department for all parts of the scored project for which the municipality is requesting financial assistance from the fiscal year applicable to the project.
NR 166.08(4)(bg)
(bg) For a well construction project, at least plans and specifications for the drilling of a permanent well with or prior to submittal of the application for financial assistance; the applicant may submit additional well-related plans and specifications for the scored project, such as those for pumps or the wellhouse, after the department determines the application is complete.
NR 166.08(4)(br)
(br) A certification from the applicant or its consulting engineer stating that plans and specifications are not required under chs.
NR 108 and
811 for the project if the applicant submits an application for financial assistance for a project type that does not require plans and specifications review under ch.
NR 108 or
811.
NR 166.08(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 166.08(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 166.08(4)(c)3.
3. Identification of known ineligible costs included within the total budget provided in the online application.
NR 166.08(4)(c)4.
4. Information regarding assistance received or expected from another funding source.
NR 166.08 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 166.08(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 or procuring American-made products for use in the project.
NR 166.08(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 166.08(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 166.08(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 166.08(4)(h)
(h) 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 166.08(4)(i)
(i) A list of all major pieces of water system infrastructure used to obtain, treat, store, transmit, or distribute water to the applicant municipality when the overall water system serves 2 or more municipalities. This requirement does not apply if the application requests funding for a project for which the construction scope is only watermain replacement or lining and any associated street and pipe work and appurtenances within the boundaries of the applicant municipality. If only one municipality owns the infrastructure for obtaining, treating, and distributing water to other municipalities, and the project scope includes construction of a new or modification of an existing portion of the infrastructure used to supply water to other municipal governments, the list shall include all infrastructure within and outside of the boundaries of the owning municipality that is used to obtain, treat, and transmit water to other municipalities. The department may request additional information regarding ownership and maintenance responsibility of the water system than the information provided by the applicant in or with the application for financial assistance. Prior to receiving financial assistance, the applicant shall ensure that for each municipality impacted by the project the list identifies ownership and maintenance responsibility for each individual portion of the water system, including any of the following:
NR 166.08(4)(j)
(j) 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 166.08(4)(k)
(k) Proposed water rates, if the public water system is not regulated by the public service commission.
NR 166.08(4)(L)
(L) Any existing or proposed contracts with customers of the water system.
NR 166.08(4)(m)
(m) Documentation applicable to U.S. internal revenue service tax information as indicated in the department's online application system.
NR 166.08(4)(n)
(n) A copy of the debt instrument of any interim debt to be refinanced with SDWLP financial assistance.
NR 166.08(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 166.08(4)(o)1.
1. An applicant requesting a loan term greater than 20 years shall pledge system revenues to secure the SDWLP loan.
NR 166.08(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 166.08(5)
(5)
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 applicable 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 166.08(6)
(6)
Application acceptance. The department shall accept an application as complete after all of the following occur:
NR 166.08(6)(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 in written communication, which may be via email, to the applicant.
NR 166.08(6)(b)
(b) The department receives notification from DOA documenting DOA's initial determination that there is a reasonable likelihood the municipality will be financially capable of repaying a loan from the SDWLP.
NR 166.08(7)
(7)
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 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 166.08(8)
(8)
Deadline for signing financial assistance agreement. The department shall set in the SDWLP annual intended use plan under s.
NR 166.05 (1) 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 SDWLP allocated subsidy.
NR 166.08 History
History: CR 22-068: cr. Register October 2023 No. 814, eff. 11-1-23; correction in (4) (i) (intro.), (6) (a) made under s. 35.17, Stats., Register October 2023 No. 814. NR 166.09
NR 166.09
Land ownership and easements documentation. NR 166.09(1)(1) For projects for which an applicant requests financial assistance through the application process under s.
NR 166.08, 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 166.09(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 166.09 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 166.09(3)
(3) An applicant is not required to submit a land ownership certification or legal opinion for portions of a project that include removal of lead service lines or galvanized pipe on private property.
NR 166.09 History
History: CR 22-068: cr. Register October 2023 No. 814, eff. 11-1-23.
