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:
NR 162.06(2)(a)
(a) Complied with the Wisconsin environmental policy act requirements pursuant to the procedures in ch.
NR 150.
NR 162.06(2)(c)
(c) Reviewed and concurred with the parallel cost percentage provided by the applicant.
NR 162.06(2)(d)
(d) Reviewed and concurred with the design life calculation for the scored project if the applicant is requesting a loan term greater than 20 years.
NR 162.06(3)
(3) The scored project has met the priority requirements of subch.
V.
NR 162.06(4)
(4) The applicant has the legal, institutional, managerial, technical, and financial capability to ensure adequate construction, operations, and maintenance of the wastewater treatment works throughout the applicant's jurisdiction.
NR 162.06(5)
(5) 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, Stats.
NR 162.06(6)
(6) The applicant has received or applied for permits required by the department for the scored project, including those under chs.
30 and
283, Stats.
NR 162.06 History
History: CR 22-045: cr.
Register October 2023 No. 814, eff. 11-1-23; correction in (1) (c) made under s.
35.17, Stats.,
Register October 2023 No. 814.
NR 162.07
NR 162.07 Requirements for a user charge system and sewer use ordinance. NR 162.07(1)(1)
General. Any user charge system and applicable ordinances adopted by a recipient shall be maintained in accordance with s.
281.58 (14) (b) 7., Stats., for the useful life of a wastewater treatment works. The applicant shall submit user charge information to the department and shall certify to the department that the user charge system meets all the applicable requirements in this section.
NR 162.07(2)
(2)
Applicability. A user charge system and sewer use ordinance is required of the applicant receiving financial assistance under this subchapter for any wastewater treatment works project.
NR 162.07(3)
(3)
User charge system requirements. Any user charge system under this section shall do all of the following:
NR 162.07(3)(a)
(a) Require that each user or user class pays its proportionate share of operation and maintenance costs, including replacement costs, of the wastewater treatment works within the recipient's service area.
NR 162.07(3)(b)
(b) 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 wastewater treatment works.
NR 162.07(3)(c)
(c) Require that the charges for users or user classes generate sufficient revenue to pay costs identified in par.
(e) 2. and
3. NR 162.07(3)(d)
(d) 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 wastewater treatment works. 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 restore the fund balance following an expenditure from the fund.
NR 162.07(3)(e)
(e) Establish a financial management system that accounts for all of the following:
NR 162.07(3)(e)2.
2. Costs of operations and maintenance of the wastewater treatment works, including an appropriate amount of money to be deposited annually into the equipment replacement fund.
NR 162.07(3)(e)3.
3. Debt service costs, including debt service reserves and debt coverage requirements. In this subdivision, “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.
NR 162.07(3)(f)
(f) Require the review, at least once every 2 years, of the wastewater contribution of users and user classes, the total costs of operations and maintenance of the wastewater treatment works, and the overall user charge system.
NR 162.07(3)(g)
(g) 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.
NR 162.07(3)(h)
(h) Provide that each user is notified, at least annually, in conjunction with a regular bill, of the rate of charge attributable to service provided by the wastewater treatment works.
NR 162.07(4)
(4)
Municipal responsibilities. The municipality shall do all of the following:
NR 162.07(4)(a)
(a) Incorporate the user charge system in one or more municipal ordinances or other legislative enactments and make reference to the user charge system or systems in intermunicipal agreements if the project serves more than one municipality.
NR 162.07(4)(b)
(b) 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.
NR 162.07(4)(c)
(c) Maintain records to document compliance with this section.
NR 162.07(4)(d)
(d) For a wastewater treatment works, enact and enforce a sewer use ordinance that does all of the following:
NR 162.07(4)(d)1.
1. Prohibits any new connections from sources that will add substantial infiltration or inflow into the sanitary sewer system.
NR 162.07(4)(d)2.
2. Requires that new sewers and connections to the sewer system be properly designed and constructed.
NR 162.07(4)(d)3.
3. Requires that wastewater introduced into the treatment works not do any of the following:
