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. NR 166.10
NR 166.10 Financial assistance requirements. Before executing a financial assistance agreement for any project under this chapter, the department shall determine that all of the applicable requirements of s.
NR 166.08 are met and that all of the following are satisfied:
NR 166.10(1)
(1) All of the following documentation, if applicable to the scored project, is submitted to the department:
NR 166.10(1)(b)
(b) 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 shall be in accordance with s.
NR 166.09. Section
NR 166.09 (3) applies to this paragraph.
NR 166.10(1)(c)
(c) Items related to bids for each prime contract including all of the following:
NR 166.10(1)(c)2.
2. An engineer's evaluation of the bids, including bid tabulation, and an award recommendation.
NR 166.10(1)(c)3.
3. If an applicant awards a construction or equipment contract to a contractor other than the lowest bidder, any of the following:
NR 166.10(1)(c)3.a.
a. Written documentation of the reasons why the lowest bidder is considered nonresponsive or not responsible.
NR 166.10(1)(c)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 166.10(1)(c)5.
5. Evidence of bid advertisement, including a copy of the affidavit of publication and a copy of the newspaper advertisement, which should include appropriate language regarding DBEs submitting bid proposals, American-made product requirements, and wage rates, when applicable.
NR 166.10(1)(c)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 166.10(1)(c)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 166.10(1)(c)9.
9. Documentation of the construction start date and estimated substantial and final completion dates.
NR 166.10 Note
Note: A notice of award and a notice to proceed are preferred but not required for this documentation.
NR 166.10(1)(c)10.
10. All negotiated pending change orders and all executed change orders.
NR 166.10(1)(d)
(d) 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 166.10(1)(e)
(e) 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 166.10(1)(f)
(f) 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 166.10(1)(g)
(g) A final list described under s.
NR 166.08 (4) (i), if 2 or more municipalities utilize shared or interconnected water systems and the project serves more than one of the municipalities.
NR 166.10(1)(h)
(h) 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 166.10(1)(i)
(i) 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 166.10(1)(i)1.
1. The applicant shall submit the design life calculation worksheet at least 9 weeks prior to loan closing.
NR 166.10(1)(i)2.
2. The applicant shall pledge system revenues to secure the SDWLP loan.
NR 166.10(1)(i)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 166.10 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#sdwform. 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 166.10(2)
(2) The department has done all of the following, if applicable to the scored project:
NR 166.10(2)(a)
(a) Complied with the Wisconsin environmental policy act requirements pursuant to the procedures in ch.
NR 150.
NR 166.10(2)(c)
(c) 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 166.10(4)
(4) The applicant has the legal, institutional, managerial, technical, and financial capability to ensure adequate construction, operations, and maintenance of the water system throughout the applicant's jurisdiction.
