Section 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:
(1) All of the following documentation, if applicable to the scored project, is submitted to the department: (a) Certification for force account work as required by s. NR 162.08 (5).(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.(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.(d) Items related to bids for each prime contract, including all of the following:1. The proposal of the successful bidder.2. An engineer's evaluation of the bids, including bid tabulation and an award recommendation.3. If an applicant awards a construction or equipment contract to a contractor other than the lowest bidder, any of the following: a. Written documentation of the reasons why the lowest bidder is considered nonresponsive or not responsible.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.4. Solicitation and utilization information regarding DBEs.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.6. A copy of the bid bond and the performance bond.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.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.9. Documentation of the construction start date and expected substantial and final completion dates. Note: A notice of award and a notice to proceed are preferred but not required for this documentation.
10. All negotiated pending change orders and all executed change orders.(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.(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.(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.(h) Parallel cost percentage information.(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.(j) Proof that applicable ordinances required under s. NR 162.07 have been adopted by the municipality.(k) A copy of the adopted user charge system and proof that the municipality adopted the user charge system.(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.(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:1. The applicant shall submit the design life calculation worksheet at least 9 weeks prior to loan closing.2. The applicant shall pledge system revenues to secure the CWFP loan.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. 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.
(2) The department has done all of the following, if applicable to the scored project: (a) Complied with the Wisconsin environmental policy act requirements pursuant to the procedures in ch. NR 150.(b) Reviewed and approved the plans and specifications.(c) Reviewed and concurred with the parallel cost percentage provided by the applicant.(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.(3) The scored project has met the priority requirements of subch. V.(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.(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.(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.Wis. Admin. Code Department of Natural Resources NR 162.06
CR 03-027: cr. Register November 2003 No. 575, eff. 12-1-03.Amended by, CR 14-043: cr. Register June 2015 No. 714, eff. 7-1-15; correction in (3) (a) made under s. 13.92(4) (b) 7, Stats., Register June 2015 No. 714, eff.7/1/2015.Adopted by, 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, eff. 11/1/2023