Chapter NR 335

NR 335.04(2)(b) (b) Comply with all applicable requirements of this chapter.

NR 335.04 History History: Cr. Register, April, 1991, No. 424, eff. 5-1-91.

NR 335.05 NR 335.05 State share.

NR 335.05(1) (1) For dam repair, reconstruction or maintenance projects the following cost share provisions shall apply:

NR 335.05(1)(a) (a) The state share may not exceed 50% of the first $400,000 of eligible project costs nor more than 25% of the eligible project costs that exceed $400,000.

NR 335.05(1)(b) (b) The dam owner shall provide a sponsor match for 50% of the first $400,000 of eligible project costs, 75% of the next $800,000 of project costs and all ineligible cost or eligible costs exceeding $1,200,000.

NR 335.05(1)(c) (c) Sponsor match may come from other sources including another state or federal cost sharing or grant program, from another municipality, or any other outside funding source.

NR 335.05(2) (2) For dam removal projects the state share may not exceed 100% of the eligible project costs.

NR 335.05(3) (3) The state share is limited to no more than $400,000 for each dam safety project.

NR 335.05 History History: Cr. Register, April, 1991, No. 424, eff. 5-1-91; CR 10-032: r. and recr. Register October 2010 No. 658, eff. 11-1-10.

NR 335.06 NR 335.06 Application and award procedures. Aid available under this program shall be awarded to those projects with the highest points on a priority list, as determined by the procedures and criteria in s. NR 335.09, and in accordance with the procedures in this section. Projects on the priority list shall be funded within the limits of available funds.

NR 335.06(1) (1) All applications for a grant under this chapter shall be received by the department or postmarked no later than September 15 of each year, unless otherwise noted on the application materials. The signed application and required attachments shall be delivered to the department location identified in the application materials. Acceptable delivery methods shall be identified in the application materials. Applications received or postmarked on the same day shall be randomly assigned an order received within that day.

NR 335.06(2) (2) The department shall review each application received for completeness and within 15 days of the application deadline shall advise the applicant in writing of any deficiencies, omissions or errors in the application in writing. Incomplete applications may not be considered if all information is not received by the department within 45 days of the application deadline for that year. The date that the last materials, required for a complete application, were received by the department shall be used to break ties on the priority list.

NR 335.06(3) (3) The department shall establish a priority list within 60 days of the application deadline, which ranks all complete applications received by the application deadline. Applicants shall be notified of their placement on the priority list and the probability of approval for funding. The ranking of applicants shall be made available upon written request. In developing this list the department shall:

NR 335.06(3)(a) (a) Rank applications with identical point totals based upon the date the complete application was received by the department with highest priority given to the earliest received complete application.

NR 335.06(3)(b) (b) Add a contingency, based on past experience with the grant program to the cost estimates provided in the grant applications to assure adequate funding is available for projects receiving a commitment to funding. If the next project on the list would exceed the available funding the department may choose to reserve those funds until there is adequate funding to fully commit to the next project on the list.

NR 335.06(4) (4) Applicants receiving a commitment for funding shall submit plans and specifications to the department, for approval within 6 months of the notification on placement on the priority ranking list, unless an extension is requested in writing and approved by the department.

NR 335.06(5) (5) Applicants receiving a commitment for funding shall submit construction bids for the proposed work to the department within 90 days of department approval of plans and specifications. Following submission to the department, the owner may rebid the project without losing eligibility if the original bid is deemed too high or inappropriate. The applicant shall rebid the project within 60 days of receipt of the original bid. The department shall direct the owner to rebid the project if it deems the bid inappropriate. The applicant shall rebid the project within 60 days of receiving notification from the department that the department deems the bid inappropriate.

NR 335.06(6) (6) The department shall issue, in writing, a notice of grant award within 30 days of receipt of an acceptable construction bid.

NR 335.06(7) (7) All complete applications received or postmarked after the application deadline shall be returned to the applicant.

NR 335.06(8) (8) If there are insufficient funds to award aid to all eligible applicants on the priority list, their placement on the priority ranking list shall be maintained until the next grant application deadline in case a higher ranked project elects not to receive their grant or returns unused funds to the program. As application requirements could change between grant cycles, sponsors of unfunded projects shall submit new applications each grant cycle.

NR 335.06(9) (9) No grant may be awarded under this program until the owner of the dam provides adequate proof of ownership of the entire dam and a dam failure analysis approvable under the standards of s. NR 333.05 (2), including maps suitable for the purpose of implementing land use controls below the dam.

NR 335.06(10) (10) No grant may be awarded under this program for a dam project that has already received a grant award through the Dam Removal Grant program administered under ch. NR 336.

NR 335.06(11) (11) For any project that does not adequately advance within one year of funding notification to a point where the grant award is written, the department’s commitment to fund said project may be rescinded. Funds that have been so rescinded may then be committed to the next unfunded project on the priority list.

NR 335.06 History History: Cr. Register, April, 1991, No. 424, eff. 5-1-91; CR 10-032: am. (intro.) and (1), renum. (2) to (7) to be (3) to (8) and am. (3) to (5), (7) and (8), cr. (2), (3) (a), (b), (9) to (11) Register October 2010 No. 658, eff. 11-1-10.

NR 335.07 NR 335.07 Grant application.

NR 335.07(1) (1) Procedure. Subject to the availability of funds, the department shall:

NR 335.07(1)(a) (a) Solicit applications on an annual basis for projects to be funded under this chapter by providing notice that the application materials are available upon request.

NR 335.07(1)(b) (b) Distribute to any potential applicant that requests it a copy of the application, instructions for completing the application and guidelines that the department shall use to score the project application.

NR 335.07(1)(c) (c) Require a separate grant application shall be submitted to the department for each individual dam for which financial assistance is requested under this chapter. Only one application under this chapter may be received for any particular dam in any year.

NR 335.07(2) (2) Contents of application. An application for a grant under this chapter shall be made on forms furnished by the department. In addition to the application form, the application shall include the following:

NR 335.07(2)(a) (a) Certified copies of a resolution of the governing body of the municipality or lake district that reflects the following information:

NR 335.07(2)(a)1. 1. Designates an authorized representative and authorizes the representative to apply for a grant under s. 31.385, Stats., and this chapter, on behalf of the owner.

NR 335.07(2)(a)2. 2. A statement that the owner agrees to pay a share of the eligible costs which is equal to the total project cost minus the state share.

NR 335.07(2)(b) (b) Proof of receipt of a letter sent by certified mail, from the dam owner to any county, city or village that may be affected by the hydraulic shadow of the dam, informing the municipality or municipalities that a change in the land use controls may be necessary to secure the hazard rating for the dam.

NR 335.07(2)(c) (c) Information to show that the applicant holds the permit or approval under ch. 31, Stats., for the dam and information indicating who owns the parcels of land under and adjacent to the land. Also, a map showing the dam in relationship to the adjacent land parcels shall be provided.

NR 335.07(2)(d) (d) Proof that the applicant requested, in writing, funding assistance under this chapter within 6 months after receiving directives or an order for repair, modification or abandonment of the dam resulting from a department investigation or inspection of the dam.

NR 335.07(2)(e) (e) All data and calculations to show that upon completion of the project, dams to be repaired or modified will meet all requirements of ch. NR 333 where applicable. All owners shall provide the following with the application:

NR 335.07(2)(e)1. 1. A dam failure analysis sufficient to identify the appropriate hazard of the dam based on current downstream development.

NR 335.07(2)(e)2. 2. A project description, conceptual design and detailed cost estimate for the construction phase of the project defining the eligible project costs.

NR 335.07(2)(e)3. 3. A cost estimate for the engineering work required to complete the project, including preparation of all documents required under this chapter.

NR 335.07 Note Note: The cost estimates should be broken into the following categories where applicable: dam failure analysis; alternatives analysis and grant application; preparation of plans and specifications and project bidding; construction related services; and preparation of the emergency action plan and inspection, operation and maintenance plan.

NR 335.07(2)(f) (f) All data and calculations to show that dams to be abandoned will meet the requirements of ch. 31, Stats. All owners shall provide the following with the application:

NR 335.07(2)(f)1. 1. An application, under ch. 31, Stats., for a permit or approval to abandon the dam.

NR 335.07(2)(f)2. 2. All information necessary for the municipality responsible for implementation of land use controls to implement controls in the area flooded during the regional flood without the dam in place.

NR 335.07(2)(f)3. 3. A project description, conceptual design and detailed cost estimate for the construction portion of the project defining eligible project costs.

NR 335.07(2)(f)4. 4. A cost estimate for the engineering work required to complete the project, including preparation of all documents required under this chapter.

NR 335.07 Note Note: The cost estimates should be broken into the following categories where applicable: floodplain analysis; alternatives analysis and grant application; preparation of plans and specifications and project bidding; and construction related services.

NR 335.07(2)(g) (g) All sources of funding from outside the owners resources that will be used to meet the sponsors match for the grant.

NR 335.07(2)(h) (h) All information requested in the grant materials to help establish the priority ranking points for the dam.

NR 335.07(2)(i) (i) Any other information required on the application that the department may require to process the applications.

NR 335.07 Note Note: Application forms may be obtained from the DNR Bureau of Community Financial Assistance, PO Box 7921, Madison, WI 53707.

NR 335.07 History History: Cr. Register, April, 1991, No. 424, eff. 5-1-91; CR 10-032: renum. (1) (a), (2) (a) 3., (b) and (c) to be (1) (c), (2) (b), (e) and (f) and am. (1) (c), (2) (b), (e) (intro.), 1., 2. and (f) 3., am. (1) (b) and (2) (a) (intro.) to 2., cr. (1) (intro.), (a), (2) (c), (d), and (g) to (i) Register October 2010 No. 658, eff. 11-1-10.

NR 335.08 NR 335.08 Eligible and ineligible costs.

NR 335.08(1) (1) Eligible costs. The following project costs, whether incurred under contract or in the form of salaries and benefits, may be reimbursed under this chapter, if the grant is awarded:

NR 335.08(1)(a) (a) Actual and reasonable engineering costs incurred in preparing the studies and application form required under s. NR 335.07 (2) (e) and (f);

NR 335.08(1)(b) (b) Actual and reasonable engineering costs incurred in preparing plans and specifications as required in s. NR 335.06 (4), the operation, inspection and maintenance plan, and the emergency action plan;

NR 335.08(1)(c) (c) Actual and reasonable construction costs incurred in the repair, modification or abandonment of the dam, including labor and materials;

NR 335.08(1)(d) (d) Actual and reasonable engineering costs involved in the on-site inspection of the repair, modification or abandonment of the dam. On-site inspection by an engineer registered in the state of Wisconsin is required, at a minimum, during critical stages of construction and could be required full time for certain projects.

NR 335.08(1)(e) (e) Actual and reasonable costs for activities other than the maintenance, repair or modification of the dam (structural alternative) only if the cost of that activity is less than the cost of the structural alternative.

NR 335.08(2) (2) Ineligible costs. Ineligible costs include:

NR 335.08(2)(a) (a) Costs incurred prior to August 9, 1989;

NR 335.08(2)(b) (b) The cost of materials and labor for installation or repair of items directly associated with hydroelectric power facilities at the dam;

NR 335.08(2)(c) (c) Costs incurred prior to the date of the state grant award except engineering costs as provided in sub. (1) or construction costs for a project that was under department orders, was approved by the department and was undertaken as emergency repairs or modifications to a high or significant hazard dam. Construction work shall have started within 1 year prior to the grant application deadline;

NR 335.08(2)(d) (d) Costs of routine maintenance including, but not limited to, mowing grass, painting signs and debris removal;

NR 335.08(2)(e) (e) Costs of equipment necessary for routine maintenance of the dam;

NR 335.08(2)(f) (f) Costs for which payment for a dam abandonment and removal project has been or will be received under another state or federal cost sharing or grant program or from another municipality or any other outside funding source;

NR 335.08(2)(g) (g) Costs attributable to the correction of errors or deficiencies in construction funded under this chapter due to failure to comply with department approved construction plans and specifications.

NR 335.08(3) (3) Allocation of costs. Total project costs may be allocated between eligible and ineligible costs using one of the following methods:

NR 335.08(3)(a) (a) Unit cost method. When the unit cost method is used, costs for individual work items shall be prorated between eligible and ineligible portions of the project based on an equal cost per unit.

NR 335.08(3)(b) (b) Project cost method. When the project cost method is used, eligible project costs shall be based on engineering costs plus the cost of construction reflected in the contractor’s billings to the owner. Owners using this method shall submit the contractor’s itemized billings showing the breakdown of eligible work items.

NR 335.08 History History: Cr. Register, April, 1991, No. 424, eff. 5-1-91; CR 10-032: am. (1) (a) to (d), (2) (c) and (f), cr. (1) (e) Register October 2010 No. 658, eff. 11-1-10.

NR 335.09 NR 335.09 Criteria for priority ranking.

NR 335.09(1) (1) The department shall develop a priority ranking process for the purpose of determining funding priorities for applications under this chapter.

NR 335.09(2) (2) The department may use an advisory committee to help develop the priority ranking process.

NR 335.09(3) (3) The priority ranking process shall be reviewed and adjusted, if necessary, based on experience from past grant cycles and public safety priorities, prior to the notice of a new grant cycle.

NR 335.09(4) (4) The following criteria may be used by the department in the priority ranking process. The criteria are not listed in any order of priority:

NR 335.09(4)(a) (a) Hazard of the dam based on existing land use downstream.

NR 335.09(4)(b) (b) Extent of land use controls currently in effect downstream of the dam to prevent development in the hydraulic shadow of the dam.

NR 335.09(4)(c) (c) Financial need of the applicant.

NR 335.09(4)(d) (d) Total eligible project costs.

NR 335.09(4)(e) (e) Navigability of the watercourse.

NR 335.09(4)(f) (f) Size classification of the dam.

NR 335.09(4)(g) (g) Extent to which the project improves the safety in the area downstream of the dam.

NR 335.09(4)(h) (h) Severity of the deficiencies of the dam.

NR 335.09(4)(i) (i) Time frame in which the project can start construction.

NR 335.09(4)(j) (j) Presence of approved emergency action plan and inspection, operation and maintenance plan for the dam.

NR 335.09(4)(k) (k) Availability of public access to the impoundment created by the dam.

NR 335.09(4)(L) (L) Extent of effort by the owner to responsibly operate and maintain the dam.