W. Va. Code R. § 64-49-9 - Application Procedures and Requirements

9.1. Pre-application Process.
9.1.a. The applicant shall complete and submit to the division a preliminary application package obtained from the division.
9.1.b. The application shall provide documentation that the project has been approved by the West Virginia infrastructure and jobs development council.
9.2. Pre-Bid Process.
9.2.a. The applicant shall obtain written permission from the division to bid the project. The project may be bypassed from the project priority list if the project is bid prior to receiving approval. The applicant shall meet the uniform bidding procedures of the West Virginia infrastructure and jobs development council.
9.2.b. The following documents, where applicable, shall be submitted to the division prior to bidding the project:
9.2.b.1. Updated project costs and financing plan;
9.2.b.2. A copy of the engineering agreement and the public service commission order which approved such agreement;
9.2.b.3. The public service commission's schedule for the certificate of convenience and necessity application;
9.2.b.4. Copies of applicable permits from the division;
9.2.b.5. Evidence of other applicable permits including, but not limited to: permits from the division of environmental protection; the division of highways; and the U. S. Corps of Engineers;
9.2.b.6. Bid documents and proposed bid advertisement;
9.2.b.7. Evidence that eighty percent (80%) of all necessary easements and rights-of-way have been obtained and a list of all titles that need to be acquired with an attorney's list of exceptions;
9.2.b.8. The project administration agreement; and
9.2.b.9.A. If the project will serve two (2) or more entities, an agreement between the entities; or
9.2.b.9.B. If the project will serve a municipality, evidence of adoption of a rate ordinance.
9.3. Pre-Loan Closing Requirements. -- Before loan closing the applicant shall submit the following documents to the division:
9.3.a. A final order from the public service commission which approves the construction and financing of the project;
9.3.b. Evidence that all applicable permits have been obtained;
9.3.c. A set of project plans prepared by a registered professional engineer;
9.3.d. An affidavit of publication of advertisement for bids;
9.3.e. A set of bid documents if changed since the previous submittal;
9.3.f. Bid tabulation certified by a registered professional engineer, indication of which bid was selected, and if the lowest bidder was not selected, an statement prepared by an attorney describing why the lowest bidder was not selected;
9.3.g. A statement by a registered professional engineer that the chosen bidder received any and all addenda to the original bid documents;
9.3.h. A statement by a registered professional engineer that the bid documents reflect the project as approved by the division, that the chosen bid includes every construction item necessary to complete the project and that the uniform bidding procedures were followed;
9.3.i. A title opinion signed by an attorney, which identifies the project and contracts and which indicates that one hundred percent (100%) of the necessary titles, easements and rights-of-way have been obtained or that the governmental agency has received rights-of-entry for the same;
9.3.j. Copies of invoices to be paid at closing;
9.3.k. Payment instructions for funds to be received at closing and on a monthly draw basis thereafter;
9.3.l. All necessary ordinances or resolutions in a form and substance satisfactory to the water development authority and assurance that the applicant has taken or will take all measures required by law to enable it to enter into a loan agreement and to issue its revenue bonds or notes for purchase by the water development authority;
9.3.m. An acceptable schedule for project initiation and completion;
9.3.n. Agreement that the applicant will follow all applicable procurement procedures set forth by State laws and rules;
9.3.o. Documentation that the applicant has obtained approval of user charges necessary to finance the project;
9.3.p. Documentation that the applicant has the financial, managerial and technical capability to complete the project;
9.3.q. Documentation that an environmental review per section 11 of this rule has been completed; and
9.3.r. Documentation that all federal cross-cutters have been addressed in project planning and assurances that the applicant will comply with applicable cross-cutters during project construction.
9.4. Construction and Post Construction.
9.4.a. The system shall follow all applicable procurement procedures set forth by the West Virginia Code.
9.4.b. The recipient shall establish and maintain a financial management system to account for all the costs incurred related to the project. The financial management system shall assure that generally accepted accounting principles and practices are consistently applied in all financial matters related to the project. Financial management shall include the following:
9.4.b.1. The establishment of appropriate controls over project funds, property, and other assets;
9.4.b.2. The maintenance of ledgers containing accurate, current and complete records of all financial actions related to the project;
9.4.b.3. The maintenance of records that identify the source and amount of all moneys used for the project and document how such moneys were used;
9.4.b.4. The maintenance of records that allow a comparison of actual project costs with budgeted costs; and
9.4.b.5. The establishment of procedures that assure a timely resolution of audit findings and recommendations.
9.5. In maintaining the accounting system, the recipient shall:
9.5.a. Establish a separate account for the project;
9.5.b. Record all transactions in ledgers;
9.5.c. Record all transactions in a timely manner;
9.5.d. Designate one (1) person who is responsible for project operations to account for all project funds;
9.5.e. Prepare and submit to the division monthly reports of the financial status of the project; and
9.5.f. Prepare and submit to the division an annual budget for the project.
9.6. The recipient shall maintain records for each loan received that include:
9.6.a. Loan application and loan approval documents;
9.6.b. All contracts and sub-agreements related to the project;
9.6.c. All documents related to the financial management;
9.6.d. All documents requiring action by the State;
9.6.e. Documentation of compliance with applicable federal and State laws, rules, and regulations;
9.6.f. Documentation of moneys received and expended; and
9.6.g. A statement by a registered professional engineer that the as-built project is in accordance with the plans and specifications approved by the division and that the as-built project is in proper working condition.
9.7. All records maintained shall be made available for inspection by the director upon request.
9.8. Prior written approval from the division shall be obtained for any change orders to the construction contract.
9.9. Explanation of any project budget item overrun shall be submitted with that month's funds draw request.

Notes

W. Va. Code R. § 64-49-9

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