TITLE 32: ENERGY
CHAPTER II: DEPARTMENT OF NUCLEAR SAFETY
SUBCHAPTER c: NUCLEAR FACILITY SAFETY
PART 501
PLAN FOR THE COMPENSATION OF LOCAL GOVERNMENTS UNDER
PROVISIONS OF THE "ILLINOIS NUCLEAR SAFETY PREPAREDNESS ACT"
Section
501.10 Purpose and Objectives
501.20 Definitions
501.30 Policies
501.40 Procedures
501.50 Standards for the Determination of Necessary Activities and
Authorized Expenses
AUTHORITY: Implementing and authorized by Section 4 of the Illinois Nuclear
Safety Preparedness Act (Ill. Rev. Stat. 1989, ch. 111�, par. 4304).
SOURCE: Emergency rule Adopted at 5 Ill. Reg. 14862, effective November 22,
1982, for a maximum of 150 days; adopted at 7 Ill. Reg. 5877, effective April
23, 1983; codified at 8 Ill. Reg. 1599; amended at 9 Ill. Reg. 2283, effective
January 30, 1985; amended at 14 Ill. Reg. 16923, effective October 2, 1990.
Section 501.10 Purpose and Objectives
The purpose of this Part is to establish the policies and procedures necessary
to compensate local governments for authorized expenses incurred in
implementation of the Illinois Nuclear Safety Preparedness Act (the Act),
(Ill. Rev. Stat., ch. 111�, par. 4301 et seq.) on or after July 1, 1982. The
policies and procedures contained in this Part are intended to further the
following objectives:
a) to promptly compensate local governments for authorized expenses
incurred in implementation of the Act;
b) to reduce the encumbrance of public funds obligated by local
governments in implementation of the Act by establishment of a
voluntary grant system of compensation, whereby grant monies are
paid to the local government in advance of actual expenditures;
c) to provide guidance to local governments and departmental staff in
determining necessary activities and expenses payable pursuant to
the Act;
d) to establish a fair and equitable system of claims review;
e) to establish a uniform method of submission, documentation and
authentication of claims.
(Source: Amended at 14 Ill. Reg. 16923, effective October 2, 1990)
Section 501.20 Definitions
"Authorized Expenses" means the actual expenditures of public
funds by a local government attributable to implementation of the
Act as determined necessary by the Director, Department of Nuclear
Safety (Department).
"Director" means the Director of the Department of Nuclear Safety
or his designee.
"Drill" means the test or trial of a particular emergency
preparedness system, function or operation, such as
communications.
"Employee" means an individual actually paid wages or allowances
by a local government for work performed on a full-time, part-time
or intermittent basis.
"Exercise" means the testing of emergency response plans for
nuclear facilities, including, but not limited to, the biennial
testing and evaluation of off-site radiological emergency response
plans and preparedness in support of nuclear generating stations,
as required by the U.S. Nuclear Regulatory Commission, 10 CFR 50,
Appendix E, current as of January 1, 1990, exclusive of subsequent
amendments or editions.
"Local Government" means a political subdivision below the State
Government level, such as a county, municipality, township,
village or district, with authority to expend public funds.
(Source: Amended at 14 Ill. Reg. 16923, effective October 2, 1990)
Section 501.30 Policies
a) The Director shall review all claims for compensation submitted by
local governments in accordance with this Part. To the extent
that the General Assembly has made appropriations therefor, the
Director shall compensate local governments for expenses relating
to activities determined to be necessary. Necessary activities
shall include, but not be limited to, the activities specified in
Section 501.50(b). The Department shall compensate local
governments from fees collected pursuant to Section 4 of the Act,
except that such compensation, in the aggregate, shall not exceed
$250,000 in any year.
b) The Division of Planning and Analysis (DPA), Office of Nuclear
Facility Safety, shall be responsible for implementation of this
Part and shall be the point of contact for local governments
relative to the provisions contained herein.
c) This Part shall be reviewed by the Department annually to
determine its effectiveness in accomplishing stated objectives.
Local governments eligible for compensation under this Part are
invited to submit their comments and suggestions at any time.
Noted deficiencies will be promptly corrected and improved methods
and procedures incorporated to enhance program administration.
d) All grants made under this Part providing for payment of funds in
advance of anticipated expenditures shall be made in accordance
with a grant agreement to be executed by both the Director of the
Department and the head of the local government to whom the grant
is awarded.
(Source: Amended at 14 Ill. Reg. 16923, effective October 2, 1990)
Section 501.40 Procedures
a) Procedure for compensating local governments by reimbursement:
1) In order to be eligible for reimbursement of expenses
incurred by local government, the head of the local
government shall provide to the Department the name, title,
business address and phone number of the person designated
to authenticate claims for reimbursement submitted on behalf
of the local government and to act as the point of contact
for questions arising therefrom. This information shall be
submitted, on the prescribed form furnished by the
Department, to the Illinois Department of Nuclear Safety,
Attention: Division of Planning and Analysis, 1035 Outer
Park Drive, Springfield, Illinois 62704.
2) Claims are to be submitted to the Department, Attention:
Division of Planning and Analysis, 1035 Outer Park Drive,
Springfield, Illinois 62704 on the prescribed forms
furnished by the Department. Forms may be obtained from the
Division of Planning and Analysis or reproduced locally at
the option of the user. An initial supply will be furnished
with distribution of this Part. Claims may be consolidated
for each expense category, i.e., personnel services,
individual travel, equipment use, etc., by the local
government or, if more convenient, decentralized by
operating elements under jurisdiction of the local
government entity, e.g., Police Department, Fire Department,
Public Works Department, etc. Either method requires the
attachment of a cover and summary sheet authenticated by the
official designated by the local government head.
3) The Division of Planning and Analysis shall review claims
for completeness, accuracy, conformance with the
requirements of this Part. The Division of Planning and
Analysis shall attempt to resolve any questions surfacing
from this review by communicating with the point of contact
designated by the head of the local government. Upon
completion of this review, the Division of Planning and
Analysis will forward the claim along with its
recommendations to the Director.
4) Claims approved in their entirety by the Director will be
immediately processed for payment through the Fiscal
Services Division and the Division of Planning and Analysis
shall be advised accordingly.
5) Claims with unresolved questions remaining after review of
the Director, will be forwarded to a departmental official,
appointed by the Director, for further investigation of the
excepted expenses. Upon completion of the inquiry, the
claims will be returned to the Director with the findings
and recommendations of the investigating official. After
final review by the Director, claims with exceptions will be
processed for payment of those expenses determined to be
appropriate and consistent with law. The Director shall
advise the claimant, in writing, of any exceptions, and the
basis for the exceptions and a copy of the Director's
decision shall be furnished to the Division of Planning and
Analysis.
6) Local governments shall submit claims for compensation
covering authorized expenses as soon as practicable
following the actual expenditure of public funds. In any
event, claims for expenses incurred on or before June 30 of
any State fiscal year must be received by the Department
within 60 days following the close of the State fiscal year
to which they pertain to ensure timely review and
processing.
b) Procedure for grants awarding funds in advance of expenditures:
1) Participating local governments shall, by March 1st of each
year, submit a grant application to the Department for the
purpose of receiving compensation in advance of anticipated
expenditures for the ensuing State fiscal year. The
application shall contain a description of the purpose for
which the grant is being sought, the proposed term of the
grant and an annual spend plan covering the estimated
expenses of the participating local government. The annual
spend plan shall be submitted on a form provided by the
Department. The grant application shall also include the
name, title, business address and phone number of the person
designated to authenticate documents submitted on behalf of
the local government and to act as point of contact for
questions arising under the grant. The application shall be
signed by the head of the local government.
2) After receipt of the application, the Division of Planning
and Analysis shall review the application to determine
whether award of the grant would further the purposes
expressed in Section 4 of the Act. No later than June 1st
of each year, the Division of Planning and Analysis shall
make recommendations to the Director regarding action to be
taken on the applications. The recommendations regarding
award of grants shall be based on the purposes specified in
the Act, the standards specified in Section 501.50 and on
availability of funds.
3) After review of recommendations made by the Division of
Planning and Analysis, the Director shall execute a grant
agreement with each local government to whom a grant is
awarded. The grant agreement shall specify the parties to
the grant, the term of the grant, the amount of the grant,
method of payment of grant monies, permissible uses of grant
monies, that documentation of expenditures be submitted to
the Department, that unspent grant monies shall be returned
to the State as required by the Illinois Grant Funds
Recovery Act (Ill. Rev. Stat., ch. 127, par. 2304), that the
Department may audit records to verify that grant monies
were used for permissible uses under the grant, and that the
grant agreement shall cease if funds for the grant are not
appropriated by the General Assembly, and any other standard
provisions required by the comptroller to be included in
contracts entered into by the State.
4) Upon execution of the grant agreement, the Department shall
allocate funds to a grant account established for the
participating local government in an amount equal to the
grant award. On July 1st of each year, or as soon
thereafter as is practicable, the Department shall disburse
to the local government an amount equal to the approved
grant expenses that are anticipated to be incurred during
the first fiscal quarter. On October 1st, or as soon
thereafter as is practicable, the Department shall disburse
to the local government an amount equal to the approved
grant expenses that are anticipated to be incurred during
the second fiscal quarter. On January 1st, or as soon
thereafter as is practiciable, the Department shall disburse
to the local government an amount equal to the approved
grant expenses anticipated to be incurred during the third
quarter less any amount previously disbursed for 1st quarter
expenses for which documentation has not been submitted to
the Department and approved by the Department in accordance
with subsection (b)(5). On April 1st, or as soon thereafter
as is practicable, the Department shall disburse to the
local government an amount equal to the approved grant
expenses anticipated to be incurred during the fourth
quarter less any amounts previously disbursed for 1st and
2nd quarter expenses for which documentation has not been
submitted to the Department and approved by the Department
in accordance with subsection (b)(5).
AGENCY NOTE: It is the Department's intent that grant funds
will be disbursed on the first day of each quarter.
However, such disbursement might be delayed for reasons
beyond the Department's control, e.g., failure of the
General Assembly to make appropriations before July 1,
failure of a local government to submit a complete grant
application by March 1st.
5) Participating local governments shall submit documentation
of expenditures under the grant. Such documentation shall
be on the forms provided by the Department and shall be
submitted no later than 20 days following the close of the
state fiscal quarter in which the expenditure of public
funds was made. Within 30 days of receiving the
documentation, the Department shall notify the local
government in writing whether the documentation has been
approved or disapproved. The Department shall also notify
the local government in writing whether the future
disbursements of the grant award are subject to adjustment
under subsection (b)(4), and if so, what the adjusted
disbursement will be.
(Source: Amended at 14 Ill. Reg. 16923, effective October 2, 1990)
Section 501.50 Standards for the Determination of Necessary Activities and
Authorized Expenses
a) The following standards are used by the Department staff in
determining necessary activities and authorized expenses payable
under the provisions of this Part. These standards are designed
to achieve equality among known prospective claimants while taking
into account the limitations imposed by the availability of
appropriated funds.
b) Necessary Activities:
1) Response planning, preparation, radiological training and
drills.
2) Participation in the exercising of transportation and fixed
facility nuclear response plans.
3) Internal post exercise critique and corrective action.
c) Authorized Expenses:
1) Personnel Services
A) Wages, plus fringe benefits, actually paid to local
governmental employees for participation in necessary
activities as described in subsection (b).
B) Compensation shall be based on hourly rates for the
number of hours of actual participation in necessary
activities as described in subsection (b).
C) Compensation for "matching funds" type employees shall
be limited to wages actually paid from the local
government's share of total funds contributed.
2) Individual Travel
A) Travel allowances actually paid to local government
employees for travel performed in connection with
their participation in necessary activities as
described in subsection (b).
B) Compensation for transportation, lodging, and per diem
or meal expenses shall not exceed the rate in the
State of Illinois Travel Regulations, 80 Ill. Adm.
Code 3000, in effect at the time the expenditure was
incurred unless a local government ordinance, rule or
regulation applicable to all employees of the local
government specifies a higher rate.
3) Equipment Use
A) Costs actually paid, incurred or obligated for local
government owned or leased equipment used during or in
connection with a necessary activity as specified in
subsection (b).
B) Compensation for equipment use shall not exceed the
rates indicated in the following table without
complete documentation:
Type Equipment Rate Optional Rate
Automobile $0.30 per mile $3.20 per hour
of actual
operation
Bus $0.60 per mile $8.80 per hour
of actual
operation
Emergency Vehicle Base rate, fee None
(ambulance, fire or service charge
truck, rescue customary to the
vehicle) area of operation
C) Expenses for use of motorized equipment not listed in
the table above shall be fully documented. Such
documentation shall include the date of use, type of
equipment, entity that used the equipment, miles or
hours that the equipment was used, and cost per mile
or hour for equipment use.
4) Miscellaneous Expenses
A) Emergency Operations Center (EOC) Telecommunications
i) Installation, service and maintenance charges
for those telecommunication lines, circuits and
equipment used exclusively for exercising
nuclear emergency response plans.
ii) Telecommunication lines or circuit usage charges
relating exclusively to the exercising of
nuclear emergency response plans.
B) EOC Operational Materials: costs of maps, charts,
plexiglass, status boards and similar materials
relating exclusively to the exercising of nuclear
emergency response plans.
5) Other Expenses
A) Expenses not specifically covered herein relating in
whole or in part to necessary activities, as specified
in subsection (b), shall be reviewed on a case by case
basis. Claims for expenses not specifically covered
herein, shall be reviewed on a case by case basis to
determine whether they related, in whole or in part,
to necessary activities as specified in subsection
(b).
B) Requests for compensation of such expenses shall be
accompanied by documentation of the amount of funds to
be expended as well as a statement identifying the
relationship of the expense to the activities listed
in subsection (b). Prior to incurring such expenses,
the local government shall submit the request for
compensation to the Illinois Department of Nuclear
Safety, Attention, Division of Planning and Analysis,
1035 Outer Park Drive, Springfield, Illinois 62704.
(Source: Amended at 14 Ill. Reg. 16923, effective October 2, 1990)
