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)