GRANTS

SUBPART A: INTRODUCTION

Section

870.101

Purpose

870.102

Definitions

870.103

Severability

SUBPART B: MUNICIPAL WASTE PLANNING GRANTS

Section

870.201

Grant Assistance Availability

870.202

Assistance Amount

870.203

Allocation

870.204

Required Content of Applications for MWP Grants

870.205

Agency Action on Application

870.206

Grant Award and Acceptance

870.207

Grantee Responsibilities

870.208

Supplemental SWP Grants (Repealed)

870.209

Grant Payment Schedule

870.210

Noncompliance with Grant Conditions

870.211

Indemnity

870.212

Guidance for Planning (Repealed)

SUBPART C: NONHAZARDOUS SOLID WASTE OR MUNICIPAL WASTE

ENFORCEMENT GRANTS

Section

870.301

Grant Assistance Availability

870.302

Assistance Amount

870.303

Required Content of Applications for SMWE Grants

870.304

Agency Action on Application

870.305

Grant Award and Acceptance

870.306

Evaluation of Performance

870.307

Supplemental SWE Grants (Repealed)

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870.308

Grant Payment Schedule

870.309

Noncompliance with Grant Conditions

870.310

Indemnity

AUTHORITY

: Implementing and authorized by Section 22.15 of the Environmental

Protection Act [415 ILCS 5/22.15].

SOURCE

: Emergency rules adopted at 10 Ill. Reg. 17780, effective September 29,

1986, for a maximum of 150 days; adopted at 11 Ill. Reg. 9585, effective May 15,

1987; amended at 14 Ill. Reg. 19024, effective November 13, 1990; amended at 15 Ill.

Reg. 9311, effective June 18, 1991; amended at 19 Ill. Reg. 11861, effective August

3, 1995.

Section 870.101 Purpose

a) The Illinois Solid Waste Management Act [415 ILCS 20] amended the

Environmental Protection Act [415 ILCS 5] (Act) by adding Section

22.15 of the Act which authorized the Environmental Protection Agency

to:

1)

Provide financial assistance to units of local government in

planning for the management of nonhazardous solid waste

or

municipal waste

where alternatives to disposal of nonhazardous

solid waste

or municipal waste

in a sanitary landfill will receive

full evaluation and consideration in the planning process;

 

or in

plans prepared pursuant to the Local Solid Waste

 

Disposal Act or

the Solid Waste Planning and Recycling Act

[415 ILCS

5/22.15(g)]; and

2)

Provide

 

financial assistance to units of local government for the

performance of inspecting, investigating and enforcement

activities pursuant to Section 4(r)

of the Act

at nonhazardous

solid waste

or municipal waste

disposal sites

[415 ILCS

5/22.15(h)].

b) This part sets forth the procedures used by the Agency in the issuance of

grants to units of local government for:

1) planning for the management of municipal waste in accordance

with Section 22.15(g) of the Act [415 ILCS 5/22.15(g)] of the

Act; and

2) inspecting, investigating and enforcement activities at

nonhazardous solid waste or municipal waste disposal sites in

accordance with Section 22.15(h) [415 ILCS 5/22.15(h)].

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(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.102 Definitions

For purposes of this Part, the words and terms used in this Part shall have the meanings

below. Words and terms not defined in this Part, if defined in the Environmental

Protection Act [415 ILCS 5], shall have the meanings as defined therein. Words and

terms not defined in this Part and not defined in the Environmental Protection Act [415

ILCS 5] shall have the meaning as defined in the Solid Waste Planning and Recycling

Act [415 ILCS 15].

“Act” or “Environmental Protections Act” means the Environmental

Protection Act at 415 ILCS 5.

“Advertising” means costs for advertising related to grant activities.

Public notices, newspaper advertisements, and consultant procurement

costs are typically included in the advertising category.

“

Agency” means the Environmental Protection Agency established by the

Environmental Protection Act

. (Section 3.01 of the Act)

“Allowable costs” means allocable project costs of the grantee that are

reasonable and necessary. These may include, but are not limited to:

Costs of salaries, benefits, and expendable material incurred by

the grantee for the project, except as provided in 35 Ill. Adm.

Code 871.601(b)(7);

Professional and consultant services;

Project feasibility and engineering reports; and

Materials acquired, consumed, or expended specifically for the

project.

“Amortization” means the prorating of appropriate other direct costs

over a useful life, and the subsequent submittal of the prorated cost to

the Agency for reimbursement.

“An accounting” means a compilation of documentation to establish,

substantiate and justify the nature and extent of the charges for which the

grantee is requesting reimbursement.

“Applicant” means the unit of local government that is applying for a

municipal waste planning or nonhazardous solid or municipal waste

enforcement grant under Section 22.15 of the Act.

“Combustion”, as applied to municipal waste, means the incineration of

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municipal waste for either energy recovery or volume reduction.

“Commercial waste”, as applied to municipal waste, means

nonhazardous waste originating from wholesale, retail, or service

establishments such as office buildings, stores, markets, theaters, hotels,

motels, and warehouses.

“Composting”

means the biological treatment process by which

microorganisms decompose the organic fraction of waste, producing

compost

. (Section 3.70 of the Act)

“Computer charges” means expenses related to the lease or rental of

computers, printers, and accessories.

“Conference or training registration” means expenses related to

registration for conferences, workshops, seminars, and training that are

grant-related.

“Construction or demolition debris”, as applied to municipal waste,

means nonhazardous materials, such as broken concrete, stone, rock,

bricks or building or construction debris resulting from construction or

demolition activities.

“Content”, as applied to municipal waste, means the composition or

characterization of that waste.

“Contractor” means the person, as defined in Section 3.26 of the Act, to

whom a subagreement is awarded.

“Delegation agreement” means an agreement authorized by Section 4(r)

of the Act under which the Agency may delegate inspection,

investigation and enforcement authority at nonhazardous solid or

municipal waste facilities or sites to a unit of local government.

“Direct labor costs” means expenses for personnel working on grant-

related activities that can be directly identified to the grant. These costs

may include costs for the applicant’s or grantee’s direct personnel, in-

kind contributions, and fringe benefits, but do not include contractors’

costs.

“Direct personnel costs” means expenses for an applicant’s or grantee’s

employees that can be directly identified to the grant. These costs do not

include subcontractors’ costs.

“Directly identifiable costs” means grant expenses that can be

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documented and traced to allowable grant activities and are supported by

accurate and adequate documentation, such as timesheets, receipts, logs

and vouchers.

“Economic assessment” means a study, review, or evaluation of the

economic effects of a particular municipal waste management option or

combination of options on the study area.

“Environmental assessment” means a study, review, or evaluation of the

environmental effects of a particular municipal waste management option

or combination of options on the study area.

“Equipment” means items to be purchased for grant activities that

individually cost $50 or more and have a useful life of one year or more.

These typically include office furniture, computers and printers,

calculators and adding machines, and cameras.

“Expensed” means that requests for reimbursement for other direct costs

are submitted by the grantee during the year in which the costs were

accrued.

“Facilities, projects or programs”, as applied to municipal waste

management, means existing and proposed sites, operations, activities,

and other recommended actions related to municipal waste management

planning.

“Fringe benefits” means benefits for the applicant’s or grantee’s

personnel. These may include, but are not limited to, social security,

retirement, unemployment insurance, workers’ compensation, and health

insurance.

“Garbage” means

waste resulting from the handling, processing,

preparation, cooking, and consumption of food, and wastes from the

handling, processing, storage, and sale of produce

. (Section 3.11 of the

Act)

“General household waste”, as applied to municipal waste, means

nonhazardous solid waste originating in single and multiple-family

dwellings.

“Grant agreement” means the written agreement and amendments thereto

between the Agency and a grantee in which the terms and conditions

governing the grant are stated and agreed to by both parties.

“Grantee” means the unit of local government that has been awarded a

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grant for municipal waste planning or nonhazardous solid or municipal

waste enforcement under Section 22.15 of the Act.

“Implementation”, as applied to municipal waste planning, means

activities related to the initiation or execution of facilities, projects, or

programs included in an adopted waste management plan.

“Indirect Costs” means those costs incurred by an applicant or grantee

for a common or joint purpose but benefitting more than one cost

objective, and not readily identifiable to the cost objectives specifically

benefitted. Procedures for the determination of indirect costs and

indirect cost rates are found at 35 Ill. Adm. Code 871.Appendix B.

“Industrial lunchroom or office waste” means non-industrial waste

produced in industrial lunchrooms, cafeterias or food-serving functions,

or offices.

“In-kind contributions” means goods and services donated to the

applicant’s or grantee’s grant program by a second unrelated party.

These goods and services must be contributed to the applicant or grantee

and a fair market value must be assigned to these contributions.

“Institutional waste”, as applied to municipal waste, means non-

industrial waste originating in facilities such as schools, hospitals,

correctional facilities, and research institutions.

“Landscape Waste” means

all accumulations of grass or shrubbery

cuttings, leaves, tree limbs and other materials accumulated as the result

of the care of lawns, shrubbery, vines and trees

. (Section 3.20 of the

Act)

“Licensed professional engineer” means an individual currently licensed

to practice professional engineering in the State of Illinois.

“Local Solid Waste Disposal Act” or “LSWDA” means the Local Solid

Waste Disposal Act at 415 ILCS 10.

“Municipal joint action agency” means a planning or implementation

agency formed pursuant to Section 3 of the Intergovernmental

Cooperation Act [5 ILCS 220/3] consisting of any two or more

municipalities, counties, or combination thereof formed by

intergovernmental agreement to provide for efficient and

environmentally sound collection, transportation, processing, storage,

and disposal of municipal waste.

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“Municipal waste” means

garbage, general household, institutional and

commercial waste, industrial lunchroom or office waste, landscape

waste, and construction or demolition debris

. (Section 3 of the Solid

Waste Planning and Recycling Act [415 ILCS 15/3]).

“Municipal waste management plan” means a program designed to

manage municipal waste over a 20-year period. Plans shall include an

evaluation of the existing municipal waste management system and a set

of recommended actions that matches municipal waste management

alternatives to applicable portions of the waste stream, and shall be

adopted in accordance with the Solid Waste Planning and Recycling Act

[415 ILCS 15].

“Municipal waste management planning” means the evaluation of

various municipal waste management alternatives, using economic,

energy, environmental, political, and technical criteria appropriate to the

planning area, for incorporation in a municipal waste management plan

to be adopted in accordance with the Solid Waste Planning and

Recycling Act [415 ILCS 15].

“Nonhazardous Municipal Waste Planning Grants” or “MWP” Grants

means grants issued pursuant to Section 22.15(g) of the Act and Subpart

B of this Part.

“Municipal Waste Planning Grants” or “MWP Grants” means grants

issued pursuant to Section 22.15(g) of the Act and Subpart B of this

Part.

“Nonhazardous Solid Waste or Municipal Waste Enforcement Grants” or

“SMWE Grants” means grants issued pursuant to Section 22.15(h) of the

Act and Subpart C of this Part.

“Office lease and utility expenses” means expenses for the lease or rental

of office space and the concomitant utility expenses such as for heat and

electricity.

“Origin”, as applied to municipal waste, means the source of that waste,

such as the general household, commercial, or institutional sector of the

waste stream.

“Other direct costs” means those grant costs that can be directly

identified as grant-related. These include travel, equipment, supplies,

postage, advertising, computer charges, telecommunications, office lease

and utility costs, vehicle charges, printing, and conference and training

registration.

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“Outputs” means all draft and final reports, documents, plans, and other

materials produced for grant program elements. These include Phase I-

Needs Assessments and Phase II-Municipal Waste Management Plans

adopted in accordance with the provisions of the Solid Waste Planning

and Recycling Act [415 ILCS 15].

“Phase I MWP Grant” means a Municipal Waste Needs Assessment

Grant issued pursuant to Section 22.15(g) of the Act and 35 Ill. Adm.

Code 870.204(b).

“Phase II MWP Grant” means a Municipal Waste Planning Grant issued

pursuant to Section 22.15(g) of the Act and 35 Ill. Adm. Code

870.204(c).

“Phase III MWP Grant” means a Municipal Waste Implementation

Planning Grant issued pursuant to Section 22.15(g) of the Act and 35 Ill.

Adm. Code 870.204(d).

“Postage” means expenses for transmitting mail and packages for grant

activities. These typically include regular, certified, express mail, and

shipping charges for packages.

“Printing” means expenses related to copying, printing, reproduction,

and document preparation.

“Program elements” means all activities, tasks, duties, assignments,

functions, or responsibilities to be conducted to complete grant outputs,

projects or programs.

“Recycling center” means

a site or facility that accepts only segregated,

nonhazardous, nonspecial, homogenous, nonputrescible materials, such

as dry paper, glass, cans or plastics, for subsequent use in the secondary

materials market

. (Section 3.81 of the Act)

“Recycling program” means facilities, projects, activities, or

recommendations included in a municipal waste management plan that

comply with the provisions of the Solid Waste Planning and Recycling

Act [415 ILCS 15].

“Recycling, reclamation or reuse” means

a method, technique or process

designed to remove any contaminant from waste so as to render such

waste reusable, or any process by which materials that would otherwise

be disposed of or discarded are collected, separated or processed and

returned to the economic mainstream in the form of raw materials or

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products

. (Section 3.30 of the Act)

“Solid Waste” means

waste.

(Section 3.82 of the Act)

“Solid Waste Management Act” means the Solid Waste Management Act

at 415 ILCS 20.

“Solid Waste Planning and Recycling Act” or “SWPRA” means the

Solid Waste Planning and Recycling Act at 415 ILCS 15.

“Source reduction”, as applied to municipal waste, means the design,

manufacture, acquisition, purchase, or use of materials or products to

reduce the amount or toxicity of municipal waste before it enters the

municipal waste stream. This may be accomplished through the redesign

of manufacturing processes; redesign of products; changes in consumers’

purchasing decisions, use, and disposal habits; and backyard composting.

“State” means the State of Illinois.

“Subagreement” means a written agreement between the grantee and

another party, such as a contractor, and any tier of agreement thereunder

for the furnishing of services, supplies, or equipment necessary to

complete the project for which a grant was awarded, including contracts

for personal and professional services and purchase orders.

“Subcontractor progress report” means a summary of a subcontrator’s

progress in meeting its tasks required under a grantee subagreement.

Subcontractor progress reports shall include: the tasks completed during

the reporting period; a description of any problems or delays; and a

listing of current billing information. Subcontractors shall submit

progress reports to grantees for transmittal to the Agency in accordance

with the schedule in the grant agreement.

“Supplies” means items to be purchased for grant activities that have an

individual cost of less than $50 and a useful life of less than one year

and/or are personal (fitted or sized, such as gloves and boots) in nature.

“Telecommunications” means expenses related to telecommunications,

such as telephone installation and usage, portable telephones, and pagers.

“Transfer station” means

a site or facility that accepts waste for

temporary storage or consolidation and for further transfer to a waste

disposal, treatment or storage facility. “Transfer station” includes a site

where waste is transferred from:

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A rail carrier to a motor vehicle or water carrier;

A water carrier to a rail carrier or motor vehicle;

A motor vehicle to a rail carrier, water carrier or motor vehicle;

A rail carrier to a rail carrier, if the waste is removed from a rail

car; or

A water carrier to a water carrier, if the waste is removed from a

vessel

. (Section 3.83 of the Act)

“Travel” means expenses related to the applicant’s or grantee’s execution

of grant-related activities while on travel status. These typically include

mileage, transportation, lodging, meals or per diem, and parking.

"Unallowable costs" means costs that exceed the total amount of the

grant offer or which are not necessary for completion of the work

required by the grant agreement. Such costs include, but are not limited

to:

Areawide planning or enforcement not directly related to the

project;

Bonus payments not legally required for completion of the

project;

Personal injury compensation or damages arising out of the

project, whether determined by adjudication, arbitration,

negotiation, or otherwise;

Fines and penalties resulting from violations of, or failure to

comply with, federal, State or local laws;

Costs outside the scope of the approved planning or enforcement

project;

Interest on bonds or any other form of indebtedness required to

finance the project costs;

Ordinary operating expenses of local governments, such as

salaries and expenses of a mayor, city council members, or city

attorney, except as provided in 35 Ill. Adm. Code 871.601(d);

Site acquisition (for example, sanitary landfills and sludge

disposals areas);

Costs for which payment has been or will be received under

another State or federal assistance program;

Costs of equipment or material procured in violation of any of the

35 Ill. Adm. Code 871 provisions;

Costs of special funds (i.e., industry advancement funds; funds to

reimburse bidding costs to unsuccessful offerors, etc.) financed

by contractors, contributions in the industry for methods and

materials research, public and industry relations, market

development, labor-management matters, wage negotiations,

jurisdictional disputes, or defraying of all or part of unsuccessful

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offerors’ bidding costs;

Costs under contracts that are incurred after the expiration of the

applicable contractual completion date, even if the contractual

completion date is subsequently extended by the grantee, unless

such extention has been approved by the Agency in accordance

with 35 Ill. Adm. Code 871.402;

Personal and professional consultant services costs arising under

cost-plus-percentage-of-cost type of agreement (including the

multiplier contract where profit is in the multiplier);

Personal and professional consultant services costs when the

Agency has been refused access to the books and records of the

contractor or the contractor has refused to renegotiate a personal

or professional services contract in accordance with 35 Ill. Adm.

Code 302; and

Increases in personal and professional consultant services contract

fees which are based solely on a percentage of increased costs

notwithstanding the contractual liabilities of the grantee under

such contract.

"Unit of local government" means a municipality, county, or a municipal

joint action agency pursuant to Section 3 of the Intergovernmental

Cooperation Act [5 ILCS 220/3], or if the context requires, the member

municipalities of such an agency or its territory.

"Vehicle changes" means costs for the lease, rental, purchase or

utilization of a vehicle for grant activities. If a vehicle is purchased,

only an amortized amount, calculated over a 36 month lifespan, may be

reimbursed by the Agency.

"Volume reduction at the source" means source reduction.

"Waste" means

any garbage, sludge from a waste treatment plant, water

supply treatment plant, or air pollution control facility or other discarded

material, including solid, liquid, semi-solid, or contained gaseous

material resulting from industrial, commercial, mining and agricultural

operations, and from community activities, but does not include solid or

dissolved materials in irrigation return flows or industrial discharges

which are point sources subject to permits under Section 402 of the

federal Water Pollution Control Act, as now or hereafter amended, or

source, special nuclear, or by-product materials as defined in the Atomic

Energy Act of 1954, as amended (68 U.S.C. 921) or any solid or

dissolved materials from any facility subject to the federal Surface

Mining Control and Reclamation Act of 1977 (P.L. 95-87) or the rules

and regulations thereunder or any law or rule or regulation adopted by

the State of Illinois pursuant thereto

, except that for the purposes of this

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Part, waste does not include hazardous waste. (Section 3.53 of the Act)

"Waste audit" or "Waste stream audit", as applied to municipal waste,

means a systematic accounting of materials (inputs) and products or

waste (outputs) to identify potential waste reduction or recycling

opportunities.

"Waste characterization study", as applied to municipal waste, means a

study designed to determine estimates of the composition or

characterization of that waste.

"Waste generation", as applied to municipal waste, means the weight or

volume of materials and products as they enter the municipal waste

stream, and before materials recovery, combustion, or landfilling occur.

"Waste reduction", as applied to municipal waste, means all municipal

waste management methods resulting in a reduction of municipal waste

requiring final disposal. Municipal waste reduction includes, but is not

limited to, source reduction, recycling, composting, and shredding and

compaction of municipal waste.

"Waste stream", as applied to municipal waste, means the waste

generated by a specific sector as it moves from generation to final

handling. A waste stream may include the municipal waste stream

components, the total waste stream, or any component thereof.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.103 Severability

If any Section, subsection, sentence or clause of this Part shall be adjudged

unconstitutional, void, invalid or otherwise unlawful, such adjudication shall not affect

the validity of this Part as a whole, or any Section, subsection, sentence or clause

thereof not adjudged unconstitutional, void, invalid or otherwise unlawful.

Section 870.201 Grant Assistance Availability

a) Subject to the availability of funding and the limitations and

requirements set forth in this Part, grant assistance is available for the

following planning projects and programs for the management of

municipal waste:

1) Phase I MWP Grants (Municipal Waste Needs Assessment).

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2) Phase II MWP Grants (Municipal Waste Planning).

3) Phase I and II MWP Grants (Municipal Waste Needs Assessment

and Planning).

4) Phase III MWP Implementation Grants (Municipal Waste

Implementation Planning).

b) The State share for total eligible costs for MWP Grants shall not exceed

70 percent.

c) Forms and instructions for applying for grant funding will be made

available to eligible units of local government by the Agency.

d) As of September 1, 1995, no applications for Phase I or Phase II Grants

will be accepted by the Agency.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.202 Assistance Amount

a) The amount of assistance to be provided to an applicant will be based

on:

1) Identification of a need for planning in the affected area for

management of municipal waste;

2) Provision of a specific means for satisfying that need through

development of information conducive to the full evaluation and

consideration of each preferred alternative to landfill facilities as

identified in Section 2(b) of the Illinois Solid Waste Management

Act;

3) Demonstration that the costs of the work program do not exceed

the benefits from the proposed outputs. If the Agency's

evaluation indicates that the proposed outputs do not justify the

level of funding requested, the Agency may reduce the assistance

amount; and

4) The extent to which the applicant's work program is

demonstrated to be necessary and appropriate and to the extent

that the anticipated cost of the applicant's program is

proportionate to the proposed outputs.

b) No combination of MWP Phase I and II Grants issued under this Subpart

may provide aggregate financial assistance in excess of $500,000.

c) Counties and municipal joint action agencies shall be eligible for Phase

III Municipal Waste Implementation Planning Grants. No Phase III

Municipal Waste Implementation Planning Grant issued under this

Subpart shall provide financial assistance in excess of $500,000.

d) Phase III Municipal Waste Implementation Planning Grants will not be

issued to counties and municipal joint action agencies without an adopted

plan that has been deemed by the Agency to meet the requirements of the

Solid Waste Planning and Recycling Act and any other applicable State

legislation. These grants will provide funding for further planning

---

toward implementation of municipal waste management alternatives

identified in adopted plans. These adopted plans may be developed with

State financial assistance. The issuance of Phase III grants is not

contingent upon receipt of previous State financial assistance.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.203 Allocation

a) MWP Phase I and II grant funds shall be allocated for approved

applications in the order of receipt of complete applications, to the extent

that funds are available and appropriate. Priority in awarding grant

funding shall be given to applicants that:

1) Have received no prior MWP grants; or

2) Are conducting planning in areas for which no previous planning

activities have occurred.

b) The Agency shall make application forms, and other forms, and

instructions available to counties and municipal joint action agencies to

apply for Phase III grant funding. The Agency shall accept applications

for Phase III Municipal Waste Implementation Planning Grants only on

December 30 and June 30 of each year. If either of these dates falls on a

weekend or a State holiday, applications will be accepted on the next

business day. Applicants must submit applications on forms prescribed

and provided by the Agency.

1) To the extent that funds are available and appropriated, priority

in reviewing grant applications shall be given to applicants based

on the date and time that a complete application is received from

the grant applicant by the Planning and Grants Unit, Solid Waste

Management Section, Division of Land Pollution Control, Bureau

of Land, Illinois Environmental Protection Agency. For

purposes of review prioritizaton, a complete Phase III grant

application must:

A) Include an ordinance or resolution by the applicant

certifying that a municipal waste management plan has

been adopted in accordance with the provisions of the

Solid Waste Planning and Recycling Act. If the plan has

been revised after initial adoption, a resolution or

ordinance that designates the revisions as part of the plan

must be submitted;

B) Include an ordinance or resolution by the applicant

certifying that implementation of the plan, including the

recycling program, has begun within one year after plan

adoption; and

C) Adequately address the provisions of Section 870.204(d)

of this Part, including but not limited to:

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i) A description of the facilities, projects, and

programs included in the adopted municipal waste

management plan, for which funding is requested,

with priority given to projects or programs that are

designed to produce significant increases in waste

reduction or recycling;

ii) The tasks to be completed for the facility, project,

or program. This information shall be specific to

the facility, project, or program, and shall address

the provisions of Section 870.204(d)(4) (A)

through (D) of this Part;

iii) A work program to be carried out under the grant,

including a schedule for completing tasks and

program elements, costs for each program

element, and outputs for each program element;

and

iv) Cost justification for the amount requested,

including a budget submitted on forms provided

and prescribed by the Agency, in accordance with

instructions provided by the Agency.

2)

Priority in the awarding of such assistance shall be given to

projects and programs that are designed to produce significant

increases in waste reduction or recycling

. (Section 22.15.(g) of

the Act) The Agency shall approve or disapprove complete

applications in accordance with Section 870.205 of this Part.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.204 Required Content of Applications for MWP Grants

a) MWP Grants will not be awarded unless complete, acceptable

applications are filed in accordance with the requirements of this

Section.

b) A complete, acceptable application for a MWP Grant for a Phase I --

Municipal Waste Needs Assessment shall address and provide

information for the following:

1) The geographic area to be encompassed by the grant, including

demographic data.

2) The methods to be used in assessing municipal waste needs and

obtaining the information required under subsection (b)(3) below.

These may include, but are not limited to, surveys, literature

reviews, waste characterization studies, and weighing and sorting

projects. The statistical methodology that will be used to ensure

that the data to be collected is accurate shall be included.

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3) Methods and procedures by which the following information will

be acquired:

A) Origin, content, and weight or volume of municipal waste

currently generated;

B) Origin, content, and weight or volume of municipal waste

annually disposed in landfills;

C) Origin, content, and weight or volume of municipal waste

annually recycled, reclaimed, or reused;

D) Origin, content, and weight or volume of municipal waste

annually combusted for energy recovery;

E) Origin, content, and weight or volume of municipal waste

annually combusted for volume reduction;

F) Weight or volume of municipal waste annually transported

into (imported) and out of (exported) the study area;

G) Average distance municipal waste is transported before

final handling;

H) Weight or volume and handling methods used for

municipal waste managed on-site; and

I)

A description of the facilities where municipal waste is

currently being processed or disposed of and the

remaining available permitted capacity of such facilities

.

(Section 4 of the SWPRA)

4) Projections of information required under subsection (b)(3) above

for twenty years from the study date as required by the SWPRA.

5) The work program to be carried out under the grant. The work

program must specify:

A) Number of months and/or work years needed for each

program element;

B) The outputs committed to under each program element,

including outputs required under subsections (b)(3) and

(b)(4) above;

C) A schedule for accomplishment of outputs and the tasks to

be accomplished to meet the outputs;

D) Identification of the unit of local government responsible

for each of the elements and outputs; and

E) Identification of the public involvement process to be used

in developing the program. At a minimum, such process

shall provide for at least one public meeting to be held,

after reasonable notice to the public, for the purpose of

receiving public comment.

6) Cost justifications for the amount requested, including a budget

submitted on forms prescribed and provided by the Agency for

the expenses to be incurred. With the exception of indirect costs

(as defined in 35 Ill. Adm. Code 871.Appendix B), all costs must

be directly identified as grant related. To be directly identifiable

---

and eligible for grant reimbursement, expenses must be

documentable and traceable to the grant.

7) The budget, which shall be submitted to the Agency on forms

prescribed and provided by the Agency, shall include at a

minimum:

A) Demonstration through an ordinance or resolution of

source of funds for the local share.

B) Direct labor costs, which shall be itemized as follows:

i) Direct personnel;

ii) In-kind contributions;

iii) Fringe benefits.

C) Indirect costs, as defined and described in 35 Ill. Adm.

Code 871.Appendix B.

D) Other direct costs include:

i) Travel;

ii) Equipment;

iii) Supplies;

iv) Postage;

v) Advertising;

vi) Computer charges;

vii) Telecommunications;

viii) Office lease and utility costs;

ix) Vehicle charges;

x) Printing; and

xi) Training and conference registration.

E) Subagreements.

F) Total estimated cost.

G) Source of funds by budget category.

H) Allocation of funds by State fiscal year.

I) Local contributions.

c) Applicants for a MWP Grant for Phase II -- Municipal Waste Planning

must submit applications that reflect the final plan adopted by the county

as required by Section 4(b) of the Solid Waste Planning and Recycling

Act on or before September 1, 1995. Such an application shall address

and provide information for the following:

1) The geographic area to be encompassed by the grant, including

demographic data.

2) An assessment of the municipal waste needs for the planning area

which includes the information required under subsections (b)(3)

and (b)(4) above.

3) The outputs to be developed by the applicant in planning for the

effective and efficient management of solid

or municipal

waste in

a manner that promotes economic development, protects the

environment and public health and safety and allows the most

practical and beneficial use of the material and energy values of

---

solid

or municipal

waste

. (Section 2(a)(4) of the Illinois Solid

Waste Management Act)

4) The outputs to be developed by the applicant to assure that, with

respect to all identified municipal waste needs for the planning

area,

alternatives to disposal of nonhazardous waste in a sanitary

landfill will receive full evaluation and consideration in the

planning process

 

or in plans prepared pursuant to the Local Solid

Waste Disposal Act or the Solid Waste Planning and Recycling

Act

. (Section 22.15(g) of the Act) The applicant must

demonstrate the environmental, economic, and technical

feasibility aspects of each alternative in accordance with

the

following management hierarchy, in descending

 

order of

preference:

A)

Volume reduction at the source.

B)

Recycling and reuse.

C)

Combustion with energy recovery.

D)

Combustion for volume reduction.

E)

Disposal in landfill facilities.

(Section 2(b) of the Illinois

Solid Waste Management Act)

5) The methods to be used by the applicant to ensure development

of a municipal waste management plan in accordance with the

Solid Waste Planning and Recycling Act or the Local Solid

Waste Disposal Act. These methods shall provide, at a

minimum, the following:

A)

A description of the origin, content, and weight or volume

of municipal waste currently generated within

the planning

area's

boundaries, and the origin, content, and weight or

volume of municipal waste that will be generated during

the next 20 years, including an assessment of the primary

variables affecting this estimate and the extent to which

they can reasonably be expected to occur;

B)

A description of the facilities where municipal waste is

currently being processed or disposed of and the

remaining available permitted capacity of such facilities;

C)

A description of the facilities and programs that are

proposed for the management of municipal waste

generated within the

planning area's

boundaries during

the next 20 years, including, but not limited to, their size,

expected cost and financing method;

D)

An evaluation of the environmental, energy, life cycle cost

and economic advantages and disadvantages of the

proposed waste management facilities and programs;

E)

A description of the time schedule for the development and

operation of each proposed facility or program;

---

F)

The identity of potential sites within the

planning area

where each proposed waste processing, disposal, and

recycling program will be located or an explanation of

how the sites will be chosen. For any facility outside the

planning area

that is proposed to be used, the plan shall

explain the reasons for selecting such facility

(Section 4 of

the SWPRA);

G)

If the plan concludes that waste stream control measures

are necessary to implement the plan, the identification of

those measures

(Section 3 of the Local Solid Waste

Disposal Act);

H)

The identity of the governmental entity responsible for

implementing the plan and an explanation of the legal

basis for the entity's authority to do so

(Section 6 of the

SWPRA);

I)

Adequate provision for the present and reasonably

anticipated future needs of the recycling and resource

recovery interests within the area

(Section 3 of the Local

Solid Waste Disposal Act); and

J) A description of the planning area's recycling program.

Such recycling program:

i)

Shall be

designed to be

implemented throughout

the

planning area's

boundaries and

shall

include a

time schedule for implementation.

ii)

Shall provide for the designation of a recycling

coordinator to administer the program.

iii)

Shall be designed to recycle, by the end of the

third and fifth years of the program respectively,

15% and 25% of the municipal waste generated

in

the planning area,

subject to the existence of a

viable market for the recycled material, based on

measurements of recycling and waste generated in

terms of weight. The determination of recycling

rate shall not include: discarded motor vehicles,

wastes used for clean fill or erosion control, or

commercial, institutional, or industrial machinery

or equipment.

iv)

May provide for the construction and operation of

one or more recycling centers by a unit of local

government, or for contracting with other public or

private entities for the operation of recycling

centers

.

v)

May

be designed to

require residents to separate

recyclable materials at the time of disposal or

trash pick-up

.

---

vi)

May

be designed to

make special provision for

commercial and institutional establishments that

implement their own specialized recycling

programs, provided that such establishments

annually provide written documentation of the total

number of tons of material recycled

in the planning

area.

vii)

Shall

be designed to

provide for separate collection

and composting of leaves

.

viii)

Shall include public education and notification

programs to foster understanding of and encourage

compliance with the recycling program.

ix)

Shall

be designed to

include provisions for

compliance, including incentives and penalties

.

x)

Shall include provisions for recycling the collected

materials, identifying potential markets for at least

3 recyclable materials, and promoting the use of

products made from recovered or recycled

materials among businesses, newspapers, and

local governments in the

planning area.

xi)

May

be designed to

provide for the payment of

recycling diversion credits to public and private

parties engaged in recycling activities

. (Section 6

of the SWPRA)

K)

Any other information that the Agency may require

.

(Section 4 of the SWPRA)

6) The work program to be carried out under the grant. The work

program shall specify:

A) The number of months and/or work years needed for each

program element;

B) The outputs committed to under each program element

including outputs required under subsections

870.204(c)(3) and (c)(4) above;

C) A schedule for accomplishment of outputs and the tasks to

be accomplished to meet the outputs;

D) The unit of local government responsible for each of the

elements and outputs; and

E) The public involvement process to be used in developing

the program. At a minimum, such process shall comply

with the public involvement process included in the Solid

Waste Planning and Recycling Act, and provide for at

least one public hearing to be held, after reasonable notice

to the public, for the purpose of receiving public

comment.

---

7) Cost justifications for the amount requested, including a budget

submitted on forms prescribed and provided by the Agency for

the expenses to be incurred. With the exception of indirect costs

(as defined in 35 Ill. Adm. Code 871.Appendix B), all costs must

be directly identified as grant-related. To be directly identifiable

and eligible for grant reimbursement, expenses must be

documentable and traceable to the grant.

8) The budget, which shall be submitted to the Agency on forms

prescribed and provided by the Agency, shall include at a

minimum:

A) Demonstration through an ordinance or resolution of the

source of funds for the local share.

B) Direct labor costs, which shall be itemized as follows:

i) Direct personnel;

ii) In-kind contributions; and

iii) Fringe benefits.

C) Indirect costs, as defined and described in 35 Ill. Adm.

Code 871.Appendix B.

D) Other direct costs, which shall include:

i) Travel;

ii) Equipment;

iii) Supplies;

iv) Postage;

v) Advertising;

vi) Computer charges;

vii) Telecommunications;

viii) Office lease and utility costs;

ix) Vehicle charges;

x) Printing; and

xi) Training and conference registration.

E) Subagreements.

F) Total estimated cost.

G) Source of funds by budget category.

H) Allocation of funds by State fiscal year.

I) Local contributions.

d) A complete, acceptable application for a MWP grant for Phase III --

Municipal Waste Implementation Planning shall address and provide

information for the following:

1) The geographic area to be encompassed by the grant, including

demographic data.

2) A municipal waste management plan adopted in accordance with

the provisions of the Solid Waste Planning and Recycling Act.

Such plan shall include an ordinance or resolution by the

applicant certifying that a municipal waste management plan has

been adopted in accordance with the provisions of the Solid

---

Waste Planning and Recycling Act. If the plan has been revised

after initial adoption, a resolution or ordinance which designates

the revisions as part of the plan must be submitted. The

municipal waste management plan shall address, at a minimum,

the following:

A)

A description of the origin, content, and weight or volume

of municipal waste currently generated within the county's

or municipal joint action agency's

boundaries, and the

origin, content, and weight or volume of municipal waste

that will be generated within the county's

or municipal

joint action agency's

boundaries during the next 20 years,

including an assessment of the primary variables affecting

this estimate and the extent to which they can reasonably

be expected to occur

;

B)

A description of the facilities where municipal waste is

currently being processed or disposed of and the

remaining available permitted capacity of such facilities;

C)

A description of the facilities and programs that are

proposed for the management of municipal waste

generated within the county's

or municipal joint action

agency's

boundaries during the next 20 years, including,

but not limited to, their size, expected cost and financing

method;

D)

An evaluation of the environmental, energy, life cycle cost

and economic advantages and disadvantages of the

proposed waste management facilities and programs;

E)

A description of the time schedule for the development and

operation of each proposed facility or program;

F)

The identity of potential sites within the county

or

municipal joint action agency

where each proposed waste

processing, disposal, and recycling program will be

located, or an explanation of how the sites will be chosen.

For any facility outside the county

or municipal joint

action agency

that is proposed to be used. The plan shall

explain the reasons for selecting such facility

(Section 4 of

the SWPRA);

G)

The identity of the governmental entity responsible for

implementing the plan on behalf of the county

or

municipal joint action agency

and explanation of the legal

basis for the entity's authority to do so

(Section 6 of the

SWPRA);

H) A description of the county's or municipal joint action

agency's recycling program. Such recycling program:

---

i)

Shall be implemented throughout the county's

or

municipal joint action agency's

boundaries, and

shall

include a time schedule for implementation;

ii)

Shall provide for the designation of a recycling

coordinator to administer the program;

iii)

Shall be designed to recycle, by the end of the

third and fifth years of the program respectively,

15% and 25% of the municipal waste generated in

the county

or municipal joint action agency,

subject to the existence of a viable market for the

recycled material, based on measurements of

recycling and waste generated in terms of weight.

The determination of recycling rate shall not

include: discarded motor vehicles, wastes used for

clean fill or erosion control, or commercial,

institutional, or industrial machinery or

equipment;

iv)

May provide for the construction and operation of

one or more recycling centers by a unit of local

government, or for contracting with other public or

private entities for the operation of recycling

centers;

v)

May require residents of the county

or municipal

joint action agency

to separate recyclable materials

at the time of disposal or trash pick-up;

vi)

May make special provision for commercial and

institutional establishments that implement their

own specialized recycling programs, provided that

such establishments annually provide written

documentation to the county

or municipal joint

action agency

of the total number of tons of

material recycled;

vii)

Shall provide for separate collection and

composting of leaves;

viii)

Shall include public education and notification

programs to foster understanding of and encourage

compliance with the recycling program;

ix)

Shall include provisions for compliance, including

incentives and penalties;

x)

Shall include provisions for recycling the collected

materials, identifying potential markets for at least

3 recyclable materials and promoting the use of

products made from recovered or recycled

materials among businesses, newspapers, and

---

local governments in the county

or municipal joint

action agency; and

xi)

May provide for the payment of recycling diversion

credits to public and private parties engaged in

recycling activities

(Section 6 of the SWPRA).

I)

Any other information that the Agency may require.

(Section 4 of the SWPRA)

3) The facilities, projects, and programs included in the adopted

municipal waste management plan for which funding is

requested. These shall include:

A) The facility, project, or program type;

B) The methods to be used to achieve significant increases in

waste reduction or recycling;

C) The methods and tasks to be used in facility, project, or

program implementation planning;

D) The area to be serviced by the facility, project or

program;

E) The responsible unit of local government; and

F) The proposed owner and operator of the facility, project,

or program.

4) The tasks to be completed under the grant. This information

shall be specific to the selected facility, project or program.

Unless it can be demonstrated to the Agency's satisfaction that

these activities are not applicable, these categories shall include,

but shall not be limited to:

A) For waste reduction (including, but not limited to, source

reduction, recycling, composting, and shredding or

compaction of municipal waste):

i) Waste characterization studies;

ii) Waste stream audits;

iii) Waste reduction studies;

iv) Environmental assessments; and

v) Economic impact analysis.

B) For transfer station facilities:

i) Waste characterization studies;

ii) Computer modeling or simulations for air and

noise emmissions, and waste collection routings;

iii) Economic impact analysis; and

iv) Environmental assessments.

C) For combustion facilities:

i) Computer modeling or simulations for air and

noise emissions;

ii) Economic impact analysis;

iii) Environmental assessments; and

iv) Waste characterization studies.

---

D) For landfill facilities:

i) Soil sampling, including test borings and soil

testing;

ii) Computer modeling or simulations for

groundwater flow, waste collection routings, air

emissions, and surface water impacts;

iii) Engineering and architectural drawings and plans;

iv) Requests for qualifications and requests for

proposals;

v) Environmental assessments; and

vi) Economic impact analysis.

5) The work program to be carried out under the grant. The work

program must specify:

A) Number of months and/or work years needed for each

program element;

B) Total cost for each program element;

C) The outputs committed to under each program element;

D) A schedule for accomplishment of outputs and the tasks to

be accomplished to meet the outputs; and

E) Identification of a licensed professional engineer

registered in the State of Illinois who will be responsible

for reviewing the appropriate outputs.

6) Cost justifications for the amount requested, including a budget

submitted on forms prescribed and provided by the Agency for

the expenses to be incurred. With the exception of indirect costs

(as defined in 35 Ill. Adm. Code 871.Appendix B), all costs must

be directly identified as grant-related. To be directly identifiable

and eligible for grant reimbursement, expenses must be

documentable and traceable to the grant.

7) The budget, which shall be submitted to the Agency on forms

prescribed and provided by the Agency, shall include at a

minimum:

A) Demonstration through an ordinance or resolution of the

source of funds for the local share.

B) Direct labor costs, which shall be itemized as follows:

i) Direct personnel;

ii) In-kind contributions; and

iii) Fringe benefits.

C) Indirect costs, as defined and described in 35 Ill. Adm.

Code 871.Appendix B.

D) Other direct costs, which shall include:

i) Travel;

ii) Equipment;

iii) Supplies;

iv) Postage;

---

v) Advertising;

vi) Computer charges;

vii) Telecommunications;

viii) Office lease and utility costs;

ix) Vehicle charges;

x) Printing; and

xi) Training and conference registration.

E) Subagreements.

F) Total estimated cost.

G) Source of funds by budget category.

H) Allocation of funds by State fiscal year.

I) Local contributions.

8) Items that are not eligible for a Municipal Waste Implementation

Planning Grant shall include, but not be limited to, land

purchase, purchase or lease of construction machinery, building

materials or building legal fees, or lawsuit settlements.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.205 Agency Action on Application

Within 90 days after receipt, the Agency shall review each application and may

approve each complete, acceptable application that meets all criteria and requirements

pursuant to Section 870.204 of this Part, or disapprove each application that does not

meet all criteria and requirements pursuant to Section 870.204 of this Part. When

funds are available, the Agency will award assistance to approved applicants.

a) Approval. Within 90 days after receipt of a complete, acceptable

application that meets all criteria and requirements of Section 870.204 of

this Part, the Agency shall submit written approval of the application to

the applicant. If the Agency needs an extension of time beyond the 90

days, it will notify the applicant of such extension in writing. The

application shall not be deemed automatically approved if the Agency

fails to notify the applicant of approval or disapproval within 90 days

after receipt. The Agency will approve the application only if it satisfies

the terms, conditions, and limitations of Section 870.204 and relevant

statutes and program regulations; and if achievement of the proposed

outputs is feasible, considering the applicant's existing problems, past

performance under previous grants, program authority, organization,

availability of local share resources, and proposed methodologies for

accomplishing outputs.

b) Disapproval. For applications that are not approved, the Agency's

review shall include written comments necessary to revise the application

to develop a complete, acceptable application that meets all criteria and

requirements pursuant to Section 870.204 of this Part. If the application

cannot be approved, the Agency will negotiate with the applicant to

---

change the output commitments, to reduce the assistance amount, or to

make any other changes necessary for approval. If negotiation fails, the

Agency will disapprove the application in writing.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

a) Where the Agency has approved an application, the Agency shall so

notify the applicant in writing. The grant award notification shall

include the following:

1) All conditions of the grant, including:

A) Criteria and procedures for determining allowable costs;

B) The proportion of allowable costs that the State will pay

under the grant (the " State share");

C) The grant payment schedule;

D) Requirements applicable to access, auditing, reporting and

records; and

E) Requirements applicable to contractors and the grantee.

2) Grounds and procedures for action by the Agency in the event of

noncompliance with these rules or any grant conditions.

b) Within 45 days after receipt of a grant award notification under this

Section, the grantee shall notify the Agency in writing of its acceptance

by submitting the grant agreement with appropriate signatures to the

Agency. Failure to submit the notice of acceptance required by the grant

offer during this period may result in:

1) Withholding of the grant award;

2) Termination of the grant award; or

3) Such other action as the Agency may be authorized to take.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.207 Grantee Responsibilities

The recipient of a Phase I, Phase II, or a Phase I and II grant shall develop draft and

final documents in accordance with the approved grant agreement's budget, scope of

work, and schedule. Grantees shall submit draft sections of their documents and

reports to the Agency for review and comment. Agency input shall be provided in

response to these draft sections in a timely manner, not to exceed 90 days from receipt

of outputs. The Agency shall make recommendations on the draft and final documents

to ensure compliance with provisions of the grant award and to ensure production of an

acceptable document. Grantees shall make revisions in response to Agency

recommendations in a timely manner, not to exceed 90 days from receipt of Agency

comments. Failure to develop and submit draft and final documents in accordance with

---

the approved grant agreement's budget, scope of work, and schedule may subject the

grantee to the noncompliance provisions in Section 870.210 of this Part.

a) Grantees shall collect and compile data as required by Section

870.204(b)(3) of this Part. Data collection methods shall be the most

statistically accurate and economical within the scope of the grant award,

and may include, but not be limited to, surveys, literature reviews, waste

characterization studies, and weighing and sorting projects. Grantees

shall make good faith efforts to collect and compile the most accurate

and comprehensive data possible. Grantees are responsible for the

reliability and verification of data presented in their documents.

b) Grantees shall develop projections for data as required by Section

870.204(b)(4) of this Part. Information used to develop these

projections shall include municipal waste generation data on a per capita

basis and population and employment data. Any assumptions used to

develop these projections shall be included and a single projection shall

be selected for the required information.

c) Grantees shall develop final documents for Phase I, Phase II, Phase I

and II or Phase III MWP grants. These shall adequately address the

applicable requirements of Section 870.204(b), (c) or (d) of this Part, the

Solid Waste Planning and Recycling Act, the Local Solid Waste Disposal

Act, and any other applicable legislation. The Agency will approve final

documents and make final payments only after the requirements of

Section 870.204(b), (c) or (d) of this Part, as applicable, have been

addressed to the Agency's satisfaction and revisions have been made in

response to the Agency's comments.

d) Upon receipt of the grant, grantees shall identify a project manager to

oversee the administration of the grant. The project manager shall be an

employee of the grantee and shall not be a contractor hired by the

grantee. The project manager shall act as the primary contact between

the grantee and the Agency and shall have direct responsibility for

project administration and completion. In the case of a multi-county

regional planning grant, the counties shall designate a project manager to

administer the grant on their behalf. This project manager shall maintain

regular correspondence with each county and act as the liaison between

the grantee and the Agency. The grantee shall notify the Agency in a

timely manner of any changes in the project manager's status relative to

the project.

Project managers shall oversee contractors hired by the grantee to

complete the project. Project managers shall submit correspondence,

reports and drafts, and requests for payment and subcontractor progress

reports to the Agency on behalf of the grantee as well as any other

materials required by the Agency, during the course of the project.

e) Grantees shall submit outputs committed to under each program element

in accordance with the schedule presented in the grant agreement. The

Agency may issue no-cost time extensions to grantees to allow for

---

further time to complete the requirements of the grant agreement.

Extensions shall not exceed one calendar year from the scheduled

completion date in the original grant agreement. These shall be

approved only if each of the following is met:

1) Agency evaluation of the grantee's performance and progress

toward completing the outputs in the approved work program

indicates that a good faith effort has been made;

2) The grantee has submitted outputs on a quarterly basis, or in

accordance with the schedule in the approved grant agreement;

3) The grantee has submitted requests for payment and progress

reports in accordance with the schedule included in the grant

agreement; and

4) The grantee submits a revised schedule for completing the

remaining requirements of the grant agreement.

f) The Agency will oversee each grantee's performance under the grant

agreement. The Agency will evaluate grantee performance and progress

toward completing the outputs in the approved work program according

to the schedule in the grant agreement. The grantee shall submit outputs

to the Agency on a quarterly basis or in accordance with the schedule in

the approved grant agreement. The Agency will review grantee outputs

for compliance with the grant agreement and provide comments to the

grantee in a timely manner, not to exceed 90 days from receipt of the

outputs. Grantees shall make revisions to draft documents in accordance

with Agency comments before preparation of the final documents. If the

evaluation reveals that the recipient is not achieving the conditions of the

grant agreement to the Agency's satisfaction, the Agency will attempt to

resolve the situation through negotiations. If agreement is not reached,

the Agency may impose sanctions as set forth in Section 870.210 of this

Part.

g) Each Phase I, Phase II, Phase I and II or Phase III MWP grantee shall

notify the Agency in writing when it has completed 50 percent of the

work to be performed under the grant agreement. Upon receipt of the

notification, the Agency shall schedule a meeting with the grantee to

discuss the progress in meeting the requirements of the grant agreement

and to determine whether the grantee will meet the requirements of the

grant agreement in a timely manner.

h) Under Phase I, Phase II, or Phase I and II MWP Grants final documents

shall be sent to the Agency in a finished and printed form, with five

copies, by the date set forth in the grant agreement. Each Phase I final

report shall provide the information obtained, as specified in Section

870.204(b) of this Part. Each Phase II final report shall provide the

information required as specified in Section 870.204(c) of this Part,

including all conclusions, recommendations and demonstrations called

for under the approved application. The Agency will review Phase I and

---

Phase II documents and make appropriate recommendations to ensure

these meet the requirements of the grant agreement.

i) Appropriate and relevant Phase III outputs, as defined in the grant

agreement, shall be submitted to the Agency in accordance with the

schedule in the grant agreement. The Agency will review Phase III

documents and make appropriate recommendations to ensure these meet

the requirements of the grant agreement. All design work related to

facilities needing permits shall be prepared by, or under the supervision

of, a Licensed Professional Engineer. The Licensed Professional

Engineer shall affix the engineer's name, date of preparation,

registration number, a statement attesting to the accuracy of the

information and design, and a professional seal to all designs.

(Source: Section repealed, new Section added at 19 Ill. Reg. 11861, effective August

3, 1995)

Section 870.208 Supplemental SWP Grants (Repealed)

(Source: Repealed at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.209 Grant Payment Schedule

a) Requests for partial or final payment shall be sent by the grantee to the

Agency and shall demonstrate the performance of work in accordance

with the terms of the grant agreement. Requests shall be made

according to the grant payment schedule. The Agency shall not make

payment for requests for payment that are submitted by a grantee more

than 12 months after the eligible grant expenses have been incurred. In

addition, grantees shall submit grantee progress reports, on forms

prescribed and provided by the Agency, in accordance with the grant

agreement.

b) With the exception of indirect costs (as defined in Section 871.Appendix

B of this Part) all grant costs must be directly identified as grant-related.

To be directly identifiable and eligible for grant reimbursement,

expenses must be documentable and traceable to the grant and submitted

on forms prescribed and provided by the Agency, in accordance with the

Agency's instructions. Accurate documentation must be submitted by

the grantee with the request for payment in accordance with the payment

schedule in the grant agreement. If accurate documentation for all grant

expenses cannot be provided by the grantee, reimbursement shall not be

made.

c) The grantee shall be paid the State share of allowable costs incurred

within the scope of an approved project not to exceed the total grant,

subject to the limitations of the conditions of the grant. Such payments

must be in accordance with the payment schedule and the grant amount

---

set forth in the grant agreement. Where the Agency has issued a Phase I

and II MWP Grant, the Agency will not make payment for Phase II

work items until all Phase I work items have been completed in

accordance with the terms of the grant agreement.

1) Requests for payment

The grantee shall submit requests for payments and progress

reports to the Agency for allowable costs incurred in accordance

with the payment schedule set forth in the grant agreement. The

grantee shall include an accounting of all eligible grant expenses

to the Agency with the requests for payment. Subject to the

availability of appropriated funding, the Agency shall cause

payment to be disbursed to the grantee upon receipt of accurate

documentation with the request for payment. Such funds shall be

disbursed so that the total amount of State payments made to the

grantee for the project is equal to the State share of the actual or

estimated allowable project costs incurred to date, as certified by

the grantee in its most recent request for payment. Failure to

submit requests for payments and progress reports in accordance

with the payment schedule set forth in the grant agreement may

subject the grantee to the noncompliance provisions of Section

870.210 of this Part.

2) Adjustment

At any time or times prior to final payment under the grant, the

Agency may cause any request(s) for payment to be reviewed or

audited by the Agency. Each subsequent payment shall be

subject to reduction for amounts included in the related request

for payment which are found, on the basis of such review or

audit not to constitute allowable costs. Any payment will be

reduced for overpayments or increased for underpayments on

preceding requests for payment.

3) Refunds, rebates, credits, etc.

The State share of any refunds, rebates, credits, or other amounts

(including any interest thereon) accruing to or received by the

grantee with respect to the project, to the extent that they are

properly allocable to costs for which the grantee has been paid

under a grant, must be paid to the State of Illinois Solid Waste

Management Fund. Reasonable expenses incurred by the grantee

for the purposes of securing such refunds, rebates, credits, or

other amounts shall be allowable costs under the grant.

4) Final payment

The Agency will retain ten percent of all documented costs and

will not issue payment for the retained amount until compliance

with all applicable requirements of the grant has been

demonstrated by the grantee. Upon compliance by the grantee

with all applicable requirements of the grant, the Agency shall

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cause to be disbursed to the grantee any balance of approved

allowable project costs which has not been paid to the grantee.

Prior to final payment under the grant, the grantee must execute

and deliver an unconditional assignment to the Agency, on forms

prescribed and provided by the Agency, of the State share of

refunds, rebates, credits or other amounts (including any interest

thereon) properly allocable to costs for which the grantee has

been paid by the State under the grant, and a release discharging

the State of Illinois, its officers, agents, and employees from all

liabilities, obligations, and claims arising out of the project work

or under the grant. Exceptions to such release shall be allowed

only where the grantee is powerless as a matter of law, or

precluded by litigation, from conveying such an unconditional

release.

5) Schedule of payment

Payments for eligible grant expenses will be paid by the Agency

in accordance with the payment schedule set forth in the grant

agreement, subject to appropriation of funds by the Illinois

General Assembly. Failure to submit requests for payment and

grantee progress reports in accordance with the schedule in the

grant agreement may subject the grantee to the noncompliance

provisions in Section 870.210 of this Part.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.210 Noncompliance with Grant Conditions

a) In addition to such other remedies as may be provided by law, in the

event of noncompliance with any condition imposed pursuant to a MWP

grant:

1) The grant may be annulled and all grant funds recovered;

2) The grant may be terminated;

3) The project work may be suspended;

4) An injunction may be entered by an appropriate court; or

5) Such other action as the Agency may be authorized to take.

b) No action shall be taken under this Section without prior consultation

with the grantee.

c) Recovery actions taken under this Section shall be pursuant to the Illinois

Grant Funds Recovery Act [30 ILCS 705].

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.211 Indemnity

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The grantee shall assume the entire risk, responsibility and liability for any and all loss

or damage to property owned by the grantee, the Agency or third persons, and any

injury to or death of any persons (including employees of the grantee) caused by,

arising out of, or occurring in connection with the execution of any work, contract or

subcontract arising out of this grant, and the grantee shall indemnify, save harmless and

defend the State of Illinois and the Agency from all claims for any such loss, damage,

injury or death whether caused by the negligence of the State of Illinois, the Agency,

their agents or employees or otherwise consistent with the provisions of the

Construction Contract Indemnification for Negligence Act [740 ILCS 35]. The grantee

shall require that any and all contractors or subcontractors engaged by the grantee shall

agree in writing that they shall look solely to the grantee for performance of such

contract or satisfaction of any and all claims arising thereunder.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.212 Guidance for Planning (Repealed)

(Source: Repealed at 19 Ill. Reg. 11861, effective August 3, 1995)

SUBPART C: NONHAZARDOUS SOLID WASTE OR MUNICIPAL WASTE

Section 870.301 Grant Assistance Availability

a) Subject to the availability of funding and the limitation and requirements

set forth in this Part, grant assistance is available to units of local

government that have entered into written delegation agreements with the

Agency pursuant to Section 4(r) of the Act under which the Agency has

delegated all or portions of its inspecting, investigating and enforcement

functions at nonhazardous solid waste or municipal waste disposal sites.

b) The State share for total eligible costs for SMWE Grants shall not

exceed 70 percent.

c) SMWE Grants shall be issued with budget periods which shall be

concurrent with the state fiscal year. SMWE Grants may be issued in

subsequent fiscal years subject to funding availability and the

requirements of this Part.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.302 Assistance Amount

a) In determining the amount of assistance to an applicant, the Agency will

evaluate the extent to which the applicant's work program is

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demonstrated to be necessary and appropriate and the anticipated cost of

the applicant's program is proportionate to the proposed outputs.

b) If the Agency's evaluation of the applicant's work program indicates that

the proposed outputs do not justify the level of funding requested, the

Agency will reduce the assistance amount.

c) No SMWE grant issued under this Subpart may provide financial

assistance in excess of $100,000.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.303 Required Content of Applications for SMWE Grants

a) SMWE Grants will not be awarded unless complete, acceptable

applications are submitted in accordance with the requirements of this

Section. Forms and instructions for applying for grant funding will be

made available to all eligible units of local government by the Agency.

b) A complete, acceptable application for a SMWE Grant shall address the

following:

1) The geographic area to be encompassed by the grant.

2) The status of a written delegation agreement pursuant to Section

4(r) of the Act.

A) Applicants with a current delegation agreement shall

provide the following:

i) The level of resources to which the applicant is

currently committed;

ii) The current annual number of inspections being

conducted; and

iii) A description of the applicant's capabilities to

conduct the local enforcement program, along with

a discussion of the process to be used to implement

administrative citation authority.

B) Applicants with no delegation agreement shall initiate a

discussion of negotiation for a delegation agreement with

the Agency.

3) The work program to be carried out under the grant. The work

program shall include:

A) A brief narrative on the local nonhazardous solid or

municipal waste management system to be subject to the

enforcement program. This shall encompass information

based on the Agency's Division of Land Pollution

Control, Field Operations Section data on the current

annual number of inspections being conducted by the

Agency or the applicant;

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B) The number of currently permitted nonhazardous solid or

municipal waste disposal sites to be subject to local

inspection;

C) An inspection schedule including the number and

frequency of activities for:

i) Permitted nonhazardous solid or municipal waste

landfills and transfer stations;

ii) Permitted landscape waste composting facilities;

iii) Closed and covered nonhazardous solid or

municipal waste landfills; and

iv) Open dump investigations, including follow-up

investigations;

D) A description of a training program for assigned staff,

developed in conjunction with Agency staff;

E) A description of equipment requirements needed to

implement the local nonhazardous solid waste or

municipal waste enforcement program;

F) Coordination procedures to be used between the applicant

and Agency staff related to inspection protocol and

response times;

G) Establishment of open dump investigation procedures and

response times;

H) Methods for assessing compliance with recordkeeping and

payment procedures related to the solid waste tipping fee

at permitted landfills; and

I) A description of the total number of activities to be

conducted under the grant. At least 100 activities should

be conducted by each full-time inspector on an annual

basis. Agency staff will provide assistance in developing

the local enforcement program schedule, scope of work,

and budget.

4) Cost justifications for the amount requested including a budget,

submitted on forms prescribed and provided by the Agency, for

the expenses to be incurred. With the exception of indirect costs

(as defined in 35 Ill. Adm. Code 871.Appendix B), all costs must

be directly identified as grant-related. To be directly identifiable

and eligible for grant reimbursement, expenses must be

documentable and traceable to the grant. The budget, which

shall be submitted to the Agency on forms prescribed and

provided by the Agency, shall include at a minimum:

A) Demonstration through an ordinance or resolution of the

source of funds for the local share.

B) Direct labor costs, which shall be itemized as follows:

i) Direct personnel;

ii) In-kind contributions; and

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iii) Fringe benefits.

C) Indirect costs, as defined and described in 35 Ill. Adm.

Code 871.Appendix B.

D) Other direct costs, which shall include:

i) Travel;

ii) Equipment;

iii) Supplies;

iv) Postage;

v) Advertising;

vi) Computer charges;

vii) Telecommunications;

viii) Office lease and utility costs;

ix) Vehicle charges;

x) Printing; and

xi) Training and conference registration.

E) Subagreements.

F) Total estimated cost.

G) Source of funds by budget category.

H) Allocation of funds by State fiscal year.

I) Local contributions.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.304 Agency Action on Application

Within 90 days after receipt, the Agency will review each application and may

approveeach complete, acceptable application that meets all criteria and requirements

pursuant to Section 870.303 of this Part, or disapprove each application that does not

meet all criteria and requirements pursuant to Section 870.303 of this Part. When

funds are available, the Agency will award assistance to an approved application. For

a continuation award made after the beginning of the approved budget period, the

Agency will reimburse the applicant for allowable costs incurred from the beginning of

the budget period, provided that such costs are contained in the approved application

and that the application was submitted before the expiration of the prior budget period

applications.

a) Approval. Within 90 days after receipt of a complete, acceptable

application that meets all criteria and requirements of Section 870.303 of

this Part, the Agency shall submit written approval of the application to

the applicant. If the Agency needs an extension of time beyond 90 days,

it will notify the applicant of such extension in writing. The application

shall not be deemed automatically approved if the Agency fails to notify

the applicant of approval or disapproval within 90 days after receipt.

The Agency will approve the application only if it satisfies the terms,

conditions, and limitations of Section 870.303 and relevant statutes and

program regulations; and if achievement of the proposed outputs is

---

feasible, considering the applicant's existing problems, past performance

under previous grants, program authority, organization, availability of

local share resources, and proposed methodologies for accomplishing

outputs.

b) Disapproval. For applications that are not approved, the Agency's

review shall include written comments necessary to revise the application

to develop a complete, acceptable application that meets all criteria and

requirements pursuant to Section 870.303 of this Part. If the application

cannot be approved, the Agency will negotiate with the applicant to

change the output commitments, to reduce the assistance amount, or to

make any other changes necessary for approval. If negotiation fails, the

Agency will disapprove the application in writing.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.305 Grant Award and Acceptance

a) When the Agency has approved an application, the Agency shall notify

the applicant in writing. The grant award notification shall include the

following:

1) All conditions of the grant, including:

A) Criteria and procedures for determining allowable costs;

B) The proportion of allowable costs for which the State will

pay under the grant (the " State share");

C) The grant payment schedule;

D) Requirements applicable to access, auditing, reporting and

records; and

E) Requirements applicable to subagreements and employees

of the grantee.

2) Grounds and procedures for action by the Agency in the event of

noncompliance with these rules or any grant conditions.

b) Within 30 days of receipt of the grant award notification under this

Section, the grantee shall notify the Agency in writing of its acceptance

by submitting the grant agreement, with appropriate signatures, to the

Agency. Failure to submit the notice of acceptance required by the grant

may result in:

1) Withholding of the grant award;

2) Termination of the grant award; or

3) Such other action as the Agency may be authorized to take.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.306 Evaluation of Performance

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The Agency will oversee each recipient's performance under an enforcement grant.

The Agency will evaluate grantee performance and progress toward completing the

outputs in the approved work program according to the schedule. If the evaluation

reveals that the grantee is not achieving one or more of the conditions of the assistance

agreement, the Agency will attempt to resolve the situation through negotiation. If

agreement is not reached, the Agency may impose any of the sanctions in Section

870.309 of this Part.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.307 Supplemental SWE Grants (Repealed)

(Source: Repealed at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.308 Grant Payment Schedule

a) Request for partial or final payment shall be sent to the Agency and shall

demonstrate the performance of work in accordance with the terms of

the grant agreement. Requests shall be made according to the grant

payment schedule. In addition, grantees shall submit grantee progress

reports, on forms prescribed and provided by the Agency, in accordance

with the grant agreement.

b) With the exception of indirect costs (as defined in 35 Ill. Adm. Code

871.Appendix B), all grant costs must be directly identified as grant

related. To be directly identifiable and eligible for grant reimbursement,

expenses must be documentable and traceable to the grant. Accurate

documentation, on forms prescribed and provided by the Agency, must

be provided by the grantee in accordance with the schedule for payment

in the grant agreement for all grant expenses. If accurate documentation

for all grant expenses cannot be provided by the grantee, reimbursement

shall not be made.

c) The grantee shall be paid the State share of allowable costs incurred

within the scope of an approved project not to exceed the total grant,

subject to the limitations of the conditions of the grant. Such payments

must be in accordance with the payment schedule and the grant amount

set forth in the grant agreement.

1) Request for Payment The grantee shall submit requests for

payment and progress reports to the Agency for allowable costs

incurred in accordance with the payment schedule set forth in the

grant agreement. The grantee shall include an accounting of all

eligible grant expenses to the Agency with the requests for

payment. Subject to the availability of appropriated funding, the

Agency shall cause payment to be disbursed to the grantee upon

receipt of accurate documentation with the request for payment.

Such funds shall be disbursed so that the total amount of State

---

payments made to the grantee for the project is equal to the State

share of the actual or estimated allowable project costs incurred

to date, as certified by the grantee in its most recent request for

payment.

2) Adjustment At any time or times prior to final payment under the

grant, the Agency may cause any request(s) for payment to be

reviewed or audited by the Agency. Each subsequent payment

shall be subject to reduction for amounts included in the related

request for payment which are found, on the basis of such review

or audit, not to constitute allowable costs. Any payment will be

reduced for overpayments or increased for underpayments on

preceding requests for payment.

3) Refunds, rebates, credits, etc. The State share of any refunds,

rebates, credits, or other amounts (including any interest thereon)

accruing to or received by the grantee with respect to the project,

to the extent that they are properly allocable costs for which the

grantee has been paid under a grant, must be paid to the State of

Illinois Solid Waste Management Fund. Reasonable expenses

incurred by the grantee for the purposes of securing such funds,

rebates, credits, or other amounts shall be allowable costs under

the grant.

4) Schedule of payment Payments for eligible grant expenses will be

paid by the Agency in accordance with the payment schedule set

forth in the grant agreement subject to appropriation of funds by

the Illinois General Assembly. Failure to submit requests for

payment and progress reports in accordance with the schedule in

the grant agreement may subject the grantee to the noncompliance

provisions in Section 870.309 of this Part.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.309 Noncompliance with Grant Conditions

a) In addition to such other remedies as may be provided by law, in the

event of noncompliance with any condition imposed pursuant to a

SMWE grant:

1) The grant may be annulled and all grant funds recovered;

2) The grant may be terminated;

3) The project work may be suspended;

4) An injunction may be entered by an appropriate court; or

5) Such other action as the Agency may be authorized to take.

b) No action shall be taken under this Section without prior consultation

with the applicant.

c) Recovery actions taken under this Section shall be pursuant to the Illinois

Grant Funds Recovery Act [30 ILCS 705].

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(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)

Section 870.310 Indemnity

The grantee shall assume the entire risk, responsibility and liability for any and all loss

or damage to property owned by the grantee, the Agency or third persons, and any

injury to or death of any persons (including employees of the grantee) caused by,

arising out of, or occurring in connection with the execution of any work, contract or

subcontract arising out of this grant, and the grantee shall indemnify, save harmless and

defend the State of Illinois and the Agency from all claims for any such loss, damage,

injury or death whether caused by the negligence of the State of Illinois, the Agency,

their agents or employees or otherwise consistent with the provisions of the

Construction Contract Indemnification for Negligence Act [740 ILCS 35]. The grantee

shall require that any and all contractors or subcontractors engaged by the grantee shall

agree in writing that they shall look solely to the grantee for performance of such

contract or satisfaction of any and all claims arising thereunder.

(Source: Amended at 19 Ill. Reg. 11861, effective August 3, 1995)