2 Ill. Adm. Code | Title 2 Ill. Adm. Code — Governmental Organization

Chapter III Joint Committee on Administrative Rules

Part 75 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 75.10 Agenda

The agenda of hearings held by the Joint Committee on Administrative Rules, and all statements of objection to proposed rules and to existing rules issued by the Joint Committee are published in the Illinois Register as provided in Sections 7.02(c), 7.06 and 7.07 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1977, ch. 127, pars. 1007.02(c), 1007.06 and 1007.07) and the Rulemaking Procedures for Codification (1 Ill. Adm. Code 100) as adopted by the Secretary of State.

2 Ill. Adm. Code 75.20 Meetings of the Joint Committee

All hearings of the Joint Committee on Administrative Rules are open to the public. The Joint Committee will accept and consider written comments submitted by members of the public on proposed rules as provided in 1 Ill. Adm. Code 220.800 of the rules of the Joint Committee. Oral testimony at Joint Committee meetings will be received only from appropriate personnel of the proposing agency in relation to proposed rulemaking.

2 Ill. Adm. Code 75.30 Submission of Complaints

Interested persons or groups may submit complaints regarding existing rules to the Joint Committee. Complaints should be addressed to Joint Committee members or the Executive Director, Joint Committee on Administrative Rules, 509 S. 6th Street, Room 500, Springfield, Illinois 62701. Complaints should include the specific information enumerated in 1 Ill. Adm. Code 260.300 of the rules of the Joint Committee.

2 Ill. Adm. Code 75.40 Comments from the Public

The Joint Committee will encourage members of the public to submit comments on proposed rules directly to the proposing agency as provided in Section 5(a)2 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1983, ch. 127, par. 1005(a)2). In relation to problems with existing rules, the Joint Committee will encourage members of the public to petition directly to the agency involved for appropriate rulemaking action as stated in 1 Ill. Adm. Code 260.500 of the rules of the Joint Committee and as provided in Section 8 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1983, ch. 127, par. 1008). This policy will not limit the Joint Committee from considering comments or problems not submitted to the agency first.

2 Ill. Adm. Code 75.50 Petition to Joint Committee by Public

Members of the public may petition the Joint Committee for adoption, modification or repeal of the rules of the Joint Committee as provided under Section 8 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1983, ch. 127, par. 1008). The Joint Committee will consider such petitions and inform the petitioner of the disposition of the petition in writing. Such petitions must be in writing and must contain the following information:

a) The names and addresses of the persons or groups presenting the petition.

b) The specific rules of the Joint Committee which the petitioner believes should be modified or repealed or the specific language the petitioner believes should be adopted as a rule by the Joint Committee.

c) A description of the effect of the rules or lack of rules on the persons or groups presenting the petition.

d) The specific reasons the petitioner believes that the Joint Committee should take the rulemaking action.

e) Any additional facts or documentation necessary to explain and support the petition.

2 Ill. Adm. Code 75.60 Obtaining Other Information

Other information about the operation and programs of the Joint Committee on Administrative Rules may be obtained by addressing specific questions to the Executive Director, Joint Committee on Administrative Rules, 509 S. 6th Street, Room 500, Springfield, Illinois 62701.

2 Ill. Adm. Code 75.110 Adoption and Filing

The Joint Committee on Administrative Rules will follow the rulemaking procedure established by the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1983, ch. 127, pars. 1001 et seq.) in the adoption and filing of its rules.

2 Ill. Adm. Code 75.120 Development of Rules

Rules of the Joint Committee on Administrative Rules are developed by the Joint Committee members or by the Joint Committee staff under the specific direction of the Joint Committee.

2 Ill. Adm. Code 75.130 Consideration by Joint Committee

Draft rules or amendments to rules are placed on the Joint Committee agenda for consideration by the Joint Committee. At the hearing, the Joint Committee votes on whether or not to formally propose the rules by publication in the Illinois Register. The Joint Committee may make any desired changes in the draft rules, direct the staff to change the draft rules, or postpone the formal proposal of the rules.

2 Ill. Adm. Code 75.140 Public Comments

All public or agency comments submitted on proposed Joint Committee rules are presented to the Joint Committee for consideration. The staff of the Joint Committee may recommend changes in the proposed rules based on comments received.

2 Ill. Adm. Code 75.150 Special Hearing

The Joint Committee may hold a special hearing for the purpose of receiving comments on the proposed rules, and may appoint a member of the staff to serve as a hearing officer to conduct such a hearing. Views presented at such a hearing will be presented to the Joint Committee and will be considered. The staff of the Joint Committee may recommend changes in the proposed rules based on comments received at such a hearing.

2 Ill. Adm. Code 75.160 Adoption

Following expiration of the required 45 day notice period, the Joint Committee places the proposed rules on its agenda for consideration of any recommended changes, public and agency comments, and whether or not to adopt the rules. Adoption of rules is by vote of the Joint Committee.

2 Ill. Adm. Code 75.170 Filing

Rules adopted by the Joint Committee are filed with the Office of the Secretary of State and published as adopted rules in the Illinois Register as provided in Sections 5 and 6 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1983, ch. 127, pars. 1005 and 1006).

2 Ill. Adm. Code 75.210 Composition of Joint Committee

The Joint Committee on Administrative Rules consists of sixteen members of the Illinois General Assembly. Members are appointed by the leadership of the General Assembly in August of each odd-numbered year as provided in Section 7.02(a) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1983, ch. 127, par. 1007.02(a)).

2 Ill. Adm. Code 75.220 Officers

The officers of the Joint Committee, including the Chairman, First Vice-Chairman, Second Vice-Chairman and Secretary, are elected in September of each odd-numbered year by the members of the Joint Committee as provided in Section 7.02(b) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1983, ch. 127, par. 1007.02(b)).

2 Ill. Adm. Code 75.230 Personnel Committee

The officers of the Joint Committee collectively serve as the Personnel Committee of the Joint Committee and review and approve decisions by the Executive Director concerning the employment and compensation of staff of the Joint Committee.

2 Ill. Adm. Code 75.240 Appointment of Executive Director

As provided in Section 7.02(d) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1983, ch. 127, par. 1007.02(d)), the Executive Director of the Joint Committee is appointed by the members of the Joint Committee.

2 Ill. Adm. Code 75.250 Duties of Executive Director

The Executive Director serves as the director of the staff of the Joint Committee and is responsible for the employment and setting of the compensation of necessary professional, technical and secretarial staff as directed by the Joint Committee as provided in Section 7.02(d) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1983, ch. 127, par. 1007.02(d)).

2 Ill. Adm. Code 75.260 Duties of Staff

The duties and organization of the staff of the Joint Committee are established by the Executive Director as directed by the Joint Committee.

2 Ill. Adm. Code 75.270 Organization

The Joint Committee staff is organized into an Operations Division and an Administrative Division. The Operations Division is further organized into a Rules Review Section and a Compliance and Monitoring Section. This organizational structure and the basic functions of each unit are presented in the Functional Organization Chart shown in Appendix A.

2 Ill. Adm. Code 75.280 Personnel Chart

The specific personnel positions authorized by the Joint Committee and their organizational and supervisory relationships are presented in the Personnel Organization Chart shown in Appendix B.

2 Ill. Adm. Code 75.290 Availability

A description of the specific responsibilities and duties of each of the personnel positions of the Joint Committee staff is maintained in the Office of the Joint Committee and is available for public inspection.

2 Ill. Adm. Code 75.295 Office Location

The Office of the Joint Committee is located in 509 S. 6th Street, Room 500, in Springfield, Illinois.

2 Ill. Adm. Code 75.APPENDIX A Functional Organization Chart

2 Ill. Adm. Code 75.APPENDIX B Personnel Organization Chart

Part 76 Access to Records of the Joint Committee on Administrative Rules

2 Ill. Adm. Code 76.100 Summary and Purpose

a) This Part states the policy of the Joint Committee on Administrative Rules (JCAR) for making its records available for reasonable public inspection while, at the same time, protecting legitimate interests in confidentiality.

b) This Part:

Establishes the following classifications for records in JCAR's possession:

A) Records that shall be disclosed; and

B) Records that shall be withheld from disclosure;

Contains the procedures by which requesters may obtain records in JCAR's possession; and
Contains the procedures for claiming and determining that records submitted to JCAR are exempt from disclosure.

2 Ill. Adm. Code 76.105 Definitions

Terms not defined in this Section shall have the same meaning as in the Freedom of Information Act [5 ILCS 140]. The following definitions are applicable for purposes of this Part:

"Act" means the Illinois Administrative Procedure Act [5 ILCS 100].

"Agency" means the Joint Committee on Administrative Rules as established by the Act.

to access and disseminate information concerning news and current or passing events;

for articles or opinion or features of interest to the public; or

for the purpose of academic, scientific, or public research or education. (Section 2(c-10) of FOIA)

"Copying" means the reproduction of any record by means of any photographic, electronic, mechanical, or other process, device or means now known or hereafter developed and available to JCAR. (Section 2(d) of FOIA)

"Director" means the Executive Director of JCAR.

"FOIA" means the Freedom of Information Act [5 ILCS 140].

"Freedom of Information Officer" or "FOI Officer" means an individual or individuals responsible for receiving and responding to requests for public records.

"News media" means a newspaper or other periodical issued at regular intervals, news service in paper or electronic form, radio station, television station, television network, community antenna television service, or person or corporation engaged in making news reels or other motion picture news for public showing. (Section 2(f) of FOIA)

"Person" means any individual, corporation, partnership, firm, organization or association, acting individually or as a group. (Section 2(b) of FOIA)

"Private information" means unique identifiers, including a person's Social Security number, driver's license number, employee identification number, biometric identifiers, personal financial information, passwords or other access codes, medical records, home or personal telephone numbers, and personal email addresses. Private information also includes home address and personal license plates, except as otherwise provided by law or when compiled without possibility of attribution to any person. (Section 2(c-5) of FOIA)

"Public Access Counselor" means an individual appointed to that office by the Attorney General under Section 7 of the Attorney General Act [15 ILCS 205].

"Public body" means all legislative, executive, administrative, or advisory bodies of the State, State universities and colleges, counties, townships, cities, villages, incorporated towns, school districts and all other municipal corporations, boards, bureaus, committees or commissions of this State, any subsidiary bodies of any of the foregoing, including but not limited to committees and subcommittees thereof, and a School Finance Authority created under Article 1E of the School Code [105 ILCS 5]. (Section 2(a) of FOIA)

"Records" means all records, reports, forms, writings, letters, memoranda, books, papers, maps, photographs, microfilms, cards, tapes, recordings, electronic data processing records, electronic communications, recorded information and all other documentary materials pertaining to the transaction of public business, regardless of physical form or characteristics, having been prepared by or for, or having been or being used by, received by, in the possession of or under the control of JCAR. (Section 2(c) of FOIA)

"Recurrent requester" means a person that, in the 12 months immediately preceding the request, has submitted to the same public body a minimum of 50 requests for records, a minimum of 15 requests for records within a 30-day period, or a minimum of 7 requests for records within a 7 day period. For the purposes of this definition, requests made by news media and non-profit, scientific, or academic organizations shall not be considered in calculating the number of requests made in the time periods, in this definition when the principal purpose of the requests is to access and disseminate information concerning news and current or passing events, for articles of opinion or features of interest to the public, or for the purpose of academic, scientific, or public research or education. For the purposes of this definition, "request" means a written document (or oral request, if the public body chooses to honor oral requests) that is submitted to a public body via personal delivery, mail, telefax, electronic mail, or other means available to the public body and that identifies the particular public record the requester seeks. One request may identify multiple records to be inspected or copied. (Section 2(g) of FOIA)

"Requester" is any person who has submitted to JCAR a written request, electronically or on paper, for records.

"Unwarranted invasion of personal privacy" means the disclosure of information that is highly personal or objectionable to a reasonable person and in which the subject's right to privacy outweighs any legitimate public interest in obtaining the information. (Section 7(1)(c) of FOIA)

2 Ill. Adm. Code 76.200 Records That Will Be Disclosed

Upon request meeting the requirements of this Part, JCAR shall disclose to the requester all records requested except that it shall not disclose certain records as provided in Section 76.205 or 76.210. Records covered under this Section shall include, but are not limited to:

a) Records of funds. All records relating to the obligation, receipt and use of public funds of JCAR are records subject to inspection and copying by the public. (Section 2.5 of FOIA)

b) Payrolls. Certified payroll records submitted to JCAR under Section 5(a)(2) of the Prevailing Wage Act [820 ILCS 130] are records subject to inspection and copying in accordance with the provisions of FOIA; except that contractors' and employees' addresses, telephone numbers, and Social Security numbers will be redacted by JCAR prior to disclosure. (Section 2.10 of FOIA)

c) Criminal history records. The following documents maintained by JCAR pertaining to criminal history record information are records subject to inspection and copying by the public pursuant to FOIA:

Court records that are public;
Records that are otherwise available under State or local law; and
Records in which the requesting party is the individual identified, except as provided under Section 7(1)(d)(vi) of FOIA. (Section 2.15(b) of FOIA)

d) Settlement agreements. All settlement agreements entered into by or on behalf of JCAR are records subject to inspection and copying by the public, provided that information exempt from disclosure under Section 76.205 or 76.210 may be redacted. (Section 2.20 of FOIA)

2 Ill. Adm. Code 76.205 Records That Will Be Withheld from Disclosure

a) For exemptions from FOIA that are stated in FOIA, see Section 7(1) of the Act.

b) A record that is not in the possession of JCAR but is in the possession of a party with whom JCAR has contracted to perform a governmental function on behalf of JCAR, and that directly relates to the governmental function and is not otherwise exempt under FOIA, shall be considered a record of JCAR for purposes of Subpart C. (Section 7(2) of FOIA)

2 Ill. Adm. Code 76.210 Statutory Exemptions

For exemptions from FOIA that are stated in other statutes, see Section 7.5 of the Act.

2 Ill. Adm. Code 76.300 Submittal of Requests for Records

a) Any request for public records should be submitted in writing to the FOI Officer at JCAR.

b) JCAR has one FOI Officer, located in Springfield.

c) Contact information for each FOI Officer can be found online at www. Illinois.gov/Pages/FOIAContacts.

d) FOIA requests may be submitted via mail, e-mail, fax, or hand delivery. Requests should be mailed or hand delivered to:

Joint Committee on Administrative Rules

700 Stratton Building

401 South Spring Sreet

Springfield IL 62706

Attn: FOI Officer

e) E-mailed requests should be sent to jcar@ilga.gov, contain the request in the body of the e-mail, and indicate in the subject line of the e-mail that it contains a FOIA request. Faxed FOIA requests should be faxed to 217/524-0567, Attn: FOI Officer.

2 Ill. Adm. Code 76.305 Information to Be Provided in Requests for Records

A request for records should include:

a) The complete name, mailing address and telephone number of the requester;

b) As specific a description as possible of the records sought. Requests that JCAR considers unduly burdensome or categorical may be denied. (See Section 3(g) of FOIA and Section 76.405.);

c) A statement as to the requested medium and format for JCAR to use in providing the records sought: for example, paper, specific types of digital or magnetic media, or videotape;

d) A statement as to the requested manner for JCAR to use in providing the records sought: for example, inspection at the JCAR office or providing paper or electronic copies;

e) A statement as to whether the requester needs certified copies of all or any portion of the records, including reference to the specific documents that require certification; and

f) A statement as to whether the request is for a commercial purpose.

2 Ill. Adm. Code 76.310 Requests for Records for Commercial Purposes

a) It is a violation of FOIA for a person to knowingly obtain a record for a commercial purpose without disclosing that it is for a commercial purpose if requested to do so by JCAR. (Section 3.1(c) of FOIA)

b) JCAR shall respond to a request for records to be used for a commercial purpose within 21 working days after receipt. The response shall:

Provide to the requester an estimate of the time required by JCAR to provide the records requested and an estimate of the fees to be charged, which JCAR may require the person to pay in full before copying the requested documents;
Deny the request pursuant to one or more of the exemptions set out in Section 76.205 or 76.210;
Notify the requester that the request is unduly burdensome and extend an opportunity to the requester to attempt to reduce the request to manageable proportions; or
Provide the records requested. (Section 3.1(a) of FOIA)

c) Unless the records are exempt from disclosure, JCAR shall comply with a request within a reasonable period considering the size and complexity of the request, and giving priority to records requested for non-commercial purposes. (Section 3.1(b) of FOIA)

2 Ill. Adm. Code 76.315 Records Maintained Online

a) Notwithstanding any provision of FOIA to the contrary, a public body is not required to copy a public record that is published on the public body's website. The public body shall notify the requester that the public record is available online and direct the requester to the website where the record can be reasonably accessed.

b) If the person requesting the public record is unable to reasonably access the record online after being directed to the website pursuant to subsection (a), the requester may resubmit his or her request for the record stating his or her inability to reasonably access the record online, and the public body shall make the requested record available for inspection or copying as provided in Section 3 of FOIA. (Section 8.5 of FOIA)

2 Ill. Adm. Code 76.400 Timeline for Agency Response

a) Except as stated in subsection (b) or (c), JCAR will respond to any written request for records within 5 business days after its receipt of the request. Failure to comply with a written request, extend the time for response, or deny a request within 5 business days after its receipt shall be considered a denial of the request. If JCAR fails to respond to a request within the requisite periods in this subsection (a) but thereafter provides the requester with copies of the requested records, it will not impose a fee for those copies. If JCAR fails to respond to a request received, it will not treat the request as unduly burdensome as provided under Section 76.405. (Section 3(d) of FOIA) A written request from JCAR to provide additional information shall be considered a response to the FOIA request.

b) The time limits prescribed in subsection (a) may be extended for not more than 5 business days from the original due date for any of the following reasons:

The requested records are stored in whole or in part at locations other than the office having charge of the requested records;
The request requires the collection of a substantial number of specified records;
The request is couched in categorical terms and requires an extensive search for the records responsive to it;
The requested records have not been located in the course of routine search and additional efforts are being made to locate them;
The requested records require examination and evaluation by personnel having the necessary competence and discretion to determine if they are exempt from disclosure under Section 7 or 7.5 of FOIA or should be revealed only with appropriate deletions;
The request for records cannot be complied with by JCAR within the time limits prescribed by subsection (a) without unduly burdening or interfering with the operations of JCAR; or
There is a need for consultation, which shall be conducted with all practicable speed, with another public body or among two or more components of a public body having a substantial interest in the determination or in the subject matter of the request. (Section 3(e) of FOIA)

c) The person making a request and JCAR may agree in writing to extend the time for compliance for a period to be determined by the parties. If the requester and JCAR agree to extend the period for compliance, a failure by JCAR to comply with any previous deadlines shall not be treated as a denial of the request for the records. (Section 3(e) of FOIA)

d) When additional time is required for any of the reasons set forth in subsection (b), JCAR will, within 5 business days after receipt of the request, notify the person making the request of the reasons for the extension and the date by which the response will be forthcoming. Failure to respond within the time permitted for extension shall be considered a denial of the request. If JCAR fails to respond to a request within the time permitted for extension but thereafter provides the requester with copies of the requested public records, it may not impose a fee for those copies. If JCAR issues an extension and subsequently fails to respond to the request, it will not treat the request as unduly burdensome under Section 76.405. (Section 3(f) of FOIA)

2 Ill. Adm. Code 76.405 Requests for Records That the Agency Considers Unduly Burdensome

a) JCAR will fulfill requests calling for all records falling within a category unless compliance with the request would unduly burden JCAR, there is no way to narrow the request, and the burden on JCAR outweighs the public interest in the information. Before invoking this exemption, JCAR will extend to the requester an opportunity to confer with it in an attempt to reduce the request to manageable proportions. (Section 3(g) of FOIA) The amended request must be in writing.

b) If JCAR determines that a request is unduly burdensome, it shall do so in writing, specifying the reasons why it would be unduly burdensome and the extent to which compliance will so burden the operations of JCAR. The response shall be treated as a denial of the request for information. (Section 3(g) of FOIA)

c) Repeated requests from the same person for records that are unchanged or identical to records previously provided or properly denied under this Part shall be deemed unduly burdensome. (Section 3(g) of FOIA)

2 Ill. Adm. Code 76.410 Recurrent Requesters

a) Notwithstanding any provision of this Part to the contrary, JCAR will respond to a request from a recurrent requester, as defined in Section 76.105, within 21 business days after receipt. The response shall:

provide to the requester an estimate of the time required by JCAR to provide the records requested and an estimate of the fees to be charged, which JCAR may require the person to pay in full before copying the requested documents;
deny the request pursuant to one or more of the exemptions set out in this Part;
notify the requester that the request is unduly burdensome and extend an opportunity to the requester to attempt to reduce the request to manageable proportions; or
provide the records requested.

b) Within 5 business days after receiving a request from a recurrent requester, JCAR will notify the requester that JCAR is treating the request as a recurrent request, of the reasons why JCAR is treating the request as a recurrent request, and that JCAR will send an initial response within 21 business days after receipt in accordance with subsection (a). JCAR will also notify the requester of the proposed responses that can be asserted pursuant to subsection (a).

c) Unless the records are exempt from disclosure, JCAR will comply with a request within a reasonable period considering the size and complexity of the request. (Section 3.2 of FOIA)

2 Ill. Adm. Code 76.415 Requests for Records That Require Electronic Retrieval

a) A request for records that requires electronic retrieval will be treated the same as any other request for records, with the same timeline and extensions as allowed for other records.

b) JCAR will retrieve and provide electronic records only in a format and medium that is available to JCAR.

2 Ill. Adm. Code 76.420 Denials of Requests for Records

a) JCAR will deny requests for records when:

Compliance with the request would unduly burden JCAR, as determined pursuant to Section 76.405, and the requester has not reduced the request to manageable proportions; or
The records are exempt from disclosure pursuant to Section 7 or 7.5 of FOIA or Section 76.205 or 76.210.

b) The denial of a request for records must be in writing.

The notification shall include a description of the records denied; the reason for the denial, including a detailed factual basis for the application of any exemption claimed; and the names and titles or positions of each person responsible for the denial (Section 9(a) of FOIA);
Each notice of denial shall also inform the person of the right to review by the Public Access Counselor and provide the address and phone number for the Public Access Counselor (Section 9(a) of FOIA); and
When a request for records is denied on the grounds that the records are exempt under Section 7 or 7.5 of FOIA, the notice of denial shall specify the exemption claimed to authorize the denial and the specific reasons for the denial, including a detailed factual basis and a citation to the supporting legal authority (Section 9(b) of FOIA).

c) A requester may treat the JCAR's failure to respond to a request for records within 5 business days after receipt of the written request as a denial for purposes of the right to review by the Public Access Counselor.

d) If JCAR has given written notice pursuant to Section 76.400(d), failure to respond to a written request within the time permitted for extension may be treated as a denial for purposes of the right to review by the Public Access Counselor.

e) Any person making a request for records shall be deemed to have exhausted his or her administrative remedies with respect to that request if JCAR fails to act within the time periods provided in Section 76.400. (Section 9(c) of FOIA)

2 Ill. Adm. Code 76.425 Requests for Review of Denials - Public Access Counselor

a) A person whose request to inspect or copy a record is denied by JCAR may file a request for review with the Public Access Counselor established in the Office of the Attorney General not later than 60 days after the date of the final denial. The request for review shall be in writing, be signed by the requester, and include a copy of the request for access to records and any response from JCAR. (Section 9.5(a) of FOIA)

c) Within 7 business days after JCAR receives a request for review from the Public Access Counselor, JCAR shall provide copies of records requested and shall otherwise fully cooperate with the Public Access Counselor. (Section 9.5(c) of FOIA)

d) Within 7 business days after it receives a copy of a request for review and request for production of records from the Public Access Counselor, JCAR may, but is not required to, answer the allegations of the request for review. The answer may take the form of a letter, brief, or memorandum. The Public Access Counselor shall forward a copy of the answer to the person submitting the request for review, with any alleged confidential information to which the request pertains redacted from the copy. (Section 9.5(d) of FOIA)

e) The requester may, but is not required to, respond in writing to the answer within 7 business days and shall provide a copy of the response to JCAR. (Section 9.5(d) of FOIA)

f) In addition to the request for review, and the answer and response to the request, if any, a requester or JCAR may furnish affidavits or records concerning any matter germane to the review. (Section 9.5(e) of FOIA)

g) A binding opinion from the Attorney General shall be binding upon both the requester and JCAR, subject to administrative review under Section 76.435. (Section 9.5(f) of FOIA)

h) If the Attorney General decides to exercise his or her discretion to resolve a request for review by mediation or by a means other than issuance of a binding opinion, the decision not to issue a binding opinion shall not be reviewable. (Section 9.5(f) of FOIA)

i) Upon receipt of a binding opinion concluding that a violation of FOIA has occurred, JCAR will either take necessary action immediately to comply with the directive of the opinion or shall initiate administrative review under Section 76.435. If the opinion concludes that no violation of FOIA has occurred, the requester may initiate administrative review under Section 76.435. (Section 9.5(f) of FOIA)

j) If JCAR discloses records in accordance with an opinion of the Attorney General, JCAR is immune from all liabilities by reason thereof and shall not be liable for penalties under FOIA. (Section 9.5(f) of FOIA)

k) If the requester files suit under Section 76.430 with respect to the same denial that is the subject of a pending request for review, the requester shall notify the Public Access Counselor. (Section 9.5(g) of FOIA)

l) The Attorney General may also issue advisory opinions to JCAR regarding compliance with FOIA. A review may be initiated upon receipt of a written request from the Executive Director of JCAR or JCAR's Legal Counsel, which shall contain sufficient accurate facts from which a determination can be made. The Public Access Counselor may request additional information from JCAR in order to assist in the review. If JCAR relies in good faith on an advisory opinion of the Attorney General in responding to a request, JCAR is not liable for penalties under FOIA, so long as the facts upon which the opinion is based have been fully and fairly disclosed to the Public Access Counselor. (Section 9.5(h) of FOIA)

2 Ill. Adm. Code 76.430 Circuit Court Review

A requester also has the right to file suit for injunctive or declaratory relief in the Circuit Court for Sangamon County or for the county in which the requester resides, in accordance with the procedures set forth in Section 11 of FOIA.

2 Ill. Adm. Code 76.435 Administrative Review

A binding opinion issued by the Attorney General shall be considered a final decision of an administrative agency, for purposes of administrative review under the Administrative Review Law [735 ILCS 5/Art. III]. An action for administrative review of a binding opinion of the Attorney General shall be commenced in Cook County or Sangamon County. An advisory opinion issued to JCAR shall not be considered a final decision of the Attorney General for purposes of this Section. (Section 11.5 of FOIA)

2 Ill. Adm. Code 76.500 Inspection and Copying of Records

a) JCAR may make available records for personal inspection at its office located in Springfield, or at another location agreed to by both JCAR and the requester. No original record shall be removed from State-controlled premises except under constant supervision of the agency responsible for maintaining the record. JCAR may provide records in duplicate forms, including, but not limited to, paper copies, data processing printouts, videotape, microfilm, audio tape, reel to reel microfilm, photographs, computer disks and diazo.

b) When a person requests a copy of a record maintained in an electronic format, JCAR shall furnish it in the electronic format specified by the requester, if feasible. If it is not feasible to furnish the records in the specified electronic format, then JCAR shall furnish it in the format in which it is maintained by JCAR, or in paper format at the option of the requester. (Section 6(a) of FOIA)

c) A requester may inspect records by appointment only, scheduled subject to space availability. JCAR will schedule inspection appointments to take place during normal business hours, which are 8:30 a.m. to 4:30 p.m. Monday through Friday, exclusive of State holidays. If the requester must cancel the viewing appointment, the requester shall so inform JCAR as soon as possible before the appointment.

d) In order to maintain routine JCAR operations, the requester may be asked to leave the inspection area for a specified period of time.

e) The requester will have access only to the designated inspection area.

f) Requesters shall not be permitted to take briefcases, folders or similar materials into the room where the inspection takes place. A JCAR employee may be present during the inspection.

g) The requester shall segregate and identify the documents to be copied during the course of the inspection.

2 Ill. Adm. Code 76.505 Fees for Records

a) In accordance with Section 76.510, unless a fee is otherwise fixed by statute, JCAR will provide copies of records and certifications of records in accordance with the fee schedule set forth in Appendix A.

b) In calculating its actual cost for reproducing records or for the use of the equipment of JCAR to reproduce records, JCAR will not include the costs of any search for and review of the records or other personnel costs associated with reproducing the records. (Section 6(b) of FOIA)

c) In order to expedite the copying of records that JCAR cannot copy, due to the volume of the request or JCAR's operational needs, in the timelines established in Section 76.400, the requester may provide, at the requester's expense, the copy machine, all necessary materials, and the labor to copy the public records at JCAR headquarters in Section 76.500, or at another location agreed to by both JCAR and the requester. No original record shall be removed from State-controlled premises except under constant supervision of the agency responsible for maintaining the record.

d) Copies of records will be provided to the requester only upon payment of any fees due. JCAR may charge the requester for the actual cost of purchasing the recording medium, whether disc, diskette, tape, or other medium, but JCAR will not charge the requester for the costs of any search for and review of the records or other personnel costs associated with reproducing the records. (Section 6(a) of FOIA) Payment must be by check or money order sent to JCAR, payable to "Treasurer, State of Illinois".

e) If a contractor is used to inspect or copy records, the following procedures shall apply:

The requester, rather than JCAR, must contract with the contractor;
The requester is responsible for all fees charged by the contractor;
The requester must notify JCAR of the contractor to be used prior to the scheduled on-site inspection or copying;
Only JCAR personnel may provide records to the contractor;
JCAR must have verified that the requester has paid JCAR, if payment is due, for the copying of the records before providing the records to the contractor; and
The requester must provide to JCAR the contractor's written agreement to hold the records secure and to copy the records only for the purpose stated by the requester.

f) JCAR may charge up to $10 for each hour spent by personnel in searching for and retrieving a requested record. No fees shall be charged for the first 8 hours spent by personnel in searching for or retrieving a requested record. JCAR may charge the actual cost of retrieving and transporting public records from an off-site storage facility when the public records are maintained by a third-party storage company under contract with JCAR. If JCAR imposes a fee pursuant to this subsection (f), it must provide the requester with an accounting of all fees, costs, and personnel hours in connection with the request for public records. The provisions of this subsection (f) apply only to commercial requests. (Section 6(f) of FOIA)

2 Ill. Adm. Code 76.510 Reduction and Waiver of Fees

a) Fees may be reduced or waived by JCAR if the requester states the specific purpose for the request and indicates that a waiver or reduction of the fee is in the public interest. In making this determination, JCAR will consider the following:

Whether the principal purpose of the request is to disseminate information regarding the health, safety, welfare or legal rights of the general public; and
Whether the principal purpose of the request is personal or commercial benefit. For purposes of this subsection (a), "commercial benefit" shall not apply to requests made by news media when the principal purpose of the request is to access and disseminate information regarding the health, safety, welfare or legal rights of the general public. (Section 6(c) of FOIA)

b) In setting the amount of the waiver or reduction, JCAR will take into consideration the amount of materials requested and the cost of copying them. (Section 6(c) of FOIA)

c) JCAR will provide copies of records without charge to federal, State and municipal agencies, Constitutional officers and members of the General Assembly, and not-for-profit organizations providing evidence of good standing with the Secretary of State's Office.

d) Except to the extent that the General Assembly expressly provides, statutory fees applicable to copies of records when furnished in a paper format will not be applicable to those records when furnished to a requester in an electronic format. (Section 6(a) of FOIA)

2 Ill. Adm. Code 76.APPENDIX A Fee Schedule for Duplication and Certification of Records

TYPE OF DUPLICATION

FEE (PER COPY)

Paper copy from original, up to and including 50 copies of black and white, letter or legal sized copies

No charge

Paper copy from original, in excess of 50 copies of black and white, letter or legal sized copies

$.15/page

Paper copy from microfilm original

$.15/page

Microfilm diazo from original

$.50/diazo

VHS video copy of tape

Actual cost of the reproduction

Audio tape copy of tape

Actual cost of the reproduction

CD ROM disk

Actual cost of the reproduction

Photograph from negative

Actual cost of the reproduction

Blueprints/oversized prints

Actual cost of the reproduction

Paper copies in color or in a size other than letter or legal

Actual cost of the reproduction

Certification fee

$1.00/record

NOTE: Expense for delivery other than by First Class U.S. Mail must be borne by the requester.

Chapter V Legislative Information System

Part 150 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 150.10 Access to Legislative Information System Information

For information concerning access to Legislative Information System information, see 3 Ill. Adm. Code 600.

2 Ill. Adm. Code 150.105 Introduction

The Legislative Information System has adopted the following internal rules governing the procedures for the enactment of rules pursuant to the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-15).

2 Ill. Adm. Code 150.110 Initiation

a) Proposals for the adoption or enactment of new rules, the amendment of existing rules, the repeal of a rule or the technical alteration of rules may be proposed by any agency employee, member of the general public or System member. All such proposals shall be in writing and shall comply with the procedures of, and be in the form of, rules proposed and enacted under the provisions of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, pars. 1001-1 et seq.), as amended.

b) All such proposals shall be forwarded directly to the Executive Director, Legislative Information System, 705 William G. Stratton Building, Springfield, Illinois 62706.

2 Ill. Adm. Code 150.120 Enactment

a) The Executive Director shall prepare an evaluation of the impact of the proposed rule and may send, return or remand any proposal to any employee of the agency for study, amendment, clarification, advise, counsel or assistance.

b) Upon completion of the evaluation of the proposal, the Executive Director may solicit the advise and recommendations of the Advisory Committee.

c) The Executive Director shall present the proposed rule to the Legislative Information System for their review and action.

d) Proposals referred to the Legislative Information System but not approved by the System within sixty (60) days of receipt shall be deemed to have been rejected.

e) If the System approves a proposal for enactment as a rule of the agency they shall cause the Executive Director to submit that rule to the Secretary of State in accordance with the provisions of the Illinois Administrative Procedure Act.

2 Ill. Adm. Code 150.130 Application

The provisions of this Subpart shall not apply to any proposal for the enactment, amendment, repeal or alteration to a rule or rules required by an act, statute, law, court order or appellate decision, which occurs prior to or subsequent to the effective date of this Subpart.

2 Ill. Adm. Code 150.140 Emergency Rules

If, in the opinion of the System, an emergency rule is required or necessary, the System may waive the provisions of this Subpart in the adoption of such emergency rule.

2 Ill. Adm. Code 150.205 Introduction

The Legislative Information System has adopted the following internal rules governing the agency organization pursuant to the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-15).

2 Ill. Adm. Code 150.210 Organization Chart

The organization chart in Appendix A represents the organizational structure of the Legislative Information System.

2 Ill. Adm. Code 150.220 Description of Agency Organization

a) Legislative Information System: The "System" was created by Public Act 80-683 [25 ILCS 145] which provides for the appointment of the System membership and the terms of office. The main responsibility of the System is the establishment of policy and procedures and approval of projects undertaken by the System.

b) Advisory Committee: The Advisory Committee was created by Public Act 80-683 [25 ILCS 145] for the purpose of making recommendations for conceptualization, design and implementation of applications considered or adopted by the System.

c) Executive Director and Deputy Director: The Executive Director and Deputy Director are responsible for implementing the policies and procedures established by the System, implementing projects approved by the System and supervising the daily operations of the agency.

d) Administration: Responsible for all the fiscal and personnel operations of the agency. This section also works closely with other fiscal operations in the General Assembly and other agencies to coordinate accounting systems and reporting. Administration is also responsible for the receipts and disbursements of the Equipment Revolving Fund.

e) Programming Services. Monitors the various programs used in the Bill Status System, Calendars, Journals, Digests, and the accounting system. Using feedback from users of these systems, this area makes adjustments and reprograms to improve productivity. Programming Services is also involved in the development of new software applications to assist the General Assembly and related agencies.

f) Support Services: Provides customer support functions to users of the System. This section answers phone inquiries regarding bill status and trains current users on the dial-up system. This area is responsible for new client development. Its responsibilities include issuing contracts and training new users.

g) Systems Services: Supports the operating systems, back-end software, and all the hardware that supports all other functions of the agency. This area ensures that the mainframe, LAN, and other related equipment function properly. Computer Operations, a subdivision of Systems Services, is responsible for monitoring of the mainframe and other computer equipment and is the messenger service for the agency. This area routes various jobs to printers or output devices.

h) Text Services: Develops and provides support for the following applications: Bill Drafting, Statutory Retrieval, Statute Update, Journal Writing, Enrolling and Engrossing, Debate Transcription, Administrative Code, Illinois Register, and Staff Uses.

History

Source: Amended at 25 Ill. Reg. 4221, effective March 5, 2001

2 Ill. Adm. Code 150.APPENDIX A Organization Chart

History

Source: Amended at 25 Ill. Reg. 4221, effective March 5, 2001

Chapter VII Legislative Reference Bureau

Part 200 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 200.10 Methods for Requesting Access to Records

a) Requests for access to records for inspection and copying shall be submitted in writing to the Freedom of Information Officer at the office of the Bureau. The application shall include the name and address of the requestor and a phone number where the requestor may be reached during the regular business day and shall be on a form provided by the Bureau, a copy of which form appears in Appendix A to this Part.

b) The application must describe the requested document by subject matter and approximate date of issuance, if known. If the description is not sufficiently clear to allow easy identification of the records sought, the requestor may be asked to supply additional necessary information.

2 Ill. Adm. Code 200.20 Lists of Types and Categories of Records

The Bureau maintains records of the following general categories:

a) Records which are generally accessible for inspection and copying:

Minutes of meetings of the Legislative Reference Bureau's board and of its subcommittees.
Records relating to the receipt, obligation and expenditure of funds, budget and appropriation, purchasing and contracts.
General correspondence.
Records developed in relation to the preparation of the Legislative Synopsis and Digest.

b) Records which are generally exempt from inspection and copying:

Records developed in relation to the preparation of legislative documents. Exempt under Section 7(f) of the Freedom of Information Act (the Act)–preparation of legislative documents.
Personnel records of current and former employees. Exempt under Sections 7(b) of the Act–privacy and 7(w) of the Act–internal personnel rules and practices.
Applications for employment. Exempt under Section 7(b) of the Act–privacy.
Legislative Synopsis and Digest subscription records. Exempt under Section 7(i) of the Act–disclosure reasonably expected to produce private gain.
Computerized statute data base. Exempt under Section 7(a) of the Act–prohibited by law.

2 Ill. Adm. Code 200.30 Procedure for Response

a) The Bureau shall respond to a written request for public records within 7 working days after receipt of the request.

b) If the request cannot be responded to within 7 working days for one of the reasons provided in Section 3(d) of the Act, the Bureau shall have an additional 7 working days in which to respond. Within the initial 7 day period the Bureau shall give the requestor written notice of the extension of time to respond. Such notice shall set forth the reasons why the extension is necessary.

2 Ill. Adm. Code 200.40 Response to the Request

a) The Bureau shall respond to request for public records by approving the request, by denying the request or by approving it in part and denying it in part.

b) When a request for public records has been approved, the Bureau may give notice that the requested material will be made available upon payment of reproduction costs, or give notice of the time and place for inspection of the requested material.

c) A denial of a request for public records shall be made in writing. It shall state the reasons for the denial in accordance with either Section 3(f) or Section 7 of the Act and the names and titles of persons responsible for the decision to deny the request. The denial shall also inform the requestor of the right to appeal to the Chairman of the Board of the Legislative Reference Bureau.

d) Categorical requests that place an undue burden on the Bureau shall be denied only after extending the requestor an opportunity to confer in an attempt to reduce the request to manageable proportions in accordance with Section 3(f) of the Act.

e) Failure to respond to a written request within 7 working days may be considered by the requestor as a denial of the request.

2 Ill. Adm. Code 200.50 Appeal of a Denial

a) A requestor whose request for public records has been denied by the Freedom of Information Officer may appeal the denial to the Chairman. The notice of appeal shall be in writing and shall be addressed to:

Chairman

Legislative Reference Bureau

112 State Capitol

Springfield, Illinois 62706

Attn: FOIA Appeal

b) The Notice of Appeal shall include a copy of the original request, a copy of the denial received by the requestor, and a written statement setting forth the reasons why the requestor believes the appeal should be granted.

2 Ill. Adm. Code 200.60 Chairman's Response to Appeal

The Chairman shall respond to an appeal within seven working days after receiving Notice thereof. The Chairman shall either affirm the denial in writing or provide access to the requested public records. Each notice of denial on appeal shall inform the requestor of the right to judicial review under Section 11 of the Act. Failure of the Chairman to respond within seven working days may be considered by the requestor an affirmation of the denial.

2 Ill. Adm. Code 200.70 Inspection of Records at Bureau Offices

a) Generally, public records will be made available for inspection at the Bureau's offices between the hours of 8:30 a.m. and 5:00 p.m., Monday through Friday, except on state holidays. A place will be provided in which the requestor may inspect public records.

b) An employee of the Bureau may be present throughout the inspection.

c) Documents which the requestor wishes to have copied shall be segregated during the course of the inspection. Generally, all copying will be done by Bureau employees.

2 Ill. Adm. Code 200.80 Copies of Public Records–fees

a) Copies of public records shall be provided to the requestor only upon payment of any charges that are due.

b) The fee for copying records shall be 25 cents per page.

c) Charges shall be waived if the requestor is a State officer or agency.

2 Ill. Adm. Code 200.90 General Materials Available from the Freedom of Information Officer

The Freedom of Information Officer shall make available to the public at no charge the following materials:

a) A brief description of the organizational structure and budget of the Bureau.

b) A brief description of the means for requesting information and public records; and

c) A list of types and categories of public records maintained by the Legislative Reference Bureau.

2 Ill. Adm. Code 200.200 Rulemaking Procedures

a) Rules of the Legislative Reference Bureau may be adopted, amended or repealed only by vote of the Board.

b) Rule making proceedings of the Bureau must be conducted in compliance with applicable provisions of the Illinois Administrative Procedure Act. (Ill. Rev. Stat. 1983, ch. 127, pars. 1001 et seq.)

2 Ill. Adm. Code 200.300 Description of the Organization

a) The Legislative Reference Bureau is a service agency of the Illinois General Assembly.

b) It is charged by statute:

to establish in the State Capitol a reference bureau in which would be collected such laws, reports, books, periodicals and other printed or written matter as may aid the members of the General Assembly in the performance of their official duties;
to digest and index all bills, resolutions and amendments introduced in the General Assembly and furnish copies of the digest and index to members of the General Assembly each week during its session;
to afford to any member of the General Assembly, upon request, such legal assistance and information as may be practicable in the preparation of bills, resolutions and amendments for introduction into the General Assembly;
to recommend the revision, simplification and rearrangement of existing statutory law and the elimination from such law of obsolete, superseded, duplicated and unconstitutional statutes or parts of statutes and to propose legislation to revise the existing statutory law to conform to any reorganization of the executive branch which takes effect pursuant to an executive order of the Governor under Section 11 of Article V of the Illinois Constitution of 1970;
to create a computer memory system containing the Illinois Revised Statutes and to revise the data base periodically to keep it current and to provide information from that system for the members and agencies of the General Assembly and the Attorney General; and
to review all reported decisions of the Federal courts, the Illinois Supreme Court and the Illinois Appellate Court which affect the interpretation of the Illinois Constitution and statutes and report the results of its research to the General Assembly each year, recommending technical corrections in the statutes to comply with decisions and pointing out where substantive issues arise.

c) The Bureau is not charged with the provision of any services directly to members of the public but the Legislative Synopsis and Digest prepared by the Bureau for the General Assembly is available to the public by subscription for the statutory fee.

d) The Legislative Reference Bureau consists of and is governed by a board of 12 members of the General Assembly.

e) The Board appoints an executive secretary and two deputy secretaries who administer the operations of the Bureau under the direction of the Board.

f) The executive secretary is the Freedom of Information Officer.

g) The office of the Bureau is in Room 112 in the State Capitol, Springfield, Illinois 62706. Its phone number is (217) 782-6625. The Bureau's regular office hours are from 8:30 a.m. to 5:00 p.m., Monday through Friday, state holidays excepted.

2 Ill. Adm. Code 200.APPENDIX A Legislative Reference Bureau Request for Inspection of Public Records

Name of person making request (please print)

Address

City

Telephone Number

If inspection is being made on behalf of another individual or group, print the name of the second party.

Full description of records to be inspected:

Date

Signature of person making request

Chapter II Judges Retirement System

Part 325 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 325.110 Amendments

a) Changes or amendments to the rules may be proposed at any time by any Trustee, shall be submitted to the Secretary of the Board of Trustees in writing, and shall be acted upon in the following manner:

b) Upon receipt of a proposal for an amendment, the Secretary of the Board shall mail to each Trustee a notice setting forth in full the proposed change or amendment to the rules, at least 20 days prior to the date of any regular or special meeting at which the proposed change or amendment shall be submitted for consideration.

c) At the next regular or special meeting following the mailing of such notice, or at any meeting thereafter to which consideration of such change or amendment has been postponed by the Board, such change or amendment may be adopted by a vote of at least 3 Trustees voting in favor of its adoption. At such meeting the proposed change or amendment may be altered or modified before being acted upon, without the necessity of any further notice to the Trustees, provided, however, that the said change or amendment as modified or altered shall be applicable only to those portions of the rules to which the notice specifically referred, and, provided further, that any such change shall be approved by at least 3 members of the Board of Trustees.

2 Ill. Adm. Code 325.210 Meetings

a) Regular Meetings. Regular meetings of the Board shall be held quarterly in January, April, July and October of each year on a date agreed to by the Board.

b) Special Meetings. Special meetings of the Board may be called at any time by the Chairman of the Board, or by any 3 Trustees.

c) Notice. At least 10 days' notice, in writing, shall be given to each Trustee, of the date of any regular or special meeting. Any business of whatever nature may be disposed of at a regular or special meeting.

d) Quorum. Three Trustees of the Board shall constitute a quorum for the transaction of business at any regular or special meeting.

e) Annual Meeting. The regular meeting in October in each year shall constitute the annual meeting of the Board. At such meeting the election of officers of the Board for the ensuing fiscal year shall be held.

f) Voting. Each Trustee may cast one vote on any question coming before the Board at any regular or special meeting at which he is in attendance. At least 3 concurring votes shall be necessary for action by the Board at any of its meetings. The State Treasurer or the Chief Justice of the Supreme Court, being ex officio trustees, may designate in writing filed with the Secretary at least 1 day before any meeting, a person who is authorized to represent him as a proxy at any meeting with full right to vote at said meeting on all matters that may come before the meeting; the said designation, at the election of the State Treasurer or the Chief Justice of the Supreme Court, may continue in effect until cancelled in writing filed with the Secretary.

g) Record of Proceedings. The Board shall keep a full record of all its proceedings in which shall be recorded all business of whatever nature transacted by the Board. The Secretary shall supply to each Trustee, within 15 days of any regular or special meeting, a copy of the minutes of the meeting.

h) Roll Calls. On any motion or resolution involving the expenditures of moneys or the creation of a liability for the System, the vote of each Trustee present shall be recorded in the minutes of the meeting. Such a record shall be made at the request of any Trustee present at the meeting on any other motion or resolution.

i) Reconsideration. Any Trustee who voted with the majority on any question acted upon by the Board may move for a reconsideration of the action taken on such vote. Such motion for reconsideration may be made at any regular or special meeting at the request of the Trustee desiring such action.

j) Order of Business. The following order shall govern the business to be taken up at any regular or special meeting:

Roll Call
Report on Investments
Minutes of Previous Meeting
Reading of Communications
Report of Chairman
Report of Secretary
Unfinished Business
New Business

History

Source: Amended at 27 Ill. Reg. 9915, effective June 23, 2003.

2 Ill. Adm. Code 325.220 Officers and Their Duties

a) Elective Officers. The following named officers shall be elected by the Board of Trustees: to-wit, Chairman and Vice Chairman.

b) Employees. The Board shall appoint a Secretary and an Actuary and such other personnel as may be necessary for the proper conduct of business of the System, and fix their rates of compensation. Any person rendering special service to the Board, at the request of the Board, shall receive compensation for such service in such amount as the Board may vote to allow.

c) Salaries. Salaries or other compensation of officers or employees entitled thereto shall be fixed by resolution of the Board and shall be payable monthly or as otherwise stipulated.

d) Chairman.

The Chairman shall be the chief executive officer of the Board; shall preside at all meetings; announce the business before the Board, and the order in which it is to be acted upon subject to the rules hereof; announce the question under consideration, and the result of the vote taken; request a roll call upon any action or resolution of the Board as herein provided.
The Chairman shall appoint all necessary committees and shall see to it that they perform their assigned duties. He shall sign all contracts and agreements creating any liabilities, together with the Secretary of the Board, upon authorization and direction of the Board. He shall approve all vouchers signed by the Secretary as provided in paragraph (f)(4) of this Section before the same are forwarded to the State Comptroller. He shall exercise a general supervision over the affairs of the System. The Chairman may also, in writing, authorize the Vice Chairman or a member of the staff to sign vouchers or other documents required in the normal operations of the System.

e) Vice Chairman. The Vice Chairman shall act as Chairman at any regular or special meeting and perform the duties set forth in this Section in the absence or disability of the Chairman.

f) Secretary. The Secretary shall be in charge of the administration of the detailed affairs of the System, and in addition to such other duties as are delegated by the Board, shall:

Give proper and timely notice of all meetings of the Board; prepare for each meeting an agenda showing the business to be transacted and forward the same to each Trustee at least 10 days prior to all regular meetings; record the proceedings of the Board at all meetings and keep a permanent record thereof; read all communications addressed to the Board; and keep the seal and affix the same to all papers that require it;
Present to the Board for approval all bills for administrative expenses, and applications for annuities, benefits and refunds;
Perform such other duties and functions as are provided by the law governing the System or as prescribed by the Board; and

g) Actuary. The Actuary shall be the technical advisor of the Board and shall supply the Board with information relating to the technical aspects of the operations of the System. He shall perform such other duties as are required by the law governing the System or as prescribed by the Board.

h) Legal Advisor. The Attorney General of the State shall be the legal advisor of the Board.

History

Source: Amended at 27 Ill. Reg. 9915, effective June 23, 2003.

2 Ill. Adm. Code 325.230 Committees

a) Investments. There shall be a standing committee on investments consisting of the Chairman, Vice Chairman and the Treasurer. The functions and duties of this committee shall be to appraise the results of operations of the Illinois State Board of Investment and report their findings and opinions from time to time as the occasion requires.

b) Legislation. A "committee on legislation" consisting of one or more members shall be appointed by the Chairman. This committee shall deal with legislative proposals affecting the System. Its duties shall include, among other things, a review and evaluation of proposals for amendment of the statute governing the System that may be presented to the Board by participants of the System or by any organization of participants, or that may be before the General Assembly, and report the results thereof to the Board with appropriate recommendations. The committee shall have such other duties as may be assigned by the Board.

c) Accounts and Audits. The Chairman may also designate a "committee on accounts and audits" consisting of one or more members, in his discretion. The functions of this committee shall consist of a review of current financial reports submitted by the administrative staff, a check of the books and accounts of the System maintained in the general office of the System to determine their adequacy and security for safekeeping and a report on the results of the annual audit of the books and accounts of the System by accountants designated by the Auditor General of the State. The committee shall have other duties as may be assigned by the Board.

d) Other Committees. The Board may create other committees from time to time, as may be necessary, for the purpose of effectuating the management and administration of the System.

Chapter III Office of the State's Attorneys Appellate Prosecutor

Part 350 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 350.100 Public Access to Agency Information

a) All legal documents prepared and filed in the reviewing courts are available to the public upon request, unless otherwise ordered by a court of competent jurisdiction. Access to legal manuscripts may be obtained provided reasonable notice is given to the Administrative Office. Copies of legal manuscripts may be obtained although a reasonable fee may be assessed in order to offset reproduction costs.

b) In addition to the legal documents referred to above, all other records of the Commission are available to any person for inspection and copying upon reasonable notice except:

A record, or portion thereof, relating solely to the internal personnel rules and practices of the agency.
A record, or portion thereof, specially exempted from disclosure by statute.
A record, or portion thereof, which is privileged.
An intra-agency or inter-agency memorandum or letter that would not be routinely available by law to a private party in litigation.
A personnel, medical, or similar record, including a financial record, or any portion thereof, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
Investigatory records compiled for law enforcement purposes.

History

Source: transferred from 2 Ill. Adm. Code 300 (State's Attorney Appellate Service Commission) to 2 Ill. Adm. Code 350 Office of the State's Attorneys Appellate Prosecutor) pursuant to Section 7(e) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1985, ch. 127, par. 1007(e)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1985 ch. 14, par. 201 et seq.) at 11 Ill. Reg. 1666

2 Ill. Adm. Code 350.200 Rulemaking

All rules, regulations and policies of the agency are promulgated by the Board of Commissioners:

a) Rules not involving budget or financial matters

The Board of Commissioners at any duly convened meeting where a quorum is present may promulgate a rule, regulation or policy affecting the operation of the agency upon the affirmative vote of a majority of the members present.

b) Rules involving budget or financial matters

c) Application of Administrative Procedure Act

All rules, regulations and policies promulgated by the Board of Commissioners shall be acted upon and adopted in accordance with the Illinois Administrative Procedure Act as now or hereafter amended.

History

Source: transferred from 2 Ill. Adm. Code 300 (State's Attorney Appellate Service Commission) to 2 Ill. Adm. Code 350 Office of the State's Attorneys Appellate Prosecutor) pursuant to Section 7(e) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1985, ch. 127, par. 1007(e)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1985 ch. 14, par. 201 et seq.) at 11 Ill. Reg. 1666

2 Ill. Adm. Code 350.300 Statement of Purpose

The State's Attorneys Appellate Service Commission was established in order to:

a) provide appellate assistance in criminal cases to all State's Attorneys in Judicial Districts having less than three (3) million inhabitants;

b) unify and coordinate criminal appellate litigation thereby insuring prompt, fair determination of cases adjudicated in the reviewing court;

c) insure that participating State's Attorneys retain exclusive control over their cases; and

d) provide other related services and programs to State's Attorneys in order to enhance the criminal justice system.

History

Source: transferred from 2 Ill. Adm. Code 300 (State's Attorney Appellate Service Commission) to 2 Ill. Adm. Code 350 Office of the State's Attorneys Appellate Prosecutor) pursuant to Section 7(e) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1985, ch. 127, par. 1007(e)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1985 ch. 14, par. 201 et seq.) at 11 Ill. Reg. 1666

2 Ill. Adm. Code 350.310 Statutory Authority

The State's Attorneys Appellate Service Commission was created by an Act approved December 3, 1977 (Ill. Rev. Stat. 1983, ch. 14, pars. 201 et seq.), as amended.

History

Source: transferred from 2 Ill. Adm. Code 300 (State's Attorney Appellate Service Commission) to 2 Ill. Adm. Code 350 Office of the State's Attorneys Appellate Prosecutor) pursuant to Section 7(e) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1985, ch. 127, par. 1007(e)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1985 ch. 14, par. 201 et seq.) at 11 Ill. Reg. 1666

2 Ill. Adm. Code 350.320 Board of Commissioners

a) The Commission is governed by a Board of Commissioners which establishes and promulgates all rules, regulations and procedures for the operation of the Commission offices.

b) The Board of Commissioners consists of 10 State's Attorneys; 2 elected from each of the four Judicial Districts containing less than three (3) million inhabitants; the State's Attorney of Cook County and one State's Attorney to be appointed by the other 9 members.

c) The elected/appointed Commission members' term of office is 12 months, commencing on the 1st day of July. The Board of Commissioners is responsible for appointing a Director, establishing and maintaining four district offices, approving an annual budget for the operation of the Commission and submitting an annual report to the General Assembly and the Governor.

History

Source: transferred from 2 Ill. Adm. Code 300 (State's Attorney Appellate Service Commission) to 2 Ill. Adm. Code 350 Office of the State's Attorneys Appellate Prosecutor) pursuant to Section 7(e) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1985, ch. 127, par. 1007(e)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1985 ch. 14, par. 201 et seq.) at 11 Ill. Reg. 1666

2 Ill. Adm. Code 350.330 Participating Counties

All Counties in Judicial Districts having less than three (3) million inhabitants are eligible to participate in the State's Attorneys Appellate Service Commission program. Participation is voluntary. Counties taking part in the program are collectively responsible for appropriating one-third of the total cost of operating the agency, the remaining two-thirds is allocated from the General Revenue Fund.

History

Source: transferred from 2 Ill. Adm. Code 300 (State's Attorney Appellate Service Commission) to 2 Ill. Adm. Code 350 Office of the State's Attorneys Appellate Prosecutor) pursuant to Section 7(e) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1985, ch. 127, par. 1007(e)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1985 ch. 14, par. 201 et seq.) at 11 Ill. Reg. 1666

2 Ill. Adm. Code 350.340 Agency Structure

The State's Attorneys Appellate Service Commission consists of an Administrative Office and four District Offices. They are located as follows:

Administrative Office

151 Bruns Lane, Suite 102

Springfield, Illinois 62702

(217) 782-1628

Second District Office

35 Fountain Square Plaza, Suite 204

Elgin, Illinois 60120

(312) 697-0020

Third District Office

628 Columbus Street, Suite 402

Ottawa, Illinois 61350

(815) 434-7010

Fourth District Office

151 Bruns Lane, Suite 103

Springfield, Illinois 62702

(217) 782-8076

Fifth District Office

1907 Broadway

Mt. Vernon, Illinois 62864

(618) 244-2107

History

Source: transferred from 2 Ill. Adm. Code 300 (State's Attorney Appellate Service Commission) to 2 Ill. Adm. Code 350 Office of the State's Attorneys Appellate Prosecutor) pursuant to Section 7(e) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1985, ch. 127, par. 1007(e)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1985 ch. 14, par. 201 et seq.) at 11 Ill. Reg. 1666

2 Ill. Adm. Code 350.350 Administrative Office

a) Director

The Director of the State's Attorneys Appellate Service Commission is appointed by and serves at the pleasure of the Board of Commissioners. The Director is responsible for carrying out the rules, regulations and policies established by the Board of Commissioners and has a wide range of authority in overseeing Commission employees and supervising the day-to-day activities of the Commission offices. The Director is authorized to enter into contracts on behalf of the Commission to facilitate the Commission's goals and objectives and to insure efficient and effective agency operation. The Director is responsible for submitting an annual budget to the Commission for its approval and maintaining a close working relationship with the counties participating in the agency's program.

b) Assistant Director

The Assistant Director assists the Director in the operation of the Commission offices and its assigned programs and acts for the Director in his absence, sickness or unavailability. The Assistant Director will also serve as an ex-officio member of the Commission's Legislative and Continuing Legal Education Committees.

c) Legal Program Coordinator

The Legal Program Coordinator is the editor of the Commission's Newsletter and Uniform Complaint Book. The Legal Program Coordinator also supervises the semi-annual Trial Advocacy Program and handles special appellate court cases for the Commission.

d) Fiscal Officer

The Fiscal Officer assists the Director in the preparation of an annual budget. The Fiscal Officer coordinates all expenditures and vouchering procedures, maintains books of account, prepares financial reports for the Director and Board of Commissioners, maintains liaison with the Comptroller's Office, Department of Central Management Services, Auditor General and other state offices.

e) Deputy Fiscal Officer

The Deputy Fiscal Officer assists the Fiscal Officer and is responsible for the entering of all payment vouchers, the maintenance of all obligations, and the compilation of all reports required to be submitted to the Comptroller's Office.

f) Investigators

The Investigators are responsible for all proper investigative activities as assigned by the Assistant Director. Investigators shall also provide assistance in conducting training programs at the county level.

g) Director's Secretary

The Director's Secretary is responsible for all Commission payroll and personnel matters and handles all Commission correspondence of a sensitive and confidential nature. The Director's Secretary serves as secretary to the Board of Commissioners and other Committees as assigned by the Director.

h) Legal Secretaries

Legal Secretaries are responsible for carrying out all assigned secretarial and clerical duties in the Administrative Office.

History

Source: transferred from 2 Ill. Adm. Code 300 (State's Attorney Appellate Service Commission) to 2 Ill. Adm. Code 350 Office of the State's Attorneys Appellate Prosecutor) pursuant to Section 7(e) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1985, ch. 127, par. 1007(e)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1985 ch. 14, par. 201 et seq.) at 11 Ill. Reg. 1666

2 Ill. Adm. Code 350.360 District Offices

a) Deputy Directors

Four Deputy Directors are appointed by the Director. Each Deputy Director is responsible for overseeing and supervising an assigned District Office and in carrying out the goals of the Commission.

b) Staff Attorneys

The Staff Attorneys are responsible for preparing, filing and arguing appellate briefs assigned by the Deputy Director. The Staff Attorneys are also responsible for performing related prosecutorial tasks assigned by the Director, such as training, advice to State's Attorneys and preparation of legal memoranda.

c) Administrative Secretaries

An Administrative Secretary is assigned to each District Office. The Administrative Secretary is responsible for work assigned by the Deputy Director. In addition, the Administrative Secretary assists the Deputy Director in completing certain administrative functions established by the Administrative Office.

d) Legal Secretaries

Legal secretaries are responsible for carrying out all assigned secretarial and clerical duties in support of the respective District Office.

History

Source: transferred from 2 Ill. Adm. Code 300 (State's Attorney Appellate Service Commission) to 2 Ill. Adm. Code 350 Office of the State's Attorneys Appellate Prosecutor) pursuant to Section 7(e) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1985, ch. 127, par. 1007(e)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1985 ch. 14, par. 201 et seq.) at 11 Ill. Reg. 1666

2 Ill. Adm. Code 350.APPENDIX A Organizational Chart

History

Source: Amended at 8 Ill. Reg. 18868, effective September 25. 1984

Part 351 Freedom of Information

2 Ill. Adm. Code 351.100 Summary and Purpose

a) These rules are established to implement the provisions of the Freedom of Information Act (Supp. to Ill. Rev. Stat. 1983, ch. 116, par. 201 et seq.). The purpose of these rules is to support the policy of providing public access to the public records in the possession of this Commission while, at the same time, protecting legitimate privacy interests and maintaining administrative efficiency.

b) These rules create a procedure by which the public may request and obtain public records. Therefore, they are being filed in accordance with Section 5-15 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-15).

2 Ill. Adm. Code 351.110 Definitions

a) Terms used in these rules shall have the same meaning as in the Freedom of Information Act.

b) "FOIA" means the Freedom of Information Act.

c) "Freedom of Information Officer" means an individual responsible for receiving and responding to requests for public records.

d) "Requestor" means a person who submits a request for public records in accordance with these rules.

History

Source: transferred from 2 Ill. Adm. Code 301 (State's Attorneys Appellate Service Commission to 2 Ill. Adm. Code 351 Office of the State's Attorneys Appellate Prosecutor pursuant to Section 5-80(d) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-80(d)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1991, ch. 14, par. 201 et seq.) at 10 Ill. Reg. 1664

2 Ill. Adm. Code 351.200 Person to Whom Requests Are Submitted

Requests for public records shall be submitted to the Freedom of Information Officer of this Commission. Requests shall be submitted to the following address:

Douglas Pitchford

State's Attorneys Appellate Prosecutor

151 Bruns Lane, Suite 102

Springfield, Illinois 62702

ATTN: FOIA Request.

History

Source: Amended at 16 Ill. Reg. 13229, effective August 17, 1992

2 Ill. Adm. Code 351.210 Form and Content of Requests

a) Requests must be made in accordance with the FOIA. Such requests may be submitted on FOIA request forms provided by the Commission. (See Appendix A to these rules).

b) The requestor shall provide the following information in a request for public records:

The requestor's full name, address and phone number;
A description of the public records sought, being as specific as possible;
Whether the request is for inspection of public records, copies of public records, or both.

History

Source: transferred from 2 Ill. Adm. Code 301 (State's Attorneys Appellate Service Commission to 2 Ill. Adm. Code 351 Office of the State's Attorneys Appellate Prosecutor pursuant to Section 5-80(d) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-80(d)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1991, ch. 14, par. 201 et seq.) at 10 Ill. Reg. 1664

2 Ill. Adm. Code 351.300 Time for Commission Response

a) The Commission shall respond to a written request for public records within 7 working days after the receipt of such request.

b) The Commission may give notice of an extension of time to respond which does not exceed an additional 7 working days. Such an extension is allowable if written notice is provided within the original 7 working day time limit for the reasons provided in Section 3(d) of the FOIA. Such notice of extension shall state the reasons why the extension is necessary and the date by which the records will be made available or denial will be forthcoming.

History

Source: transferred from 2 Ill. Adm. Code 301 (State's Attorneys Appellate Service Commission to 2 Ill. Adm. Code 351 Office of the State's Attorneys Appellate Prosecutor pursuant to Section 5-80(d) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-80(d)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1991, ch. 14, par. 201 et seq.) at 10 Ill. Reg. 1664

2 Ill. Adm. Code 351.310 Types of Commission Responses

a) The Commission shall respond to a request for public records in one of three ways:

Approve the request;
Approve in part and deny in part;
Deny the request.

b) Upon approval of a request for public records, the Commission may either make available the materials, give notice that the materials shall be made available upon payment of allowable costs, or give notice of the time and place for inspection of records.

c) A denial of a request for public records shall be made in writing. It shall state the reasons for the denial in accordance with either Section 3(f) or Section 7 of the FOIA and the names and titles of individuals responsible for the decision. It shall also give notice of the requestor's right to appeal to the Director of the Commission.

d) Categorical requests creating an undue burden upon the Commission shall be denied only after extending to the requestor an opportunity to confer in an attempt to reduce the request to manageable proportions in accordance with Section 3(f) of the FOIA.

e) Failure to respond to a written request within 7 working days will be considered by the requestor a denial of the request.

History

Source: transferred from 2 Ill. Adm. Code 301 (State's Attorneys Appellate Service Commission to 2 Ill. Adm. Code 351 Office of the State's Attorneys Appellate Prosecutor pursuant to Section 5-80(d) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-80(d)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1991, ch. 14, par. 201 et seq.) at 10 Ill. Reg. 1664

2 Ill. Adm. Code 351.400 Appeal of a Denial

a) A requestor whose request has been denied by the Freedom of Information Officer may appeal the denial to the Director of the Commission. The notice of appeal shall be made in writing and sent to:

Norbert J. Goetten

State's Attorneys Appellate Prosecutor

151 Bruns Lane, Suite 102

Springfield, Illinois 62702

ATTN: FOIA Appeal

b) The notice of appeal shall include a copy of the original request, a copy of the denial received by the requestor, and a statement of the reasons why the appeal should be granted,

History

Source: Amended at 16 Ill. Reg. 13229, effective August 17, 1992

2 Ill. Adm. Code 351.410 Director's Response to Appeal

The Director shall respond to an appeal within 7 working days after receiving notice thereof. The Director shall either affirm the denial or provide access to the requested public records.

History

Source: transferred from 2 Ill. Adm. Code 301 (State's Attorneys Appellate Service Commission to 2 Ill. Adm. Code 351 Office of the State's Attorneys Appellate Prosecutor pursuant to Section 5-80(d) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-80(d)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1991, ch. 14, par. 201 et seq.) at 10 Ill. Reg. 1664

2 Ill. Adm. Code 351.500 Inspection of Records at Commission Offices

a) Unless otherwise agreed, the inspection of records shall take place at the office of the Freedom of Information Officer during normal working hours. For purposes of convenience, either the Commission or the requestor may request that inspection take place in another Commission office location.

b) Documents which the requestor wishes to have copied shall be segregated during the course of the inspection. Generally, all copying shall be done by Commission employees.

c) An employee of the Commission may be present throughout the inspection. A requestor may be prohibited from bringing bags, brief cases or other containers into the inspection room.

History

Source: transferred from 2 Ill. Adm. Code 301 (State's Attorneys Appellate Service Commission to 2 Ill. Adm. Code 351 Office of the State's Attorneys Appellate Prosecutor pursuant to Section 5-80(d) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-80(d)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1991, ch. 14, par. 201 et seq.) at 10 Ill. Reg. 1664

2 Ill. Adm. Code 351.510 Copies of Public Records

a) Copies of public records shall be provided to the requestor only upon payment of any charges which are due.

b) Charges for copies of public records shall be assessed in accordance with the "Fee Schedule for Duplication of Public Records" attached as Appendix B to these rules.

c) Charges may be waived or reduced in any case where the Freedom of Information Officer determines that the waiver serves the public interest.

History

Source: transferred from 2 Ill. Adm. Code 301 (State's Attorneys Appellate Service Commission to 2 Ill. Adm. Code 351 Office of the State's Attorneys Appellate Prosecutor pursuant to Section 5-80(d) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-80(d)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1991, ch. 14, par. 201 et seq.) at 10 Ill. Reg. 1664

2 Ill. Adm. Code 351.520 General Materials Available from the Freedom of Information Officer

The Freedom of Information Officer shall make available to the public at no charge the following materials:

a) A brief description of the organizational structure and budget of the Commission;

b) A brief description of the means for requesting information and public records; and

c) A list of types and categories of public records maintained by the Commission.

History

Source: transferred from 2 Ill. Adm. Code 301 (State's Attorneys Appellate Service Commission to 2 Ill. Adm. Code 351 Office of the State's Attorneys Appellate Prosecutor pursuant to Section 5-80(d) of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-80(d)) and the State's Attorneys Appellate Prosecutor's Act (Ill. Rev. Stat. 1991, ch. 14, par. 201 et seq.) at 10 Ill. Reg. 1664

2 Ill. Adm. Code 351.APPENDIX A Request for Public Records

TO:

FROM:

FOI OFFICER

NAME

COMMISSION

ADDRESS

PHONE NUMBER

DESCRIPTION OF REQUESTED RECORD(S):

Please indicate if you wish to inspect the above captioned records or wish a copy of them:

Inspection

Copy

Both

Do you wish to have copies certified?

FOR OFFICE USE ONLY:

Date Received

Date Response Due

Notations re Oral Communications or Other Items.

2 Ill. Adm. Code 351.APPENDIX B Fee Schedule for Duplication of Public Records

Type of Duplication

Per Copy Charge

Paper copy from paper original

(possibly different charges for different sizes)

$ .10

Paper copy from computer original

.20

Certification of Public Records

.50

Some records possessed by the Commission are in book or pamphlet form. A charge may be assessed for such materials based upon the cost of such materials incurred by the Commission.

2 Ill. Adm. Code 351.APPENDIX C Approval of Request for Public Records

TO:

FROM:

Name

FOI Officer

Address

Commission

Address

Phone Number

DESCRIPTION OF REQUESTED RECORD(S):

Your request dated ___________ for the above captioned records has been approved.

The documents you requested are enclosed.

The documents will be made available upon payment of copying costs in the amount of _______________.

You may inspect the records at:

date

FOI Officer

Date

2 Ill. Adm. Code 351.APPENDIX D Denial of Request for Public Records

TO:

FROM:

Name

FOI Officer

Address

Commission

Address

Phone Number

DESCRIPTION OF REQUESTED RECORD(S):

Your request dated:

for the above captioned records has been denied.

The request creates an undue burden on the public body in accordance with Section 3(f) of the Freedom of Information Act, and we were unable to negotiate a more reasonable request. Compliance with the request would cause an undue burden on the Commission for the following reason(s):

The materials requested are exempt under Section 7 of the Freedom of Information Act for the following reasons:

The individuals who have reached the determination that the records you have requested are to be denied are:

1.)

2.)

You have the right to appeal the denial of the records you have requested to the Director of this Commission by submitting a written notice of appeal to:

Norbert J. Goetten, Director

State's Attorneys Appellate Prosecutor

151 Bruns Lane, Suite 102

Springfield, Illinois 62702

ATTN: FOIA Appeal

History

Source: Amended at 16 Ill. Reg. 13229, effective August 17, 1992

2 Ill. Adm. Code 351.APPENDIX E Partial Approval of Request for Public Records

TO:

FROM:

Name

FOI Officer

Address

Commission

Address

Phone Number

DESCRIPTION OF REQUESTED RECORD(S):

Your request dated ______________ for the above captioned records has been partially approved. Those parts of your request which have been approved:

are enclosed.

will be made available upon payment of copying costs in the amount of ___________.

may inspect the records at __________________ on _______________.

date

The following portions of your request have been denied for the reason(s) cited:

You have the right to appeal the denial of the records you have requested to the Director of this Commission by submitting a written notice of appeal to:

Norbert J. Goetten, Director

States Attorneys Appellate Prosecutor

151 Bruns Lane, Suite 102

Springfield, Illinois 62702

History

Source: Amended at 16 Ill. Reg. 13229, effective August 17, 1992

2 Ill. Adm. Code 351.APPENDIX F Deferral of Response to Request for Public Records

TO:

FROM:

Name

FOI Officer

Address

Commission

Address

Phone Number

DESCRIPTION OF REQUESTED RECORD(S):

Your request dated

for the above captioned records must be delayed. The

delay in responding to your request is for the following reason(s):

(Provide reason for delay in accordance with Section 3(d) of the FOIA.)

You will be notified by

(date) as to the action taken on your request.

FOI Officer

Date

2 Ill. Adm. Code 351.APPENDIX G for Appeal Director's Response

TO:

FROM:

Name

FOI Officer

Address

Commission

Address

Phone Number

DESCRIPTION OF REQUESTED RECORD(S):

Noted below is the action I have taken on your appeal from the denial of your request for the above captioned records:

I hereby approve your appeal to the following extent and for the following reason(s):

I affirm the denial of your request made by the Freedom of Information Officer.

You are entitled to judicial review of any denial pursuant to Section 11 of the Freedom of Information Act.

Director

Date

Chapter IV Office of the State Appellate Defender

Part 500 Organization, Rulemaking and Public Information

2 Ill. Adm. Code 500.10 Definitions

"Act" − State Appellate Defender Act [725 ILCS 105].

"Commission" − State Appellate Defender Commission.

"Expungement" − A court order issued pursuant to Section 5 of the Criminal Identification Act [20 ILCS 2630].

"Expungement Unit" − The division of the Office of the State Appellate Defender delegated responsibilities for the expungement program authorized by Section 11 of the Criminal Identification Act and Section 10.6 of the Act.

"Office of the State Appellate Defender" or "Office" − The State agency created under Section 3 of the Act.

"State Appellate Defender" − The officer appointed by the Supreme Court under Section 5 of the Act. This individual is the chief administrative officer of the Office. When responsibilities are delegated by the State Appellate Defender to the Deputy Defender or Assistant Appellate Defender or any other employee of the Office, the term "State Appellate Defender" includes those individuals, with respect to their delegated authorities.

"Supreme Court" − Illinois State Supreme Court.

2 Ill. Adm. Code 500.20 Office of the State Appellate Defender

a) Creation of the Office

The Office of the State Appellate Defender is created by Section 3 of the State Appellate Defender Act.

b) The State Appellate Defender

Appointment of the State Appellate Defender

A) The Illinois Supreme Court, by a majority vote, shall appoint the State Appellate Defender to serve a term of four years and until his or her successor is appointed and qualified. (Section 5(a) of the Act)

B) The State Appellate Defender must be an attorney licensed to practice law in Illinois and shall devote full time to the duties of the office. The person appointed as State Appellate Defender shall not engage in the private practice of law while holding that position. (Section 5(a) of the Act)

Removal of the State Appellate Defender

The Supreme Court may remove the State Appellate Defender only for cause and after a hearing. The Supreme Court may hold a hearing for this purpose on its own motion or upon a motion by the Commission and may adopt rules establishing other procedures for the hearing. (Section 5(b) of the Act)

c) Organization of the Office of the State Appellate Defender

District Offices

The State Appellate Defender shall establish an office in each judicial district. (Section 9(a) of the Act) The State Appellate Defender may establish other offices to aid in the discharge of his or her duties.

Deputy Defenders

A) The State Appellate Defender shall appoint a Deputy Defender for each district. Deputy Defenders shall serve at the pleasure of the State Appellate Defender.

B) The District Deputy Defender shall serve as the administrator of the district office. Each appointment of a Deputy Defender must be approved by a majority of the appellate court judges of the judicial district and must be an attorney licensed to practice law in Illinois.

C) Deputy Defenders shall employ, with the approval of the State Appellate Defender, Assistant Appellate Defenders, investigators, clerical and other employees under their direct supervision. District Office personnel include Supreme Court Unit, Capital Post Conviction Unit and Capital Trial Assistance Unit employees.

D) Attorneys employed by a Deputy Defender shall devote full time to their duties and may not engage in the private practice of law. (Section 9(b), (d) and (e) of the Act)

Staff of the Office of the State Appellate Defender

A) The staff of the State Appellate Defender may consist of additional attorneys licensed to practice law in Illinois who serve as Assistant Appellate Defenders. Attorneys employed by the State Appellate Defender shall devote full time to their duties and may not engage in the private practice of law.

B) The State Appellate Defender may appoint administrative, investigative and clerical employees necessary to discharge the duties of the Office. (Section 9(c) of the Act) These Office personnel may include Deputy State Appellate Defenders, Deputy Defenders and Assistant Defenders in non-District offices, and the Chief Fiscal Officer/Human Resources Director, Legislative Liaison, Information Technology Directory, Director of Support Services, Senior Administrative Assistant and Expungement Staff (see Subpart D).

2 Ill. Adm. Code 500.30 State Appellate Defender Commission

a) Purpose

Section 4 of the Act creates the State Appellate Defender Commission to advise the State Appellate Defender. Subject to the rules of the Supreme Court, the Commission may recommend policies for the operation of the Office.

b) Composition

a) The Commission is comprised of 9 uncompensated members. (Section 4(a) and (d) of the Act)

b) The 9 members shall be appointed as follows:

The Governor shall appoint one member who shall be designated by the Governor to serve as the Commission Chair.
The Supreme Court shall appoint one member.
Each of the 5 Appellate Courts shall each appoint one member.
The Supreme Court shall appoint one member from a panel of 3 persons nominated by the Illinois State Bar Association.
The Governor shall appoint one member from a panel of 3 persons nominated by the Illinois Public Defender Association. (Section 4(a) of the Act)

c) Terms of Office

Commission members serve a term of 6 years and until a successor is appointed and qualified. (Section 4(a) of the Act)

d) Other Officers

Members of the Commission elect a Vice-Chair and Secretary from among their membership. (Section 4(c) of the Act)

e) Meetings

The Commission shall meet once every six months. Four members constitute a quorum. (Section 4(c) and (e) of the Act)

f) Powers and Duties of the Commission

The Commission:

Shall approve or modify an operational budget submitted to it by the State Appellate Defender and set the number of employees each year.
May, for reasonable grounds, recommend to the Supreme Court the removal of the State Appellate Defender.
Shall exercise other powers and duties as the Supreme Court by rule may provide.
Shall receive from the State Appellate Defender:

A) at each semiannual meeting, a report on the operation of the Office;

B) at the end of the fiscal year, a comprehensive report; and

C) any other additional or amended report on any phase of the operation of the Office that the Commission requires. (Section 6 of the Act)

2 Ill. Adm. Code 500.40 Powers and Duties of the State Appellate Defender

a) The State Appellate Defender shall represent indigent persons on appeal in criminal and delinquent minor proceedings when appointed to do so by a court under a Supreme Court Rule or law of Illinois. (Section 10(a) of the Act)

b) The State Appellate Defender shall submit a budget for approval by the State Appellate Defender Commission. (Section 10(b) of the Act)

c) The State Appellate Defender may:

Maintain a panel of private attorneys to serve as counsel on a case basis. The State Appellate Defender may also, by competitive bid, contract for the services of attorneys in non-death penalty criminal appeals.
Establish programs, alone or in conjunction with law schools, to utilize volunteer law students as legal assistants.
Cooperate and consult with State agencies, professional associations and other groups concerning the causes of criminal conduct, the rehabilitation and correction of persons charged with and convicted of crime, the administration of criminal justice and, in counties of less than 1,000,000 population, study, design, develop and implement model systems for the delivery of trial level defender services, and make an annual report to the General Assembly.
Hire investigators to provide investigative services to appointed counsel and county public defenders.
In cases in which a death sentence is an authorized disposition, provide trial counsel with the assistance of expert witnesses, investigators and mitigation specialists from funds appropriated to the State Appellate Defender specifically for that purpose. The Office shall not be appointed to serve as trial counsel in capital cases.
Develop a Juvenile Defender Resource Center to:

A) study, design, develop and implement model systems for the delivery of trial level defender services for juveniles in the justice system;

B) in cases in which a sentence of incarceration or an adult sentence, or both, is an authorized disposition, provide trial counsel with legal advice and the assistance of expert witnesses and investigators from funds appropriated specifically for that purpose;

C) develop and provide training to public defenders on juvenile justice issues, utilizing resources including the State and local bar associations, the Illinois Public Defender Association, law schools, the Midwest Juvenile Defender Center, and pro bono efforts by law firms. (Sections 10(c) and 10.5(a) of the Act)

2 Ill. Adm. Code 500.50 State Appellate Defender Addresses

a) The State Appellate Defender maintains an administrative office at:

Office of the State Appellate Defender

400 West Monroe St., Suite 202

P.O. Box 5240

Springfield IL 62705-5240

217/782-7203

Email: osad@osad.state.il.us

Website: www.state.il.us/defender/

b) The State Appellate Defender maintains the following District Offices:

First Judicial District:

203 N. LaSalle St., 24th Fl.

Chicago IL 60601

312/814-5472

Email: 1stDistrict@osad.state.il.us

Second Judicial District:

One Douglas Ave.

2nd Floor

Elgin IL 60120

847/695-8822

Email: 2ndDistrict@osad.state.il.us

Third Judicial District:

1100 Columbus St.

Ottawa IL 61350

815/434-5531

Email: 3rdDistrict@osad.state.il.us

Fourth Judicial District

400 West Monroe St., 3rd Fl.

Springfield IL 62704

217/782-3654

Email: 4thDistrict@osad.state.il.us

Fifth Judicial District

909 Water Tower Circle

Mt. Vernon IL 62864

618/244-8471

Email: 5thDistrict@osad.state.il.us

c) The Office's Supreme Court Unit is located at:

400 West Monroe St., 3rd Fl.

Springfield IL 62704

217/782-1989

Email: scu@osad.state.il.us

d) The Office's Capital Trial Assistance Unit is located at:

20 North Clark St., 28th Fl.

Chicago IL 60602

312/793-2056

Email: ctau@osad.state.il.us

e) The Office's Capital Post-Conviction Unit is located at:

20 North Clark St., 28th Fl.

Chicago IL 60602

312/814-5100

cpc@osad.state.il.us

f) The Office's Expungement Unit can be reached at:

P.O. Box 5240

Springfield IL 62705-5240

Toll-Free: 866/431-4907

Fax: 217/782-5385

Email: Expungement.Springfield@osad.state.il.us

or:

P.O. Box 64895

Chicago IL 60664-0895

Toll-Free: 866/787-1776

Fax: 312/793-2278

Email: Expungement.Chicago@osad.state.il.us

2 Ill. Adm. Code 500.100 Rulemaking Authority and Procedures - Foia

The Illinois Administrative Procedure Act (IAPA) [5 ILCS 100] requires that every State agency adopt rules describing its organization and the procedures by which the public can obtain information or make submissions or requests on subjects, programs and activities of the agency. Agencies are also to adopt through IAPA rulemaking procedures every policy of the agency that affects any person outside the agency. The State Appellate Defender will, when necessary, adopt rules in accordance with the IAPA.

2 Ill. Adm. Code 500.200 Summary and Purpose

a) This Part states the policy of the Office of the State Appellate Defender (OSAD) for making its records available for reasonable public inspection while, at the same time, protecting legitimate interests in confidentiality.

b) This Part:

Establishes the following classifications for records in OSAD's possession:

A) Records that shall be disclosed; and

B) Records that shall be withheld from disclosure.

Contains the procedures by which requesters may obtain records in OSAD's possession; and
Contains the procedures for claiming and determining that records submitted to OSAD are exempt from disclosure.

2 Ill. Adm. Code 500.205 Definitions

Terms not defined in this Section shall have the same meaning as in the Freedom of Information Act [5 ILCS 140]. The following definitions are applicable for purposes of this Part:

"Act" means the State Appellate Defender Act [725 ILCS 105].

to access and disseminate information concerning news and current or passing events;

for articles of opinion or features of interest to the public; or

for the purpose of academic, scientific, or public research or education. (Section 2(c-10) of FOIA)

"Director" means the State Appellate Defender.

"FOIA" means the Freedom of Information Act [5 ILCS 140].

"Freedom of Information Officer" or "FOI Officer" means an individual or individuals responsible for receiving and responding to requests for public records.

"OSAD" means the Office of the State Appellate Defender.

"Person" means any individual, corporation, partnership, firm, organization or association, acting individually or as a group. (Section 2(b) of FOIA)

"Public Access Counselor" means an individual appointed to that office by the Attorney General under Section 7 of the Attorney General Act [15 ILCS 205].

"Requester" is any person who has submitted to OSAD a written request, electronically or on paper, for records.

2 Ill. Adm. Code 500.210 Records That Will Be Disclosed

Upon request meeting the requirements of this Part, OSAD will disclose to the requester all records requested except that it will not disclose certain records as provided in Section 500.215 or 500.220. Records covered under this Section shall include, but are not limited to:

a) Records of funds. All records relating to the obligation, receipt and use of public funds of OSAD are records subject to inspection and copying by the public. (Section 2.5 of FOIA)

b) Payrolls. Certified payroll records submitted to OSAD under Section 5(a)(2) of the Prevailing Wage Act [820 ILCS 130] are records subject to inspection and copying in accordance with the provisions of FOIA; except that contractors' and employees' addresses, telephone numbers, and Social Security numbers will be redacted by OSAD prior to disclosure. (Section 2.10 of FOIA)

c) Criminal history records.

The following documents maintained by OSAD pertaining to criminal history record information are records subject to inspection and copying by the public pursuant to FOIA:

A) Court records that are public;

B) Records that are otherwise available under State or local law; and

C) Records in which the requesting party is the individual identified, except as provided under Section 500.215(a)(5)(F) of this Part. (Section 2.15(b) of FOIA)

Arrest records that are confidential under the Juvenile Court Act of 1987 are exempt from disclosure. (Section 2.15(b) of FOIA)

d) Settlement agreements. All settlement agreements entered into by or on behalf of OSAD are records subject to inspection and copying by the public, provided that information exempt from disclosure under Section 500.215 or 500.220 of this Part may be redacted. (Section 2.20 of FOIA)

2 Ill. Adm. Code 500.215 Records That Will Be Withheld from Disclosure

When a request is made to inspect or copy a record that contains information that is otherwise exempt from disclosure under this Section, but also contains information that is not exempt from disclosure, OSAD will make the remaining information available for inspection and copying. (Section 7(1) of FOIA)

a) Subject to this requirement and Section 7 of FOIA, the following shall be exempt from inspection and copying:

Information specifically prohibited from disclosure by federal or State law or rules and regulations implementing federal or State law; (Section 7(1)(a) of FOIA)
Private information, unless disclosure is required by another provision of FOIA, a State or federal law or a court order; (Section 7(1)(b) of FOIA)
Files, documents, and other data or databases maintained by one or more law enforcement agencies and specifically designed to provide information to one or more law enforcement agencies regarding the physical or mental status of one or more individual subjects; (Section 7(1)(b-5) of FOIA)
Personal information contained within records, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy, unless the disclosure is consented to in writing by the individual subjects of the information. "Unwarranted invasion of personal privacy" means the disclosure of information that is highly personal or objectionable to a reasonable person and in which the subject's right to privacy outweighs any legitimate public interest in obtaining the information. The disclosure of information that bears on the public duties of public employees and officials shall not be considered an invasion of personal privacy; (Section 7(1)(c) of FOIA)
Records in the possession of any public body created in the course of administrative enforcement proceedings, and any law enforcement or correctional agency for law enforcement purposes, but only to the extent that disclosure would:

A) Interfere with pending or actually and reasonably contemplated law enforcement proceedings conducted by any law enforcement or correctional agency that is the recipient of the request;

B) Interfere with active administrative enforcement proceedings conducted by the public body that is the recipient of the request;

C) Create a substantial likelihood that a person will be deprived of a fair trial or an impartial hearing;

D) Unavoidably disclose the identity of a confidential source, confidential information furnished only by the confidential source, or persons who file complaints with or provide information to administrative, investigative, law enforcement, or penal agencies; except that OSAD will provide traffic accident reports, the identities of witnesses to traffic accidents, and rescue reports, except when disclosure would interfere with an active criminal investigation;

E) Disclose unique or specialized investigative techniques other than those generally used and known, or disclose internal documents of correctional agencies related to detection, observation or investigation of incidents of crime or misconduct, and disclosure would result in demonstrable harm to OSAD;

F) Endanger the life or physical safety of law enforcement personnel or any other person; or

G) Obstruct an ongoing criminal investigation by OSAD; (Section 7(1)(d) of FOIA)

Records that relate to or affect the security of correctional institutions and detention facilities; (Section 7(1)(e) of FOIA)
Preliminary drafts, notes, recommendations, memoranda and other records in which opinions are expressed, or policies or actions are formulated, except that a specific record or relevant portion of a record shall not be exempt when the record is publicly cited and identified by the head of OSAD. The exemption provided in this subsection (a)(7) extends to all those records of officers and agencies of the General Assembly that pertain to the preparation of legislative documents; (Section 7(1)(f) of FOIA)
Trade secrets and commercial or financial information obtained from a person or business where the trade secrets or commercial or financial information are furnished under a claim that they are proprietary, privileged or confidential, and that disclosure of the trade secrets or commercial or financial information would cause competitive harm to the person or business, and only insofar as the claim directly applies to the records requested. All trade secrets and commercial or financial information obtained by a public body, including a public pension fund, from a private equity fund or a privately held company within the investment portfolio of a private equity fund as a result of either investing or evaluating a potential investment of public funds in a private equity fund. The exemption contained in this subsection (a)(8) does not apply to the aggregate financial performance information of a private equity fund, nor to the identity of the fund's managers or general partners. The exemption contained in this subsection (a)(8) does not apply to the identity of a privately held company within the investment portfolio of a private equity fund, unless the disclosure of the identity of a privately held company may cause competitive harm. Nothing in this subsection (a)(8) shall be construed to prevent a person or business from consenting to disclosure; (Section 7(1)(g) of FOIA)
Proposals and bids for any contract, grant, or agreement, including information that if it were disclosed would frustrate procurement or give an advantage to any person proposing to enter into a contract or agreement with the body, until an award or final selection is made. Information prepared by or for the body in preparation of a bid solicitation shall be exempt until an award or final selection is made; (Section 7(1)(h) of FOIA)
Valuable formulae, computer geographic systems, designs, drawings and research data obtained or produced by OSAD when disclosure could reasonably be expected to produce private gain or public loss. The exemption for "computer geographic systems" provided in this subsection (a)(10) does not extend to requests made by news media as defined in Section 500.205 when the requested information is not otherwise exempt and the only purpose of the request is to access and disseminate information regarding the health, safety, welfare or legal rights of the general public; (Section 7(1)(i) of FOIA)
The following information pertaining to educational matters:

A) Test questions, scoring keys, and other examination data used to administer an academic exam;

B) Information received by a primary or secondary school, college, or university under its procedure for the evaluation of faculty members by their academic peers;

C) Information concerning a school's or university's adjudication of student disciplinary cases, but only to the extent that disclosure would unavoidably reveal the identity of the student; and

D) Course materials or research materials used by faculty members; (Section 7(1)(j) of FOIA)

Architects' plans and engineers' technical submissions, and other construction related technical documents for projects not constructed or developed in whole or in part with public funds and for projects constructed or developed with public funds, including but not limited to power generating and distribution stations and other transmission and distribution facilities, water treatment facilities, airport facilities, sport stadiums, convention centers, and all government owned, operated, or occupied buildings, but only to the extent that disclosure would compromise security; (Section 7(1)(k) of FOIA)
Minutes of meetings of public bodies closed to the public as provided in the Open Meetings Act [5 ILCS 120] until the public body makes the minutes available to the public under Section 2.06 of the Open Meetings Act; (Section 7(1)(l) of FOIA)
Communications between OSAD and an attorney or auditor representing OSAD that would not be subject to discovery in litigation, and materials prepared or compiled by or for OSAD in anticipation of a criminal, civil or administrative proceeding upon the request of an attorney advising OSAD, and materials prepared or compiled with respect to internal audits of OSAD; (Section 7(1)(m) of FOIA)
Records relating to OSAD's adjudication of employee grievances or disciplinary cases; however, this exemption shall not extend to the final outcome of cases in which discipline is imposed; (Section 7(1)(n) of FOIA)
Administrative or technical information associated with automated data processing operations, including but not limited to software, operating protocols, computer program abstracts, file layouts, source listings, object modules, load modules, user guides, documentation pertaining to all logical and physical design of computerized systems, employee manuals, and any other information that, if disclosed, would jeopardize the security of the system or its data or the security of materials exempt under this Section; (Section 7(1)(o) of FOIA)
Records relating to collective negotiating matters between OSAD and its employees or representatives, except that any final contract or agreement shall be subject to inspection and copying; (Section 7(1)(p) of FOIA)
Test questions, scoring keys, and other examination data used to determine the qualifications of an applicant for a license or employment; (Section 7(1)(q) of FOIA)
The records, documents and information relating to real estate purchase negotiations until those negotiations have been completed or otherwise terminated. With regard to a parcel involved in a pending or actually and reasonably contemplated eminent domain proceeding under the Eminent Domain Act [735 ILCS 30], records, documents and information relating to that parcel shall be exempt except as may be allowed under discovery rules adopted by the Illinois Supreme Court. The records, documents and information relating to a real estate sale shall be exempt only until a sale is consummated; (Section 7(1)(r) of FOIA)
Any and all proprietary information and records related to the operation of an intergovernmental risk management association or self-insurance pool or jointly self-administered health and accident cooperative or pool. Insurance or self-insurance (including any intergovernmental risk management association or self-insurance pool) claims, loss or risk management information, records, data, advice or communications; (Section 7(1)(s) of FOIA)
Information contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of a public body responsible for the regulation or supervision of financial institutions or insurance companies, unless disclosure is otherwise required by State law; (Section 7(1)(t) of FOIA)
Information that would disclose or might lead to the disclosure of secret or confidential information, codes, algorithms, programs or private keys intended to be used to create electronic or digital signatures under the Electronic Commerce Security Act [5 ILCS 175]; (Section 7(1)(u) of FOIA)
Vulnerability assessments, security measures, and response policies or plans that are designed to identify, prevent, or respond to potential attacks upon a community's population or systems, facilities, or installations, the destruction or contamination of which would constitute a clear and present danger to the health or safety of the community, but only to the extent that disclosure could reasonably be expected to jeopardize the effectiveness of the measures or the safety of the personnel who implement them or the public. Information exempt under this subsection (a)(23) may include such things as details pertaining to the mobilization or deployment of personnel or equipment, to the operation of communication systems or protocols, or to tactical operations; (Section 7(1)(v) of FOIA)
Maps and other records regarding the location or security of generation, transmission, distribution, storage, gathering, treatment, or switching facilities owned by a utility, by a power generator, or by the Illinois Power Agency; (Section 7(1)(x) of FOIA)
Information contained in or related to proposals, bids, or negotiations related to electric power procurement under Section 1-75 of the Illinois Power Agency Act [20 ILCS 3855] and Section 16-111.5 of the Public Utilities Act [220 ILCS 5] that is determined to be confidential and proprietary by the Illinois Power Agency or by the Illinois Commerce Commission; (Section 7(1)(y) of FOIA)
Information about students exempted from disclosure under Section 10-20.38 or 34-18.29 of the School Code, and information about undergraduate students enrolled at an institution of higher education exempted from disclosure under Section 25 of the Illinois Credit Card Marketing Act of 2009 [110 ILCS 26]; (Section 7(1)(z) of FOIA)
Information the disclosure of which is exempted under the Viatical Settlements Act of 2009 [215 ILCS 158]; (Section 7(1)(aa) of FOIA)
Information regarding interments, entombments, or inurnments of human remains that are submitted to the Cemetery Oversight Database under the Cemetery Care Act [760 ILCS 100] or the Cemetery Oversight Act [225 ILCS 411], whichever is applicable. (Section 7(1)(bb) of FOIA)

b) A record that is not in the possession of OSAD but is in the possession of a party with whom OSAD has contracted to perform a governmental function on behalf of OSAD, and that directly relates to the governmental function and is not otherwise exempt under FOIA, shall be considered a record of OSAD for purposes of Sections 500.225, 500.230 and 500.235. (Section 7(2) of FOIA)

2 Ill. Adm. Code 500.220 Statutory Exemptions

To the extent provided for by the following statutes, the following shall be exempt from inspection and copying:

a) All information determined to be confidential under Section 4002 of the Technology Advancement and Development Act [20 ILCS 700].

b) Library circulation and order records identifying library users with specific materials under the Library Records Confidentiality Act [75 ILCS 70].

c) Applications, related documents, and medical records received by the Experimental Organ Transplantation Procedures Board and any and all documents or other records prepared by the Experimental Organ Transplantation Procedures Board or its staff relating to applications it has received.

d) Information and records held by the Department of Public Health and its authorized representatives relating to known or suspected cases of sexually transmissible disease or any information the disclosure of which is restricted under the Illinois Sexually Transmissible Disease Control Act [410 ILCS 325].

e) Information the disclosure of which is exempted under Section 30 of the Radon Industry Licensing Act [420 ILCS 44].

f) Firm performance evaluations under Section 55 of the Architectural, Engineering, and Land Surveying Qualifications Based Selection Act [30 ILCS 535].

g) Information the disclosure of which is restricted and exempted under Section 50 of the Illinois Prepaid Tuition Act [110 ILCS 979].

h) Information the disclosure of which is exempted under the State Officials and Employees Ethics Act [5 ILCS 430] and records of any lawfully created State or local inspector general's office that would be exempt if created or obtained by an Executive Inspector General's office under that Act.

i) Information contained in a local emergency energy plan submitted to a municipality in accordance with a local emergency energy plan ordinance that is adopted under Section 11-21.5-5 of the Illinois Municipal Code [65 ILCS 5].

j) Information and data concerning the distribution of surcharge moneys collected and remitted by wireless carriers under the Wireless Emergency Telephone Safety Act [20 ILCS 2605].

k) Law enforcement officer identification information or driver identification information compiled by a law enforcement agency or the Department of Transportation under Section 11-212 of the Illinois Vehicle Code [625 ILCS 5].

l) Records and information provided to a residential health care facility resident sexual assault and death review team or the Executive Council under the Abuse Prevention Review Team Act [210 ILCS 28].

m) Information provided to the predatory lending database created pursuant to Article 3 of the Residential Real Property Disclosure Act [765 ILCS 77], except to the extent authorized under that Article.

n) Defense budgets and petitions for certification of compensation and expenses for court appointed trial counsel as provided under Sections 10 and 15 of the Capital Crimes Litigation Act [725 ILCS 124]. This subsection (n) shall apply until the conclusion of the trial of the case, even if the prosecution chooses not to pursue the death penalty prior to trial or sentencing.

o) Information that is prohibited from being disclosed under Section 4 of the Illinois Health and Hazardous Substances Registry Act [410 ILCS 525].

p) Security portions of system safety program plans, investigation reports, surveys, schedules, lists, data, or information compiled, collected or prepared by or for the Regional Transportation Authority under Section 2.11 of the Regional Transportation Authority Act [70 ILCS 3615] or the St. Clair County Transit District under the Bi-State Transit Safety Act [45 ILCS 111].

q) Information prohibited from being disclosed by the Personnel Records Review Act [820 ILCS 40].

r) Information prohibited from being disclosed by the Illinois School Student Records Act [105 ILCS 10].

s) Information the disclosure of which is restricted under Section 5-108 of the Public Utilities Act [220 ILCS 5]. (Section 7.5 of FOIA)

2 Ill. Adm. Code 500.225 Submittal of Requests for Records

a) Any request for public records should be submitted in writing to the FOI Officer at OSAD.

b) OSAD has one FOI Officer, located at the administrative office.

c) Contact information for the FOI Officer can be found online at www. OSAD@osad.state.il.us/.

d) FOIA requests may be submitted via mail, e-mail, fax, or hand delivery. Requests should be mailed or hand delivered to:

OSAD Administrative Office

400 West Monroe St., Suite 202

PO Box 5240

Springfield IL 62705-5240

Attn: FOI Officer

e) E-mailed requests should be sent to OSAD@osad.state.il.us/, contain the request in the body of the e-mail, and indicate in the subject line of the e-mail that it contains a FOIA request. Faxed FOIA requests should be faxed to 217/782-5385, Attn: FOI Officer.

2 Ill. Adm. Code 500.230 Information to Be Provided in Requests for Records

A request for records should include:

a) The complete name, mailing address and telephone number of the requester;

b) As specific a description as possible of the records sought. Requests that OSAD considers unduly burdensome or categorical may be denied. (See Section 3(g) of FOIA and Section 500.245.);

c) A statement as to the requested medium and format for OSAD to use in providing the records sought: for example, paper, specific types of digital or magnetic media, or videotape;

d) A statement as to the requested manner for OSAD to use in providing the records sought: for example, inspection at OSAD headquarters or providing paper or electronic copies;

e) A statement as to whether the requester needs certified copies of all or any portion of the records, including reference to the specific documents that require certification; and

f) A statement as to whether the request is for a commercial purpose.

2 Ill. Adm. Code 500.235 Requests for Records for Commercial Purposes

a) It is a violation of FOIA for a person to knowingly obtain a record for a commercial purpose without disclosing that it is for a commercial purpose if requested to do so by OSAD. (Section 3.1(c) of FOIA)

b) OSAD shall respond to a request for records to be used for a commercial purpose within 21 working days after receipt. The response shall:

Provide to the requester an estimate of the time required by OSAD to provide the records requested and an estimate of the fees to be charged, which OSAD may require the person to pay in full before copying the requested documents;
Deny the request pursuant to one or more of the exemptions set out in Section 500.215 or 500.220;
Notify the requester that the request is unduly burdensome and extend an opportunity to the requester to attempt to reduce the request to manageable proportions; or
Provide the records requested. (Section 3.1(a) of FOIA)

c) Unless the records are exempt from disclosure, OSAD shall comply with a request within a reasonable period considering the size and complexity of the request, and giving priority to records requested for non-commercial purposes. (Section 3.1(b) of FOIA)

2 Ill. Adm. Code 500.240 Timeline for Osad Response

a) Except as stated in subsection (b) or (c), OSAD will respond to any written request for records within 5 business days after its receipt of the request. Failure to comply with a written request, extend the time for response, or deny a request within 5 business days after its receipt shall be considered a denial of the request. If OSAD fails to respond to a request within the requisite periods in this subsection (a) but thereafter provides the requester with copies of the requested records, it will not impose a fee for such copies. If OSAD fails to respond to a request received, it will not treat the request as unduly burdensome as provided under Section 500.245. (Section 3(d) of FOIA) A written request from OSAD to provide additional information shall be considered a response to the FOIA request.

b) The time limits prescribed in subsection (a) may be extended for not more than 5 business days from the original due date for any of the following reasons:

The requested records are stored in whole or in part at locations other than the office having charge of the requested records;
The request requires the collection of a substantial number of specified records;
The request is couched in categorical terms and requires an extensive search for the records responsive to it;
The requested records have not been located in the course of routine search and additional efforts are being made to locate them;
The requested records require examination and evaluation by personnel having the necessary competence and discretion to determine if they are exempt from disclosure under Section 7 or 7.5 of FOIA or should be revealed only with appropriate deletions;
The request for records cannot be complied with by OSAD within the time limits prescribed by subsection (a) without unduly burdening or interfering with the operations of OSAD; or
There is a need for consultation, which shall be conducted with all practicable speed, with another public body or among two or more components of a public body having a substantial interest in the determination or in the subject matter of the request. (Section 3(e) of FOIA)

c) The person making a request and OSAD may agree in writing to extend the time for compliance for a period to be determined by the parties. If the requester and OSAD agree to extend the period for compliance, a failure by OSAD to comply with any previous deadlines shall not be treated as a denial of the request for the records. (Section 3(e) of FOIA)

d) When additional time is required for any of the reasons set forth in subsection (b), OSAD will, within 5 business days after receipt of the request, notify the person making the request of the reasons for the extension and the date by which the response will be forthcoming. Failure to respond within the time permitted for extension shall be considered a denial of the request. If OSAD fails to respond to a request within the time permitted for extension but thereafter provides the requester with copies of the requested public records, it may not impose a fee for those copies. If OSAD issues an extension and subsequently fails to respond to the request, it will not treat the request as unduly burdensome under Section 500.245. (Section 3(f) of FOIA)

2 Ill. Adm. Code 500.245 Requests for Records That Osad Considers Unduly Burdensome

a) OSAD will fulfill requests calling for all records falling within a category unless compliance with the request would unduly burden OSAD, there is no way to narrow the request, and the burden on OSAD outweighs the public interest in the information. Before invoking this exemption, OSAD will extend to the requester an opportunity to confer with it in an attempt to reduce the request to manageable proportions. (Section 3(g) of FOIA)

b) If OSAD determines that a request is unduly burdensome, it shall do so in writing, specifying the reasons why it would be unduly burdensome and the extent to which compliance will so burden the operations of OSAD. Such a response shall be treated as a denial of the request for information. (Section 3(g) of FOIA)

c) Repeated requests for records that are unchanged or identical to records previously provided or properly denied under this Part from the same person shall be deemed unduly burdensome. (Section 3(g) of FOIA)

2 Ill. Adm. Code 500.250 Requests for Records That Require Electronic Retrieval

a) A request for records that requires electronic retrieval will be treated the same as any other request for records, with the same timeline and extensions as allowed for other records.

b) The Agency will retrieve and provide electronic records only in a format and medium that is available to OSAD.

2 Ill. Adm. Code 500.255 Denials of Requests for Records

a) OSAD will deny requests for records when:

Compliance with the request would unduly burden OSAD, as determined pursuant to Section 500.245, and the requester has not reduced the request to manageable proportions; or
The records are exempt from disclosure pursuant to Section 7 or 7.5 of FOIA or Section 500.215 or 500.220.

b) The denial of a request for records must be in writing.

The notification shall include a description of the records denied; the reason for the denial, including a detailed factual basis for the application of any exemption claimed; and the names and titles or positions of each person responsible for the denial (Section 9(a) of FOIA);
Each notice of denial shall also inform such person of the right to review by the Public Access Counselor and provide the address and phone number for the Public Access Counselor (Section 9(a) of FOIA); and
When a request for records is denied on the grounds that the records are exempt under Section 7 or 7.5 of FOIA, the notice of denial shall specify the exemption claimed to authorize the denial and the specific reasons for the denial, including a detailed factual basis and a citation to the supporting legal authority (Section 9(b) of FOIA).

c) A requester may treat OSAD's failure to respond to a request for records within 5 business days after receipt of the written request as a denial for purposes of the right to review by the Public Access Counselor.

d) If OSAD has given written notice pursuant to Section 500.240(d), failure to respond to a written request within the time permitted for extension may be treated as a denial for purposes of the right to review by the Public Access Counselor.

e) Any person making a request for records shall be deemed to have exhausted his or her administrative remedies with respect to that request if OSAD fails to act within the time periods provided in Section 500.240. (Section 9(c) of FOIA)

2 Ill. Adm. Code 500.260 Requests for Review of Denials - Public Access Counselor

a) A person whose request to inspect or copy a record is denied by OSAD may file a request for review with the Public Access Counselor established in the Office of the Attorney General not later than 60 days after the date of the final denial. (Section 9.5(a) of FOIA)

b) If OSAD asserts that the records are exempt under Section 500.215(a)(4) or (a)(7), it will, within the time periods provided for responding to a request, provide written notice to the requester and the Public Access Counselor of its intent to deny the request in whole or in part. The notice will include:

A copy of the request for access to records;
The proposed response from OSAD; and
A detailed summary of OSAD's basis for asserting the exemption. (Section 9.5(b) of FOIA)

c) Upon receipt of a notice of intent to deny from OSAD, the Public Access Counselor shall determine whether further inquiry is warranted. The Public Access Counselor shall process the notification of intent to deny as detailed in Section 9.5(b) of FOIA. Times for response or compliance by OSAD under Section 500.240 will be tolled until the Public Access Counselor concludes his or her inquiry. (Section 9.5(b) of FOIA)

d) Within 7 working days after OSAD receives a request for review from the Public Access Counselor, OSAD shall provide copies of records requested and shall otherwise fully cooperate with the Public Access Counselor. (Section 9.5(c) of FOIA)

e) Within 7 working days after it receives a copy of a request for review and request for production of records from the Public Access Counselor, OSAD may, but is not required to, answer the allegations of the request for review. The answer may take the form of a letter, brief, or memorandum. The Public Access Counselor shall forward a copy of the answer to the person submitting the request for review, with any alleged confidential information to which the request pertains redacted from the copy. (Section 9.5(d) of FOIA)

f) The requester may, but is not required to, respond in writing to the answer within 7 working days and shall provide a copy of the response to OSAD. (Section 9.5(d) of FOIA)

g) In addition to the request for review, and the answer and response thereto, if any, a requester or OSAD may furnish affidavits or records concerning any matter germane to the review. (Section 9.5(e) of FOIA)

h) A binding opinion from the Attorney General shall be binding upon both the requester and OSAD, subject to administrative review under Section 500.270. (Section 9.5(f) of FOIA)

i) If the Attorney General decides to exercise his or her discretion to resolve a request for review by mediation or by a means other than issuance of a binding opinion, the decision not to issue a binding opinion shall not be reviewable. (Section 9.5(f) of FOIA)

j) Upon receipt of a binding opinion concluding that a violation of FOIA has occurred, OSAD shall either take necessary action immediately to comply with the directive of the opinion or shall initiate administrative review under Section 500.270. If the opinion concludes that no violation of FOIA has occurred, the requester may initiate administrative review under Section 500.270. (Section 9.5(f) of FOIA)

k) If OSAD discloses records in accordance with an opinion of the Attorney General, OSAD is immune from all liabilities by reason thereof and shall not be liable for penalties under FOIA. (Section 9.5(f) of FOIA)

l) If the requester files suit under Section 500.265 with respect to the same denial that is the subject of a pending request for review, the requester shall notify the Public Access Counselor, and the Public Access Counselor shall so notify OSAD. (Section 9.5(g) of FOIA)

m) The Attorney General may also issue advisory opinions to OSAD regarding compliance with FOIA. A review may be initiated upon receipt of a written request from the State Appellate Defender or Deputy State Appellate Defender, which shall contain sufficient accurate facts from which a determination can be made. The Public Access Counselor may request additional information from OSAD in order to assist in the review. If OSAD relies in good faith on an advisory opinion of the Attorney General in responding to a request, OSAD is not liable for penalties under FOIA, so long as the facts upon which the opinion is based have been fully and fairly disclosed to the Public Access Counselor. (Section 9.5(h) of FOIA)

2 Ill. Adm. Code 500.265 Circuit Court Review

2 Ill. Adm. Code 500.270 Administrative Review

A binding opinion issued by the Attorney General shall be considered a final decision of an administrative agency, for purposes of administrative review under the Administrative Review Law [735 ILCS 5/Art. III]. An action for administrative review of a binding opinion of the Attorney General shall be commenced in Cook County or Sangamon County. An advisory opinion issued to OSAD shall not be considered a final decision of the Attorney General for purposes of this Section. (Section 11.5 of FOIA)

2 Ill. Adm. Code 500.275 Inspection of Records

a) OSAD may make available records for personal inspection at OSAD's headquarters office located at 400 W. Monroe St., Suite 202, Springfield IL 62705-5240, or at another location agreed to by both OSAD and the requester. No original record shall be removed from State-controlled premises except under constant supervision of OSAD responsible for maintaining the record. OSAD may provide records in duplicate forms, including, but not limited to, paper copies, data processing printouts, videotape, microfilm, audio tape, reel to reel microfilm, photographs, computer disks and diazo.

b) When a person requests a copy of a record maintained in an electronic format, OSAD shall furnish it in the electronic format specified by the requester, if feasible. If it is not feasible to furnish the records in the specified electronic format, then OSAD shall furnish it in the format in which it is maintained by OSAD, or in paper format at the option of the requester. (Section 6(a) of FOIA)

c) A requester may inspect records by appointment only, scheduled subject to space availability. OSAD will schedule inspection appointments to take place during normal business hours, which are 8:30 a.m. to 4:30 p.m. Monday through Friday, exclusive of State holidays. If the requester must cancel the viewing appointment, the requester shall so inform OSAD as soon as possible before the appointment.

d) In order to maintain routine Agency operations, the requester may be asked to leave the inspection area for a specified period of time.

e) The requester will have access only to the designated inspection area.

f) Requesters shall not be permitted to take briefcases, folders or similar materials into the room where the inspection takes place. An Agency employee may be present during the inspection.

g) The requester shall segregate and identify the documents to be copied during the course of the inspection.

2 Ill. Adm. Code 500.280 Copying of Records; Fees

a) In accordance with Section 500.285, unless a fee is otherwise fixed by statute, OSAD will provide copies of records and certifications of records in accordance with the fee schedule set forth in Appendix A.

b) In calculating its actual cost for reproducing records or for the use of the equipment of OSAD to reproduce records, OSAD will not include the costs of any search for and review of the records or other personnel costs associated with reproducing the records. (Section 6(b) of FOIA)

c) In order to expedite the copying of records that OSAD cannot copy, due to the volume of the request or the operational needs of OSAD, in the timelines established in Section 500.240, the requester may provide, at the requester's expense, the copy machine, all necessary materials, and the labor to copy the public records at OSAD headquarters in Section 500.275, or at another location agreed to by both OSAD and the requester. No original record shall be removed from State-controlled premises except under constant supervision of OSAD.

d) Copies of records will be provided to the requester only upon payment of any fees due. OSAD may charge the requester for the actual cost of purchasing the recording medium, whether disc, diskette, tape, or other medium, but OSAD will not charge the requester for the costs of any search for and review of the records or other personnel costs associated with reproducing the records. (Section 6(a) of FOIA) Payment must be by check or money order sent to OSAD, payable to "Treasurer, State of Illinois".

e) If a contractor is used to inspect or copy records, the following procedures shall apply:

The requester, rather than OSAD, must contract with the contractor;
The requester is responsible for all fees charged by the contractor;
The requester must notify OSAD of the contractor to be used prior to the scheduled on-site inspection or copying;
Only OSAD personnel may provide records to the contractor;
OSAD must have verification that the requester has paid OSAD, if payment is due, for the copying of the records before providing the records to the contractor; and
The requester must provide to OSAD the contractor's written agreement to hold the records secure and to copy the records only for the purpose stated by the requester.

2 Ill. Adm. Code 500.285 Reduction and Waiver of Fees

a) Fees may be reduced or waived by OSAD if the requester states the specific purpose for the request and indicates that a waiver or reduction of the fee is in the public interest. In making this determination, OSAD will consider the following:

Whether the principal purpose of the request is to disseminate information regarding the health, safety, welfare or legal rights of the general public; and
Whether the principal purpose of the request is personal or commercial benefit. For purposes of this subsection (a), "commercial benefit" shall not apply to requests made by news media when the principal purpose of the request is to access and disseminate information regarding the health, safety, welfare or legal rights of the general public. (Section 6(c) of FOIA)

b) OSAD will provide copies of records without charge to federal, State and municipal agencies, Constitutional officers and members of the General Assembly, and not-for-profit organizations providing evidence of good standing with the Secretary of State's Office.

c) Except to the extent that the General Assembly expressly provides, statutory fees applicable to copies of records when furnished in a paper format will not be applicable to those records when furnished to a requester in an electronic format. (Section 6(a) of FOIA)

2 Ill. Adm. Code 500.300 Special Public Information Responsibilities for Expungement

a) Authority of the Office

The State Appellate Defender Act is directed by statute to establish, maintain and carry out an expungement program to provide information to persons eligible to have their arrest or criminal history record information ordered expunged, sealed or impounded. (Section 10.6(a) of the Act)
The Office shall disseminate printed materials and provide information through its website explaining the State's expungement process, circumstances under which expungement may occur, the criminal offenses that may be expunged and steps necessary to complete the expungement process. The Office shall also maintain a toll free telephone number that may be used to receive information or assistance concerning the expungement or sealing of arrest or criminal history record information and shall develop an expungement information packet. (Section 10.6(b) and (c) of the Act)

2 Ill. Adm. Code 500.310 Availability of Expungement Forms

As part of its expungement information program, the Office will make expungement request forms and model enforcement orders available to the public. Different forms are used inside and outside of Cook County.

a) Cook County

For criminal convictions that occurred in courts located in Cook County, forms and procedures are available from:

the Office's Expungement Unit in Chicago at:

A) telephone: 866/787-1776 (toll-free); or

B) email: Expungement.chicago@osad.state.il us; or

the Cook County Circuit Clerk at:

A) any of the six Cook County Municipal District Courthouses; or

B) www.cookcountyclerkofcourt.org.

b) Outside Cook County

For criminal convictions that occurred in courts other than those located in Cook County, forms are available on the Office's website at Expungement.springfield@osad.state.il.us.

2 Ill. Adm. Code 500.400 Death Penalty Litigation

The Office of the State Appellate Defender has established three units for capital litigation:

a) The Capital Trial Assistance Unit provides assistance to attorneys appointed under the Capital Crimes Litigation Act [725 ILCS 124/50] (see 725 ILCS 105/10(c)(5)).

b) The Capital Post-Conviction Unit represents capital defendants in post-conviction and collateral proceedings under Article 122 of the Code of Criminal Procedure of 1963 [725 ILCS 5/Art. 122] (post conviction hearings).

c) The Supreme Court Unit represents capital defendants on appeal.

2 Ill. Adm. Code 500.APPENDIX A Organizational Chart

2 Ill. Adm. Code 500.APPENDIX B Fee Schedule for Duplication and Certification of Records

TYPE OF DUPLICATION

FEE (PER COPY)

Paper copy from original, up to and including 50 copies of black and white, letter or legal sized copies

No charge

Paper copy from original, in excess of 50 copies of black and white, letter or legal sized copies

$.15/page

Paper copy from microfilm original

$.15/page

Microfilm diazo from original

$.50/diazo

VHS video copy of tape

Actual cost of the reproduction

Audio tape copy of tape

Actual cost of the reproduction

CD ROM disk

Actual cost of the reproduction

Photograph from negative

Actual cost of the reproduction

Blueprints/oversized prints

Actual cost of the reproduction

Paper copies in color or in a size other than letter or legal

Actual cost of the reproduction

Certification fee

$1.00/record

NOTE: Expense for delivery other than by First Class U.S. Mail must be borne by the requester.

Chapter II Lieutenant Governor

Part 526 Freedom of Information

2 Ill. Adm. Code 526.10 Purpose

a) The Office of Lieutenant Governor is established pursuant to Article V, Section 14 of the Illinois Constitution of 1970. The Constitution entitles the Lieutenant Governor to exercise certain powers in the executive branch delegated by the Governor and prescribed by law.

b) The major responsibilities designated by statute include:

Chairman of the Illinois River Coordinating Council,
Chairman of the Mississippi River Coordinating Council,
Chairman of the Green Governments Coordinating Council,
Chairman of the Interagency Military Base Support and Economic Development Committee.

c) In addition, the Lieutenant Governor, pursuant to executive orders, manages the Illinois Main Street program, the Governor's Rural Affairs Council and the Broadband Deployment Council.

History

Source: Amended at 32 Ill. Reg. 13210, effective August 1, 2008

2 Ill. Adm. Code 526.20 Functional Divisions

The Chief Administrative Office of the Lieutenant Governor's Office is located in Room 214, State House, Springfield, Illinois 62706. A block diagram of the divisions is provided in Appendix A of this Part.

History

Source: Amended at 32 Ill. Reg. 13210, effective August 1, 2008

2 Ill. Adm. Code 526.30 Offices

The Office of Lieutenant Governor maintains separate offices at the following locations:

a) Room 214, State House

Springfield IL 62706

b) Room 414, Stratton Office Bldg.

Springfield IL 62706

c) 100 W. Randolph

Suite 15-200

Chicago IL 60601

History

Source: Amended at 32 Ill. Reg. 13210, effective August 1, 2008

2 Ill. Adm. Code 526.110 Policy

The disclosure of full and complete information regarding the affairs of government is necessary to enable the public to fulfill their duties of discussing public issues fully and freely, making informed political judgments and monitoring government to ensure that it is being conducted in the public interest. A well informed public is an essential element of our constitutional form of government, which sets democracy apart from other forms of government. Recognizing the importance of keeping the public informed, this office is committed to the practice of making public records available for public inspection and copying.

History

Source: Amended at 32 Ill. Reg. 13210, effective August 1, 2008

2 Ill. Adm. Code 526.120 Requests for Public Records

a) How made and addressed. All requests to inspect and copy or to receive copies of public records shall be in writing. All requests shall be mailed or otherwise delivered to the person and location specified below:

Public Information Officer

Office of the Lieutenant Governor

100 W. Randolph, Suite 15-200

Chicago IL 60601

b) Description of records sought. A request for access to a record should reasonably describe that record by reference to the subject matter and approximate date of issuance, if known.

c) Additional information may be requested. If the information supplied by the requester is not sufficient to permit location of the records by office personnel with a reasonable amount of effort, the requester may be asked to supply additional necessary information that will enable the office to locate the document. If necessary, the office shall extend to the requester an opportunity to confer with office personnel in order to attempt to reformulate the request in a manner that will meet the needs of the requester and the requirements of the office. The original request will be considered to have been withdrawn. The request will be considered officially to have been filed when the reformulated request is filed.

History

Source: Amended at 32 Ill. Reg. 13210, effective August 1, 2008

2 Ill. Adm. Code 526.130 Processing Requests

a) Referral to appropriate employee. The Public Information Officer shall make and retain a copy of each request and forward it to the person or persons within the Office of the Lieutenant Governor having primary responsibility for the record requested. Within 7 working days after receipt of an identifiable request, the office shall determine whether to comply with or deny the request and shall so notify the requester.

b) Extension of time. In unusual circumstances as specified in Section 3(d) of the Freedom of Information Act (the Act), the Office of the Lieutenant Governor may extend the time for initial determination on requests up to a total of 7 additional working days. A written notice to the requester that sets forth the reason for the extension and the approximate date that either compliance or denial can be expected will be sent by the Public Information Officer within the original 7 working day period.

c) Delay treated as a denial. If no determination has been made at the end of the 7 working day period, or at the end of the 14th working day in the event that an extension of time under Section 3(d) of the Act is utilized, the requester may deem the request denied.

History

Source: Amended at 32 Ill. Reg. 13210, effective August 1, 2008

2 Ill. Adm. Code 526.140 Response to Request

a) Granted request. The Public Information Officer shall notify the requester in writing as to where and when the record may be inspected and copied, if desired, and of any applicable fees.

Public records that are the subjects of an approved request may be inspected at the following locations and times unless otherwise notified:

Location

Times

100 W. Randolph

Suite 15-200

Chicago IL 60601

9:00 a.m. 5:00 p.m.

Mondays thru Fridays except State Holidays

Persons whose request for inspection of public records has been approved may copy any portion of the requested records. However, records shall not be removed by the person from the premises where they are being inspected. Further, this office may but is not required to provide copying equipment for use by any person inspecting public records.
Persons may request copies of public records that will be provided by this office upon payment of copying fees as established under these rules. Certified copies of records may be requested for an additional fee as established by Section 526.160.
Any copies of public records provided by this office may be picked up at the locations and times specified in subsection (a)(1) unless otherwise notified.

b) Delayed request. When the Office of the Lieutenant Governor determines that unusual circumstances exist that call for an extension of time pursuant to Section 3(d) of the Act, the Public Information Officer shall, within the 7 day period, notify the requester in writing about the delay, the reason for the delay and the approximate date that either compliance or denial can be expected.

c) Denied request. The Public Information Officer shall notify the requester in writing, in the manner provided in Section 9(a) and (b) of the Act, when a record may not be inspected or copied.

d) Record cannot be located. If a requested record cannot be located from the information supplied or is known to have been destroyed or otherwise disposed of or does not exist, the requester shall be so notified by the Public Information Officer. (See Section 526.120(c).)

History

Source: Amended at 32 Ill. Reg. 13210, effective August 1, 2008

2 Ill. Adm. Code 526.150 Review of Denial

a) Appeal to Lieutenant Governor. A person whose request for information is denied may appeal that decision by mailing or otherwise delivering a notice of appeal to the Lieutenant Governor at the following location:

Lieutenant Governor

214 State House

Springfield IL 62706

b) Appeal in writing. An appeal to the Lieutenant Governor shall be in writing and shall include a statement of the circumstances, reasons or arguments advanced in support of disclosure, and a copy of any written denial issued. The envelope and appeal letter should be clearly marked "Freedom of Information Appeal". The appeal must be filed within a reasonable period of time.

c) Written determination. A written determination with respect to the appeal shall be made within 7 working days after receipt of the appeal. If the records, or any segregable part of the records, are found to be improperly withheld, the Lieutenant Governor shall order the appropriate person to make them available.

d) Denial of appeal. A denial of an appeal in whole or in part shall be sent to the requester in writing, in a manner provided in Section 10(a) of the Act. The denial shall inform the requester of the right of judicial review.

e) Delay in determination. If no determination has been made at the end of 7 working days, the requester may deem his/her appeal denied, and exercise his/her right to judicial review of the denial.

History

Source: Amended at 32 Ill. Reg. 13210, effective August 1, 2008

2 Ill. Adm. Code 526.160 Fee Schedule for Copies of Records

a) When charged. The Office of the Lieutenant Governor shall charge fees according to the schedule provided in this Section to reimburse its actual cost for reproducing and certifying public records and for the use, by any person, of the equipment of the Lieutenant Governor's Office to copy records. Fees shall not be charged, however, if the Lieutenant Governor determines that waiver or reduction of the fee is in the public interest because furnishing information can be considered as primarily benefiting the general public. The Lieutenant Governor's determination shall ordinarily not be made unless the service to be performed will be of benefit primarily to the public as opposed to the requester, or unless the requester is an indigent individual.

b) Copies. For copies of documents (maximum of two copies will be supplied), $1 per copy page. For electronic copies of any audio or video recordings, $5 per CD or DVD.

c) Certification. For certification of true copies, each, $1.00.

d) Notice of anticipated fees in excess of $25. When it is anticipated that fees chargeable under this Section will amount to more than $25, and the requester has not indicated in advance his/her willingness to pay fees as high as are anticipated, the requester shall be notified of the amount of the anticipated fee or the portion of the fee that can readily be estimated. In such cases, a request will not be deemed to have been received until the requester is notified of the anticipated cost and agrees to bear it. The notification shall offer the requester the opportunity to confer with office personnel with the object of reformulating the request so as to meet his/her needs at lower cost.

e) Form of payment. Payment shall be made by check or money order payable to the State of Illinois.

f) Advance deposit. When the anticipated fee chargeable under this Section exceeds $25, an advance deposit of 25% of the anticipated fee or $25, whichever is greater, may be required before the material will be reproduced. When a requester previously failed to pay a fee under this Section, an advance deposit of the full amount of the anticipated fee may be required.

History

Source: Amended at 32 Ill. Reg. 13210, effective August 1, 2008

2 Ill. Adm. Code 526.170 Governing Provisions

This Part is subject to the provisions of the Freedom of Information Act and all other applicable laws of the State of Illinois.

History

Source: Amended at 32 Ill. Reg. 13210, effective August 1, 2008

2 Ill. Adm. Code 526.APPENDIX A Organizational Chart

OFFICE OF THE LIEUTENANT GOVERNOR

Organizational Chart

Lt. Governor

Communications

Community Outreach

Operations

Intergovernmental Affairs

Environment

Military Family

Rural Affairs

History

Source: Amended at 32 Ill. Reg. 13210, effective August 1, 2008

2 Ill. Adm. Code 526.APPENDIX B Senior Action Center Organizational Chart (repealed)

History

Source: Repealed at 32 Ill. Reg. 13210, effective August 1, 2008

Chapter III Secretary of State

Part 550 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 550.10 Public Information

a) All requests for information from the public should be addressed to the Director of the Department that maintains that record.

b) The general fee structure is set forth in Section 5.5 of the Secretary of State Act [15 ILCS 305/5.5], unless otherwise set by a specific statute. Section 2-123 of the Illinois Vehicle Title and Registration Law of the Illinois Vehicle Code [625 ILCS 5/2-123] sets fees for drivers abstracts, abstracts of vehicle title and registration searches, microfiche record of all vehicle registration and other drivers license and motor vehicle information. The annual list of Illinois Corporations and the daily list are available from the Department of Business Services. See Section 1.25 of the Business Corporation Act of 1983 [805 ILCS 5/1.25]. The monthly list of financing statements is available from the Department of Business Services (UCC Division, Section 5.10 − List of filed financing statements [15 ILCS 305/5.10]).

c) Comments to the Office

Members of the public who desire to make any submission, comment, request, or objection regarding any program, policy, or activity of the Office of the Secretary of State may do so in writing addressed to the Director of the Department administering that program or policy.
Verbal comments may be submitted by calling 1-800-252-8980, the general information line for the Office of the Secretary of State.

d) The rules of the Secretary of State are found at:

DEPARTMENT

CITATION OF RULE

Accounting Revenue

92 Ill. Adm. Code 1003

Administrative Hearings

92 Ill. Adm. Code 1001

2 Ill. Adm. Code 550.110 Rulemaking Procedures

a) All rules, amendments, and repealers shall be initiated by the department which administers the applicable statute. Any public request to initiate rulemaking or amendments to existing rules shall also be directed to the Director of the appropriate Department which administers the statute applicable. A request should state specifically which rulemaking is needed and why.

b) Proposed rulemaking of any type shall be prepared by the appropriate Department according to the Rulemaking Procedures for Codification (1 Ill. Adm. Code 100). They shall then be coordinated with the General Counsel to the Secretary before submission to the Administrative Code Unit of the Illinois State Library. The General Counsel shall coordinate all rulemaking for the Office of the Secretary of State with the Joint Committee on Administrative Rules.

c) Public hearings may be conducted on proposed rulemaking in accordance with the Illinois Administrative Procedure Act (5 ILCS 100/1-1 et seq.). If requested by an individual or organization, or at the direction of a Department Director, such hearings will be conducted in Chicago and Springfield by the appropriate Director, and a transcript of the proceedings shall be made by a court reporter or electronic device. The hearing date, time, and location shall be publicized by the Director at least 24 hours before each hearing, and by a means reasonably calculated to broadly disseminate the conducting of these hearings. All public comments shall be considered by the Director during the first notice period, as required by the Illinois Administrative Procedure Act.

d) All rulemaking shall be done in accordance with the Illinois Administrative Procedure Act and the Rulemaking Procedures for Codification (1 Ill. Adm. Code 100). Please refer to Table B.

2 Ill. Adm. Code 550.210 Description of Officers and Departments

a) The Deputy Secretary of State is responsible for the daily operations of the Office of the Secretary of State, which includes the management of all employees and the oversight of all programs and policies.

b) The Chief of Staff is responsible for providing oversight and program policy direction to all cabinet members and executive staff, and advises the Secretary of State, in concert with other specified officials.

c) The General Counsel to the Secretary advises the Secretary, Deputy Secretary, Chief of Staff, and other management officials on legal questions of broad applicability, supervises all litigation involving the Secretary of State, coordinates that litigation with the Attorney General's Office and U.S. Attorney's Office, and provides oversight of related departments within the Office of the Secretary of State.

d) The Inspector General Department:

investigates all allegations of wrongdoing involving personnel of the Office of the Secretary of State and presents reports on its findings to the Secretary, Deputy Secretary, Chief of Staff, and appropriate Directors for possible disciplinary action;
conducts fiscal, efficiency, and compliance reviews of Secretary of State operations for issuance of special reports; and
investigates alleged violations of the Lobbyist Registration Act [25 ILCS 170].

e) The Chief Auditor is responsible for all investigatory and compliance audits and reports findings of these audits to the Secretary.

f) The Press Secretary is responsible for handling inquiries from the press, preparing press releases, and the printing of all office publications.

g) The Deputy Chief of Staff is responsible for the development and implementation of plans and programs that affect several departments, as determined by the Secretary, Deputy Secretary, or Chief of Staff.

h) The Executive Assistant for Programs and Policy assists the Deputy Chief of Staff with the formulation of new and continuing programs from their inception and is responsible for development of those programs by the Program Staff.

i) The Program Staff assists the Executive Assistant for Programs and Policies with the development of ideas and implementation of goals as determined by the Secretary, Deputy Secretary, or Deputy Chief of Staff.

j) The Budget and Fiscal Management Department prepares the annual budget, monitors expenditures of all funds appropriated to the Secretary of State, and prepares the payroll for the Office of the Secretary of State.

k) The Department of Information Technology directs, manages, and supervises data processing operations for the Secretary of State.

l) The Accounting Revenue Department collects all funds received by the Office of the Secretary of State for deposit with the State Treasurer, directs the financial institutions' sales program for vehicle registrations, and performs audits pursuant to the Illinois Vehicle Code.

m) The Physical Services Department is responsible for the physical maintenance of the Michael J. Howlett Building, the Capitol Building, the Stratton Building, and the surrounding grounds, and has responsibility for other government buildings, as provided by law.

n) The Personnel Department processes all applications for employment with the Office of the Secretary of State, administers all tests for employment, and approves all personnel actions taken pursuant to the Secretary of State Merit Employment Code [15 ILCS 310].

o) The Communications Department is responsible for answering all media inquiries concerning the Office of the Secretary of State and preparation and coordination of all public displays and publications relating to the Office of the Secretary of State.

p) The Department of Police's officers have general police powers. The Department's special emphasis is in enforcement of the Illinois Vehicle Code, including investigation of auto theft and regulation of the trucking industry.

q) The Index Department is the custodian of the State Seal, receives all bills signed into law by the Governor, maintains the Illinois Administrative Code, maintains all notary public commissions and ethics statements, maintains lobbyist registrations and expenditure reports, and prepares all Constitutional Amendments for the ballot.

r) The Archives Department maintains all State records and documents required to be kept by law.

s) The Illinois State Library is the central research library for Illinois government.

t) The Driver Services Department issues, revokes, or suspends all Illinois driver's licenses and issues photo identification cards.

u) The Vehicle Services Department issues all license plates, vehicle registration renewals, vehicle titles, and licenses remittance agents, automobile dealers and auto recyclers.

v) The Legislative Affairs Department coordinates the legislative program of the Secretary of State.

w) The Administrative Hearings Department conducts all hearings pursuant to the Illinois Vehicle Code [625 ILCS 5/2-118].

x) The Business Services Department administers the Business Corporation Act of 1983 [805 ILCS 5], Article 9 of the Uniform Commercial Code (Secured Transaction) [810 ILCS 5], such other corporate statutes as designated by the General Assembly, and the Revised Uniform Limited Partnership Act [805 ILCS 210].

y) The Securities Department administers the Illinois Securities Law of 1953 [815 ILCS 5].

z) The Court of Claims Department exercises the duties of the Secretary of State as Clerk of the Court of Claims.

aa) The Director for Intergovernmental Affairs coordinates the interaction between the Secretary of State's Office and units of local, state, and federal government. The Director for Intergovernmental Affairs also coordinates the constituent service and program implementation work of the Office of the Secretary of State.

bb) Senior Executive Assistants coordinate efforts between assigned departments and the Executive Office and assist with operations and development of policies and programs with respect to their assigned departments.

History

Source: Amended at 47 Ill. Reg. 1494, effective January 13, 2023

2 Ill. Adm. Code 550.TABLE A Organization Chart

History

Source: Amended at 32 Ill. Reg. 15282, effective November 5, 2007

Chapter III Secretary of State

Part 550 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 550.TABLE B Rulemaking Chart

History

Source: Amended at 12 Ill. Reg. 7726, effective April 15, 1988

Part 551 Freedom of Information

2 Ill. Adm. Code 551.10 Summary and Purpose

a) These rules are established to implement the provisions of the Freedom of Information Act (P.A. 83-1013, effective July 1, 1984, Supplement to Ill. Rev. Stat. 1983, ch. 116, par. 201 et seq.). The purpose of these rules is to support the policy of providing public access to the public records in the possession of the Office of the Secretary of State, while at the same time, protecting legitimate privacy interests and maintaining administrative efficiency.

2 Ill. Adm. Code 551.20 Definitions

Terms used in these rules shall have the same meaning as in the Freedom of Information Act:

"Department" means a subdivision of the Office of the Secretary of State, identified at 2 Ill. Adm. Code 550.

"Director" means the Director of each Department, appointed by the Secretary of State.

"FOIA" means the Freedom of Information Act.

"Freedom of Information Officer" means an individual responsible for receiving and responding to requests for public records designated in each Department.

"Requestor" means a person who submits a request for public records in accordance with these rules.

2 Ill. Adm. Code 551.30 Principal Office

For the purposes of the Illinois Freedom of Information Act, the principal office of the Office of the Secretary of State, its departments, committees, and subdivisions, shall be the City of Springfield, County of Sangamon.

2 Ill. Adm. Code 551.40 Availability of Records

a) Records of the Secretary of State's Office, its departments, committees, and subdivisions, unless otherwise exempt pursuant to statute, shall be available for inspection in the City of Springfield between the hours of 8:30 a.m. and 4:30 p.m., Monday through Friday, except during official State holidays.

b) Records will be inspected in the Reference Reading Room of the State Library, 300 South Second Street, second floor, City of Springfield, or at the State of Illinois Center, 100 West Randolph Street, fifth floor, City of Chicago, unless the Secretary of State or a Department Director who has custody of the required record determines that the bulk, daily government use, size, nature, or computerization of a record requires the requestor to inspect the record within the Department maintaining the record.

History

Source: Amended at 14 Ill. Reg. 13852, effective August 15, 1990

2 Ill. Adm. Code 551.110 Inspection of Records at Department Offices

a) Documents which the requestor wishes to have copied shall be segregated during the course of the inspection. Generally, all copying shall be done by Department employees.

b) An employee of the Department may be present throughout the inspection. A requestor may be prohibited from bringing bags, brief cases or other containers into the inspection room.

2 Ill. Adm. Code 551.120 Notice of Denial

Notices of Denial shall be maintained in the General Counsel's Office in the Centennial Building, Springfield, Illinois.

2 Ill. Adm. Code 551.130 Requests

a) All requests shall be in writing addressed to the Freedom of Information Officer or Director of the Department maintaining the record. The list of Departments and addresses for the Departments is located at 2 Ill. Adm. Code 550.10(c) and 550.210.

All requests shall be on the approved request form, which shall be available in all offices of the Secretary of State's Departments, or in a letter containing the same or similar elements.

A) The requestor's full name, address, and phone number.

B) A brief description of the public records sought, being as specific as possible.

C) Whether the request is for inspection of public records, copies of public records, or both.

The approved form is attached as Appendix A to these rules.

c) Oral requests will be handled expeditiously. However, the required response times and the appeal procedures contained in the FOIA and these rules do not apply to oral requests.

d) Timelines for responses to requests for records, and appeals to the Secretary of State are found in Section 3 of the FOIA.

2 Ill. Adm. Code 551.140 Appeal Procedure to Secretary of State

a) Any person requesting a record who has been denied access by a Department Director or Freedom of Information Officer may appeal such denial to the Secretary of State, pursuant to Section 10 of the FOIA.

b) The appeal request must be in writing and addressed to the Deputy Secretary of State, Room 213, Capitol Building, Springfield, Illinois. It shall contain a copy of the original request, a copy of the denial received by the requestor, and a statement of the reasons why the appeal should be granted.

History

Source: Amended at 12 Ill. Reg. 19515, effective November 7, 1988

2 Ill. Adm. Code 551.150 Fees

a) The fee for copying any record shall be 50 per page of material 8 1/2" x 11" in size, $1.00 per page of material larger than 8 1/2" x 11" in size, and certification shall be $2.00 per document unless a specific statute provides otherwise.

b) The cost of any transcript of any administrative hearing shall be at the lowest per page cost of a transcript paid in the city in which the hearing was conducted if transcribed by the Office of the Secretary of State. If transcribed by a commercial court reporter, the actual cost to the Secretary of State shall be charged to the requestor.

c) Requests for a waiver or reduction of any fee pursuant to Section 6 of FOIA shall be directed to the Director or Freedom of Information Officer of the Department maintaining the record.

d) Copies of public records shall be provided to the requestor only upon payment of the charges which are due.

2 Ill. Adm. Code 551.APPENDIX A Freedom of Information Request Form

Requestor's Name

Date

Address

Telephone Number

City

Zip Code

Secretary of State Employee Name, Title & Department to Receive FOI Request:

Department

Name

Title

RECORDS SOUGHT (Be Specific):

Requestor's Signature

The department will respond to a request for public records within seven (7) working days after its receipt. If your request is denied, you may file an appeal. Appeals should be addressed to the Assistant Secretary of State, 208 Capitol, Springfield, Illinois 62756.

(FOR DEPARTMENT USE ONLY)

Response:

Department ______________________

Records Made Available Date _______________

Copies Made Yes No

Request denied and why? ______________________

How many? ______________________

Fee ____________________________

Other (Attach Correspondence):

Department Comments (Use Reverse)

Date Request Received

Part 552 Departmental Duties

2 Ill. Adm. Code 552.10 Service of Process Upon the Secretary of State

The following procedure for substitute service of process upon the Secretary of State shall apply for the specific statute cited. The specific department of the Office of the Secretary of State stated in this Section shall receive the service of process and retain the records of the service in accordance with the applicable statutes and rules. Nothing in this Section or Section 552.20 shall affect in any way any substantive or procedural rights granted by the statutes referred to in this Section. Any service of process sent to the incorrect department within the Office of the Secretary of State shall be sent by that department's staff to the correct department as designated by this Section and Section 552.20. These Sections are intended only to allocate the responsibilities for the receipt and storage of service of process within the Office of the Secretary of State.

a) In cases involving the sale of securities, service of process upon the Secretary of State under Section 10 of the Illinois Securities Law of 1953 [815 ILCS 5] shall be made in accordance with 14 Ill. Adm. Code 130.120 and delivered to the Office of the General Counsel, 115 S. LaSalle Street, Suite 300, Chicago, Illinois 60603.

b) In cases involving corporations under the Business Corporation Act of 1983 [805 ILCS 5], the General Not For Profit Corporation Act of 1986 [805 ILCS 105], the Limited Liability Company Act [805 ILCS 180], the Uniform Partnership Act (1997) [805 ILCS 206], the Uniform Limited Partnership Act (2001) [805 ILCS 215], or Section 4-3 of the Corporate Fiduciary Act [205 ILCS 620], service of process upon the Secretary of State shall be made in accordance with 14 Ill. Adm. Code 150, Subpart E, 14 Ill. Adm. Code 160.17, 14 Ill. Adm. Code 178.50, 14 Ill. Adm. Code 166.70, and 14 Ill. Adm. Code 171.70 and delivered to the Business Services Department, Room 350, Howlett Building, Springfield, Illinois 62756.

c) In cases involving a motor vehicle collision involving a non-resident, service of process upon the Secretary of State under Section 10-301 of the Illinois Vehicle Code [625 ILCS 5] shall be delivered to the Office of the General Counsel, Room 298, Howlett Building, Springfield, Illinois 62756 or to the Office of the General Counsel, 115 S. LaSalle Street, Suite 300, Chicago, Illinois 60603. Per Section 10-301 of the Illinois Vehicle Code, an affidavit of compliance is required for service of process on the non-resident motorist. Further, verification of a person's non-residency in this State shall be required, in support of the affidavit of compliance, attesting to and providing the out-of-state address or the manner in which non-residency was determined.

d) In cases in which service of process upon the Secretary of State is permitted under one of the following statutes, and in all other cases to which subsection (a), (b) or (c) do not apply, service shall be made upon the Office of the General Counsel, Room 298, Howlett Building, Springfield, Illinois 62756 or the Office of the General Counsel, 115 S. LaSalle Street, Suite 300, Chicago, Illinois 60603:

820 ILCS 405/2208 (Unemployment Insurance Act)

215 ILCS 5/121-6 and 121-7 (Illinois Insurance Code)

735 ILCS 5/2-209 (Civil Practice Law) (Products Liability − $5.00 filing fee)

735 ILCS 5/2-210 (Civil Practice Law) (Aircraft and Ship Owners and Operators − $2.00 filing fee)

35 ILCS 5/1404 (Illinois Income Tax Act)

35 ILCS 105/12a (Use Tax Act)

35 ILCS 110/13 (Service Use Tax Act)

35 ILCS 115/13 (Service Occupation Tax Act)

35 ILCS 120/5i (Retailers' Occupation Tax Act)

765 ILCS 1036/15 (Trademark Registration and Protection Act)

e) In cases involving the Secretary of State as a party, such as any administrative review actions contesting a rule or procedure of any Secretary of State department, any civil rights actions and personnel action, service of process shall be made upon the Office of the General Counsel, Room 298, Howlett Building, Springfield, Illinois 62756 or the Office of the General Counsel, 115 S. LaSalle Street, Suite 300, Chicago, Illinois 60603.

f) The Secretary of State is not the default agent for service of process in the State of Illinois. The Secretary of State has the authority to accept service of process only in those specifically mandated areas of the law stated in subsections (a) through (d) and as determined by the Illinois General Assembly. Any court order issued authorizing service of process upon the Secretary of State pursuant to Section 2-203.1 of the Code of Civil Procedure will be rejected unless the Secretary of State has the specific statutory authority to accept that service of process. Attempts to serve the Secretary of State under Section 2-203.1 will be denied and service rejected.

History

Source: Amended at 49 Ill. Reg. 5490, effective April 7, 2025

2 Ill. Adm. Code 552.20 Filing of Miscellaneous Documents with the Secretary of State

Record of appointments, oaths of office, certificates of compliance, and other documents required or permitted by the Illinois Constitution, statutes or rules, to be filed with the Secretary of State (not to include service of process, covered in Section 552.10 of this title) shall be filed with the Index Department, 111 East Monroe Street, Springfield, Illinois 62756.

2 Ill. Adm. Code 552.30 Initiating, Conducting and Completing Investigations and Lobbyist Sexual Harassment Reviews

a) The Office of Inspector General (OIG) will conduct all investigations in a professional and thorough manner. Investigations shall be properly documented and shall be submitted in written reports of findings. Proper documentation of an investigation shall include, at a minimum, a description of the alleged misconduct or offense; the events and circumstances surrounding the allegation, including the results of interviews, review of documents and records, and other material information revealed during the investigation; and, as applicable, a recommendation concerning the merits of the allegation.

b) The OIG shall utilize methods for investigative interviews consistent with current police practices and techniques and shall observe and comply with all laws and agreements related to the questioning of employees or other individuals.

c) For the purposes of this Section, the following provisions shall apply when the OIG initiates investigations:

The OIG shall maintain an intake procedure, under the supervision of the Deputy Inspector General, for processing all complaints. Complaints may be received by telephone, letter, fax, e-mail or in person. Anonymous complaints shall be accepted. When a complaint is received, it shall be documented on a complaint form and assigned a complaint reference number.
The Deputy Inspector General shall review each complaint to determine whether a case should be initiated and assigned to an Inspector. When necessary for this initial decision, an Inspector may be assigned to gather additional, preliminary information concerning the validity of the complaint and/or the credibility of the complainant. When the Deputy Inspector General initiates a case, the complaint shall receive a case number and be assigned to an Inspector.
To initiate an investigation, a complaint must, at a minimum, include facts demonstrating OIG jurisdiction and:

A) a reasonable belief that employee misconduct may have occurred involving a violation of a law, rule or regulation; mismanagement; abuse of authority; or a substantial and specific danger to the public health and safety; or

B) credible evidence of a violation of the Lobbyist Registration Act [25 ILCS 170].

d) For the purposes of this Section, the following provisions shall apply when the OIG conducts investigations:

The Deputy Inspector General, or his/her designee, shall be responsible for the supervision of all investigative activities and shall ensure that Inspectors:

A) Properly document all investigative activities, which shall include, at a minimum, completion of a complaint form, investigative report and investigative summary;

B) Properly secure all physical evidence, including completion of an inventory of evidence form and securing the evidence in an evidence vault or other secure location;

C) Complete all reports; and

D) Submit case summaries to management that are accurate and complete.

Investigative activities may include, but are not limited to: interviews; requests for information, documents or other materials; taking custody of physical evidence; surveillance; and inspection of physical premises. The methods of investigation utilized in each case shall be those most likely to establish the relevant facts of the case.

e) For the purposes of this Section, the following provisions shall apply when the OIG completes investigations:

All cases shall be characterized as Active, Pending or Closed.
A case is Active when the matter requires current or continued investigation.
A case is Pending when the investigation is completed and awaiting prosecution or civil or administrative action. A case may be classified as Pending/Inactive if no investigative activity is anticipated for a period of 30 days or longer.
A case is Closed when investigative action ceases due to unfounded allegations, an administrative closing of the case, the completion of adjudication of all subjects, or the referral of the case to another agency for investigation in which the OIG shall not actively participate.
A Case Summary Report shall be completed at the conclusion of each investigation.

A) Case Summary Reports shall be submitted to the Deputy Inspector General for approval.

B) The approved Case Summary Reports then shall be submitted to the Inspector General for final approval.

C) Case Summary Reports approved by the Inspector General shall be forwarded to the appropriate Director for informational purposes or for the initiation of disciplinary action. Copies of the Summaries also shall be forwarded to the Director of Personnel.

D) In the case of a violation of the Lobbyist Registration Act [25 ILCS 170], the Inspector General may submit the investigation to the appropriate State's Attorney or to the Attorney General as provided by law.

f) The following provisions shall apply to interactions between the OIG and other law enforcement agencies:

When it appears that a case may warrant criminal investigation, the appropriate federal, state or local law enforcement agency shall be contacted for possible joint investigation at the earliest practicable time. When warranted by an investigation, a case shall be presented to the appropriate local or federal prosecutor for a prosecutorial decision.
When necessary for the completion of an OIG investigation, the OIG may request information or assistance from appropriate local, state or federal law enforcement agencies.
Upon receipt of a request from a local, state or federal law enforcement agency for assistance or information, the OIG shall make reasonable efforts to comply.

g) Reviews of Allegations that an Individual Required to be Registered Under the Lobbyist Registration Act Has Engaged in One or More Acts of Sexual Harassment

For the purposes of this subsection (g), "sexual harassment" means any unwelcome sexual advances or requests for sexual favors or any conduct of a sexual nature when:

A) submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment;

B) submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual; or

C) such conduct has the purpose or effect of substantially interfering with an individual's work performance or creating an intimidating, hostile, or offensive working environment. For the purposes of this definition, the phrase "working environment" is not limited to a physical location where an employee is assigned to perform his or her duties and does not require an employment relationship. [5 ILCS 430/5-65(b)]

The OIG shall maintain an intake procedure, under the supervision of the Deputy Inspector General, for processing all complaints. Complaints may be received by telephone, letter, fax, e-mail or in person. Anonymous complaints shall be accepted. When a complaint is received, it shall be documented on a complaint form and assigned a complaint reference number.
The Deputy Inspector General shall evaluate each complaint to determine whether a review should be conducted and the matter shall be assigned to an Inspector.

A) When necessary for this initial decision, an Inspector may be assigned to gather additional preliminary information concerning the validity of the complaint or demonstrating OIG jurisdiction.

B) When the Deputy Inspector General initiates a review, the complaint shall receive a case number and be assigned to an Inspector.

C) To initiate a review of a complaint alleging sexual harassment by an individual required to register under the Lobbyist Registration Act, there must be a logical nexus between:

i) that individual's status as someone who is required to register under the Lobbyist Registration Act; and

ii) the alleged act of harassment.

When conducting a review:

A) The Deputy Inspector General, or his or her designee, shall be responsible for the supervision of all reviewing activities and shall ensure that Inspectors:

i) Properly document all reviewing activities;

ii) Properly secure all physical evidence; and

iii) Complete a Summary Review.

B) Reviewing activities may include, but are not limited to: interviews; requests for information, documents or other materials; taking custody of physical evidence; surveillance; and inspection of physical premises. The methods utilized in each review shall be those most likely to establish the relevant facts of the case.

The following provisions apply when the OIG completes a review of alleged sexual harassment by an individual required to be registered under the Lobbyist Registration Act:

A) A Summary Review shall be completed at the conclusion of each review. The name of the complainant shall be redacted from the Summary Review and shall include whether reasonable cause exists to believe that a violation regarding an act of sexual harassment has occurred.

B) Summary Reviews shall be submitted to the Deputy Inspector General for approval.

C) The approved Summary Reviews then shall be submitted to the Inspector General for final approval. Upon final approval, all Summary Reviews shall be submitted to the Illinois Attorney General and the Executive Ethics Commission. The complainant shall be informed of this submission.

History

Source: Amended at 47 Ill. Reg. 1501, effective January 13, 2023

Part 553 Hearing Officer Qualifications

2 Ill. Adm. Code 553.10 Applicability

This Part shall set forth the minimum qualifications of formal, informal, and safety responsibility (SR) hearing officers for the Department of Administrative Hearings.

2 Ill. Adm. Code 553.20 Definitions

"Chairperson" means the chairperson of the Illinois Medical Advisory Board.

"Department" means the Department of Administrative Hearings, Office of the Secretary of State.

"Formal Hearing Officer" means any person designated by the Secretary to preside at any formal hearing under Subpart A of 92 Ill. Adm. Code, Part 1001, other than a safety responsibility hearing, or any formal medical hearing under Subpart E of 92 Ill. Adm. Code, Part 1001, or any physician who is a member of the Illinois Medical Advisory Board who is selected by the chairperson to serve on the hearing committee for a formal medical hearing held under Subpart E of 92 Ill. Adm. Code, Part 1001.

"Hearing committee" means the formal hearing officer and the three members of the board who conduct a formal medical hearing as set forth in 92 Ill. Adm. Code 1001.530.

"Illinois Medical Advisory Board (Board)" means a panel consisting of at least 9 physicians appointed by the Secretary pursuant to Section 6-902 of the Driver License Medical Review Law of 1992 (Ill. Rev. Stat. 1991, ch. 95 1/2, par. 6-902) [625 ILCS 5/6-902].

"Informal Hearing Officer" means any person designated by the Secretary to preside at any informal hearing under Subpart C of 92 Ill. Adm. Code, Part 1001.

"Secretary" means the Illinois Secretary of State or his/her designee.

"SR Hearing Officer" means any person designated by the Secretary to preside at any safety responsibility (SR) hearing under Subpart B of 92 Ill. Adm. Code, Part 1001.

2 Ill. Adm. Code 553.30 Formal Hearing Officer Qualifications

a) Every hearing officer presiding over formal hearings must meet the following educational and/or experience requirements:

The completion of four (4) years of college, preferably with courses in pre-law, psychology, communications, counseling or legal studies, at an accredited institution resulting in graduation and the receipt of a diploma; or
The completion of three (3) years of paraprofessional or technical experience in dealing with laws, rules and regulations pertaining to driving privileges.

b) Every hearing officer presiding over formal hearings must possess the following knowledge, skills and abilities:

extensive knowledge of the English language, including composition and grammar;
working knowledge of the Illinois Vehicle Code and the administrative rules and regulations promulgated by the Department as they relate to the issuance and loss of driving privileges, and where applicable, vehicle title and registration statutes and regulations;
working knowledge of standard office practices and procedures;
working knowledge of oral and written communications and their application to technical and legal subject matter;
working knowledge and understanding of administrative hearings and procedures;
working knowledge of the effects of alcohol and other drugs on an individual's ability to operate a motor vehicle;
working knowledge of substance abuse problems, including alcoholism and other drug dependency, as well as the generally recognized approaches that are utilized to address such problems;
ability to deal tactfully with the general public, attorneys, and service providers;
ability to prepare organized and concise written material utilizing technical and legal terminology;
ability to analyze and interpret laws, rules and policies and logically apply them to cases under review;
ability to conduct formal hearings and obtain and analyze necessary evidence;
an elementary knowledge of the law of evidence;
possession of a valid Illinois driver's license.

c) Every member of the board who serves on the hearing committee at a formal medical hearing must be licensed to practice medicine in all its branches in the State of Illinois.

2 Ill. Adm. Code 553.40 Informal Hearing Officer Qualifications

a) Every hearing officer presiding over informal hearings must meet the following educational and/or experience requirements.

Possess the knowledge, skill and mental development equivalent to the completion of two (2) years of college, preferably with courses in public administration, business administration, communications, counseling; or
The completion of two (2) years of paraprofessional or technical experience in dealing with laws, rules and regulations pertaining to driving privileges.

b) Every hearing officer presiding over informal hearings must possess the following knowledge, skills and abilities:

working knowledge of the English language, including composition and grammar;
working knowledge of the Illinois Vehicle Code and the administrative rules and regulations promulgated by the Department as they relate to the issuance and withdrawal of driving privileges;
working knowledge of standard office practices and procedures;
working knowledge of the effects of alcohol and other drugs on an individual's ability to operate a motor vehicle;
working knowledge of substance abuse problems, including alcoholism and other drug dependency, as well as the generally recognized approaches that are utilized to address such problems;
ability to effectively communicate technical information both orally and in writing;
ability to deal tactfully with the general public, attorneys, and service providers;
ability to prepare concise and factual reports on informal hearing findings;
ability to conduct informal hearings and obtain and analyze necessary information;
possession of a valid Illinois driver's license.

2 Ill. Adm. Code 553.50 Sr Hearing Officer Qualifications

a) Every hearing officer presiding over SR hearings must meet the following educational and/or experience requirements:

Possess the knowledge, skill and mental development equivalent to the completion of three (3) years of college, preferably with courses in public administration, business administration, communications, counseling; or
The completion of two (2) years of paraprofessional or technical experience in dealing with safety and financial responsibility laws, rules and regulations.

b) Every hearing officer presiding over SR hearing must possess the following knowledge, skills and abilities:

working knowledge of the English language, including composition and grammar;
working knowledge of the Illinois Vehicle Code and the administrative rules and regulations promulgated by the Department as they relate to the safety and financial responsibility law;
working knowledge of standard office practices and procedures;
ability to deal tactfully with the general public, attorneys or other petitioner representatives;
ability to prepare concise and factual reports or orders on hearings or case review findings;
ability to conduct a formal hearing and obtain and analyze necessary evidence;
an elementary knowledge of the law of evidence;
ability to effectively communicate both orally and in writing;
possession of a valid Illinois driver's license.

2 Ill. Adm. Code 553.60 Disqualification of Hearing Officers

a) formal hearing officers: handled in accordance with the provisions found at 92 Ill. Adm. Code 1001.100(b).

b) sr hearing officers: handled in accordance with the provisions found at 92 Ill. Adm. Code 1001.220(f).

c) informal hearing officers: not subject to disqualification as informal hearings are not contested cases which result in a final, appealable order.

Part 555 Merit Commission Public Information, Rulemaking and Organization

2 Ill. Adm. Code 555.10 Public Information

a) The public can obtain information on programs and activities of the Merit Commission or request to inspect and/or copy documents by writing, phoning, or visiting the Merit Commission office located at 421 E. Capitol, Springfield, Illinois 62756.

b) All written requests to inspect or copy documents will be handled in accordance with the Freedom of Information Act (FOIA) [5 ILCS 140].

c) Copies of current agendas, minutes, rules, notices of public hearings and public meetings, and annual reports will be provided free of charge. All other copies, including non-current copies of the aforementioned items, but excluding transcripts, will be provided for a fee of 50 cents per page. Copies of transcripts will be provided for the same fee as charged by the court reporter who prepared the transcript.

d) All written requests submitted to the Merit Commission must be on an approved form, available without charge from the Merit Commission.

e) All oral requests will be considered promptly. However, FOIA does not apply to oral requests.

History

Source: Amended at 38 Ill. Reg. 19566, effective September 19, 2014

2 Ill. Adm. Code 555.110 Rulemaking

a) The current rulemaking procedure of the Merit Commission is as set forth in the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, pars. 1001-1 et seq.).

b) All interested persons who wish to submit a request to comment must do so in writing within the 14 day notice period.

c) Emergency rulemaking:

When, in the opinion of the Commission, an emergency situation exists which reasonably constitutes a threat to the public interest, safety, or welfare, emergency rules may be passed in accordance with Section 5-45 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-45).

d) Any interested or affected person or agency may petition this Commission requesting the adoption, amendment, or repeal of a Commission rule. Such petition shall be submitted in writing to the Merit Commission, 421 E. Capitol, Springfield, Illinois. Five copies of each petition along with any supporting documents shall be submitted in the following form:

Petition for (adoption, amendment, repeal) of (a) Rule (Rule No. if applicable) to the Merit Commission.

I, (name of interested party), do hereby petition the Merit Commission to (adopt, amend, repeal) (a) Rule.

(State reasons as fully as possible. Attach or include any documentation for your reasons.)

e) If the petition is for the adoption or amendment of a rule, attach a draft of the proposed, adopted or amended Rule which will adequately deal with the reasons outlined for adoption or amendment.

f) All such petitions shall be signed by the petitioner and shall state his or her address and phone number.

g) Upon receipt of the petition in the proper form, such petition will be considered by the Commission. If the petition is granted, the petitioner will be notified in writing and the Commission will initiate rulemaking proceedings in accordance with subsection (a) or (b) above.

History

Source: Amended at 38 Ill. Reg. 19566, effective September 19, 2014

2 Ill. Adm. Code 555.210 Organization of the Merit Commission

The Commission consists of 5 members, the Chairman and 4 commissioners, who are appointed by the Secretary of State with the advice and consent of the Senate. Support staff may consist of technical advisors, hearing officers, personnel technicians, clerks, or other employees as may be necessary to carry out the requirements of the Secretary of State Merit Employment Code [15 ILCS 310] in exercising the powers and performing the duties conferred by law upon the Commissioners. These employees are directly accountable to the Chairman. (See Table A.)

History

Source: Amended at 35 Ill. Reg. 12756, effective July 14, 2011

2 Ill. Adm. Code 555.TABLE A Organization Chart

Chairman

4 Commissioners

Hearing Officers

Administrative Assistant

Clerical Support

History

Source: Amended at 35 Ill. Reg. 12756, effective July 14, 2011

Part 560 Lobbyist Registration and Reports

2 Ill. Adm. Code 560.100 Definitions

The following definitions shall apply to this Part:

"Act" means the Lobbyist Registration Act [25 ILCS 170].

"Administrative Action" means the execution or rejection of any rule, regulation, legislative rule, standard, fee, rate, contractual arrangement, purchasing agreement or other delegated legislative or quasi-legislative action to be taken or withheld by any executive agency, department, board or commission of the State. (Section 2(i) of the Act) It shall not include any correspondence or direct lobbying communication to an official providing a response to an official's request.

"Allocation" means the proration of the expenditure made for lobbying an official when the expenditure is made for more than one official, but fewer than 25 officials.

"Authorized Agent" means the person designated by an entity or lobbyist registered under the Act as the person responsible for the accurate submission and retention of reports required under the Act. (Section 2(l) of the Act) The authorized agent need not register unless he or she is a lobbyist, as defined in this Section.

"Client" means any person or entity that provides compensation to or employs a lobbyist to lobby State government as provided in the Act.

"Client Registrant" means a client who is required to register under the Act.

"Compensation" means any money, thing of value or financial benefits received or to be received in return for services rendered or to be rendered, for lobbying, as defined in this Section. Monies paid to officials by the State as remuneration for performance or reimbursement of expenses in connection with their constitutional and statutory duties as officials shall not constitute compensation. (Section 2 of the Act)

"Complete Report" means a statement or report to be filed with the Secretary of State Index Department in apparent and substantial conformity with the requirements of this Part that shall contain the electronic acknowledgement of the authorized agent, the completion of all applicable sections of the statement or report, and the attachment of all appropriate schedules.

"Direct Lobbying Communication" means any activity concerning the direct contact of officials in person or by means of correspondence, telephone or other electronic medium for the purpose of influencing executive, legislative or administrative action. Any correspondence or contact of a routine nature with an official's office, or by a citizen lawfully petitioning a public official pursuant to Section 9 of the Act, shall not be considered direct lobbying communication, unless the communication is made by a hired lobbyist or is in conjunction with a reportable expenditure.

"Due Diligence" means when a lobbyist or authorized agent for any registered entity shows that best efforts have been used to obtain, maintain and submit the information required by the Act. With regard to filing complete reports, the authorized agent will not be deemed to have exercised due diligence unless he or she has access to the expense records of the entity's lobbyists, and has made at least one written request to obtain information required by the Act from the lobbyist that informs the lobbyist that the reporting of that information to the authorized agent is required by law or regulation. This definition should not be construed as a requirement that the authorized agent review the lobbyist's expense records if the lobbyist certifies their accuracy to the authorized agent.

"Employer" means the individual, firm, partnership, committee, association, corporation or any other organization or group of persons by whom a lobbyist is employed, and not the name of the lobbyist's supervisor.

"Executive Action" means the proposal, drafting, development, consideration, amendment, adoption, approval, promulgation, issuance, modification, rejection or postponement by a State entity of a rule, regulation, order, decision, determination, contractual arrangement, purchasing agreement or other quasi-legislative or quasi-judicial action or proceeding. (Section 2(g) of the Act) It shall not include any correspondence or communication to an official providing a response to an official's request.

"Expenditure" means a payment, distribution, loan, advance, deposit or gift of money or anything of value, and includes a contract, promise or agreement, whether or not legally enforceable, to make an expenditure, for the ultimate purpose of influencing executive, legislative or administrative action, other than compensation as defined in this Section. (Section 2(b) of the Act) For the purposes of this Part, "expenditure" refers to a reportable expenditure made on behalf of an official in one of the 6 categories described in Section 6 of the Act and Section 560.310 of this Part.

"File", "Filed" and "Filing" means the submission of a complete report, as defined in this Section, to the Secretary of State Index Department by the close of business on the prescribed filing date. Registration statements, semi-monthly reports, and any other required reports or correspondence shall be completed online, using the Secretary of State Index Department website (http://www.cyberdriveillinois.com/departments/index/home.html) unless otherwise instructed. If the filing deadline falls on a weekend or a holiday, the deadline will be extended to the next business day unless otherwise instructed. The Index Department shall notify any lobbying entity who has failed to submit a complete report and pay proper fees as required by Sections 560.220 and 560.390. An entity that fails to file a complete entity registration statement, semi-monthly report, or other required report or correspondence and/or pay proper fees shall not be considered a registered lobbying entity by the Secretary of State.

"Goodwill" means, for reporting purposes, any expenditure made on behalf of officials that has no direct relation to a specific executive, legislative or administrative action, regardless of whether the lobbyist making the expenditure is reimbursed by his or her employing registered entity or client. Goodwill should be reported as the subject matter when no specific action is discussed.

"Grass Roots Lobbying Communication" means:

correspondence by a representative (a lobbyist or a non-lobbyist) of a registered entity to the general public, or any segment thereof, encouraging correspondence to an official's office in support of, or opposition to, an executive, legislative or administrative action;

correspondence by a member of the general public, or any segment thereof, to an official's office in support of, or opposition to, an executive, legislative or administrative action when such correspondence is a result of a communication described above in this definition. A reportable expenditure made for or on behalf of an official by a member of the general public as a result of a grass roots lobbying communication shall constitute lobbying activity requiring that individual to register as a lobbyist unless that person reports the expenditure to the registered entity pursuant to Section 560.325.

"Grass Roots Lobbying Event" means:

any organized activity sponsored by a registered entity that is intended to influence the actions of officials by inviting or transporting participants (e.g., members, employees, constituents or the general public) to a specific site on the grounds of, or in the proximity of, public offices or other meeting places where officials are expected to be accessible for grass roots lobbying; or

any event to which officials are invited that is sponsored by a non-lobbyist member or employee of a registered entity, e.g., an on-site inspection of, or reception at, the member's or employee's place of business, or a social gathering at any location. Reportable expenditures incurred as a result of the event shall be reported to the registered entity pursuant to Section 560.325.

"Honorarium" means a payment of money to a member of the General Assembly for an appearance or speech, excluding any actual and necessary travel expenses incurred by the member (and one relative) to the extent that those expenses are paid by any other person. [5 ILCS 420/2-110]

"Influencing" means any communication, action, or reportable expenditure or other means used to promote, support, affect, modify, oppose or delay any executive, legislative or administrative action or to promote goodwill with officials, as defined in this Section. (Section 2(f) of the Act)

"Legislative Action" means the development, drafting, introduction, consideration, modification, adoption, rejection, review, enactment or passage or defeat of any bill, amendment, resolution, report, nomination, administrative rule, or other matter by either house of the General Assembly or a committee thereof, or by a legislator. Legislative action also means the action of the Governor in approving or vetoing any bill or portion thereof, and the action of the Governor or any agency in the development of a proposal for introduction in the legislature. (Section 2(h) of the Act) It shall not include any correspondence or communication to an official providing a response to an official's request.

"Lobby" and "Lobbying" means any communication with an official of the executive or legislative branch of State government as defined in this Section for the ultimate purpose of influencing any executive, legislative or administrative action. (Section 2(e) of the Act) Lobbying shall not be construed to infringe in any way the right of a citizen to lawfully petition any public official by any means of communication. The following are excluded from the definition of "lobbying":

Any grass roots lobbying communication as defined in this Section;

Any communication by a candidate or political committee, as defined in Article 9 of the Election Code [10 ILCS 5/9], in relation to the candidate's campaign, or other communications by a political party committee registered with the Illinois State Board of Elections or Federal Election Commission;

Any communication by a political committee registered with the Illinois State Board of Elections or Federal Election Commission in connection with a question of public policy referendum to be presented to the electors; and

Any professional or technical assistance or ministerial function (a function in which nothing is left to discretion) as a normal course of business (see Section 560.210(c), (d), and (n)).

"Lobbyist" means any natural person who undertakes to lobby State government as defined in this Section. (Section 2(j) of the Act)

"Lobbying Entity" means any entity that hires, retains, employs or compensates a natural person to lobby State government as provided in this Section. (Section 2(k) of the Act)

"Official" means:

The Governor, Lieutenant Governor, Secretary of State, Attorney General, State Treasurer and State Comptroller and their Chiefs of Staff;

Cabinet members of any elected constitutional officer, including Directors, Assistant Directors and Chief Legal Counsel or General Counsel, and other position titles of comparable ranking that are deemed by their employing Constitutional Officer to be an official under this Part;

Members of the General Assembly; and

Members of any board, commission, authority, or task force of the State authorized or created by State law or by executive order of the Governor that has authority to make binding recommendations or determinations. (Section 2(c) of the Act) (See Section 560.105 for additional information.)

"Official" shall not be construed to include those individuals possessing power of attorney on behalf of an official.

"Person" means any individual, firm, partnership, committee, association, corporation or any other organization or group of persons. (Section 2(a) of the Act)

"Picture" means an original or photocopied photograph of a lobbyist to be affixed to the lobbyist's registration attachment.

"Professional Services and Technical Skills" shall be limited to advice and analysis directly applying any professional or technical discipline (see Section 560.210(c) and (d)). Being a professional or technical person does not in itself exempt a person from registering if that person undertakes a direct lobbying communication or makes a reportable expenditure.

"Sexual Harassment" means any unwelcome sexual advances or requests for sexual favors or any conduct of a sexual nature when:

submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment;

submission to or rejection of that conduct by an individual is used as the basis for employment decisions affecting such individual; or

such conduct has the purpose or effect of substantially interfering with an individual's work performance or creating an intimidating, hostile, or offensive working environment.

For the purposes of this definition, the phrase "working environment" is not limited to a physical location where an employee is assigned to perform his or her duties and does not require an employment relationship. [5 ILCS 430/5.65(b)]

"Vendor" means any person who sells or leases commodities, equipment, or real estate to the State of Illinois.

History

Source: Amended at 43 Ill. Reg. 751, effective December 20, 2018

2 Ill. Adm. Code 560.105 Designated Officials

As indicated in Section 560.100, the term "official" means all members of the General Assembly; all elected constitutional officers (Governor, Lieutenant Governor, Secretary of State, Attorney General, State Treasurer, and State Comptroller), their Chiefs of Staff, their cabinet members (including Directors, Assistant Directors, and General Counsels or Chief Legal Counsels) and all position titles the employing constitutional officer deems comparable; and members of any board, commission, authority, or task force of the State authorized or created by State law or by executive order of the Governor that has authority to make binding recommendations or determinations. (Section 2(c) of the Act) For reporting purposes, the term "official" includes the following positions, boards, commissions, authorities, and task forces:

MEMBERS OF THE GENERAL ASSEMBLY

CONSTITUTIONAL OFFICERS

Governor

Lieutenant Governor

Attorney General

Secretary of State

Comptroller

Treasurer

ATTORNEY GENERAL'S OFFICE

Chief Deputy Attorney General

Chief of Staff

Counsel to the Attorney General

Deputy Attorney General/Child Support Enforcement

Deputy Attorney General/Civil Litigation

Deputy Attorney General/Criminal Justice

Deputy Attorney General/Springfield & Regional Coordination

Deputy Chief of Staff/Administration

Deputy Chief of Staff/Policy & Legislative Affairs

Senior Counsel to the Attorney General

Solicitor General

COMPTROLLER'S OFFICE

Assistant Comptroller – Fiscal Policy

Assistant Comptroller – Operations

Assistant Comptroller – Policy & Planning

Chief of Staff

Deputy Director of Legal Affairs

Director of Administrative Services & Budget

Director of Cemetery Care & Burial Trusts

Director of Communications

Director of Financial Reporting

Director of Human Resources

Director of Information Technology

Director of Internal Audits

Director of Issues Development

Director of Legal Affairs

Director of Legislative Affairs

Director of Local Government

Director of Research & Fiscal Information

Director of State Accounting

Legislative Liaison

Press Secretary

Purchasing Agent

LIEUTENANT GOVERNOR'S OFFICE

Director of Constituent Services

Director of Intergovernmental Affairs

Director of Operations

Director of Rural Affairs

General Counsel

Legislative Counsel

Policy Assistant

Senior Policy Advisor

SECRETARY OF STATE'S OFFICE

Chief Auditor

Deputy Chief Auditor

Deputy Chief of Staff

Deputy Director of Intergovernmental Affairs

Deputy Secretary of State/Chief of Staff

Director of Intergovernmental Affairs

Director of Policy and Programs

General Counsel

Inspector General

Executive Inspector General

Press Secretary

Directors, Chief Deputy Directors and Deputy Directors

of the following departments:

Accounting Revenue

Administrative Hearings

Chapter III Secretary of State

Part 560 Lobbyist Registration and Reports

2 Ill. Adm. Code 560.200 Persons Required to Register

The following individuals shall register with the Secretary of State Index Department:

a) Any natural person who, for compensation or otherwise, undertakes to lobby as defined in Section 560.100. (Section 3(a) of the Act)

b) Any person or entity who employs, retains, or compensates another person for the purposes of lobbying, even if lobbying constitutes a small percentage of the individual's duties. (Section 3(a) of the Act) For example, XYZ Corporation is required to register upon retaining a lobbying entity that does not lobby exclusively for XYZ Corporation or upon employing an individual to lobby exclusively for XYZ Corporation.

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.205 Designation and Duties of Authorized Agent

a) Every lobbying entity shall designate on its Registration Statement an authorized agent who shall be responsible for keeping copies of the expenditure and registration records provided to him or her by that entity's lobbyists.

b) For each lobbyist registering independently pursuant to Section 560.220, the Index Department shall assume that the authorized agent is the lobbyist himself or herself unless the lobbyist has specifically designated another individual as his or her agent.

c) The authorized agent shall be the Index Department's contact person for the registered entity. Notices from the Department will be mailed only to the authorized agent. The authorized agent shall notify the Department of any change of address.

d) No registered entity shall have a vacancy in the position of authorized agent. The Department shall continue to send notices to the authorized agent designated until a registered entity notifies the Department in writing of the new authorized agent.

e) The authorized agent shall submit the official semi-monthly reports on behalf of the registered entity, consolidating the expenditure information for all of the lobbyists for that entity.

f) The Index Department shall not accept registration statements and semi-monthly reports that are signed by anyone other than the authorized agent unless accompanied by a written explanation.

g) Each exclusive lobbyist of each lobbying entity shall be provided with a copy of the written sexual harassment policy of his or her employer by the authorized agent. The authorized agent shall also provide each exclusive lobbyist with an acknowledgement form that acknowledges the lobbyist has received a copy of the policy that the exclusive lobbyist shall sign and date within 2 business days. The authorized agent shall secure from each exclusive lobbyist the signed and dated acknowledgement and maintain that document for a period of 2 years.

History

Source: Amended at 43 Ill. Reg. 751, effective December 20, 2018

2 Ill. Adm. Code 560.210 Persons Not Required to Register

This Part is not intended and shall not be construed to apply to the following:

a) Persons or entities who, for the purpose of influencing any executive, legislative or administrative action and who do not make expenditures that are reportable pursuant to Section 6 of the Act, appear without compensation or promise thereof only as witnesses before committees of the House and Senate for the purpose of explaining or arguing for or against the passage of or action upon any legislation then pending before those committees, or who seek without compensation or promise thereof the approval or veto of any legislation by the Governor. (Section 3(a)(1) of the Act)

b) Persons or entities that receive no compensation from their immediate employer or association other than reimbursement for expenses of up to $500 per year while engaged in lobbying State government, unless those persons made expenditures that are reportable under Section 6 of the Act. (Section 3(a)(8) of the Act) Volunteers for non-profit registered entities who undertake a direct lobbying communication within the scope of their volunteer activities are not required to register unless they make reportable expenditures. However, this exemption does not apply to non-profit entities engaged in direct lobbying communications.

c) Persons or entities performing professional services in drafting bills or in advising and rendering opinions to clients as to the construction and effect of proposed or pending legislation when those professional services are not otherwise, directly or indirectly, connected with executive, legislative or administrative action. (Section 3(a)(3) of the Act) Examples include, but are not limited to, the following:

an entity that monitors or drafts legislation on behalf of its members or clients, but does not engage in direct lobbying communications with officials or make reportable expenditures;
an individual employed by a registered or non-registered entity who monitors or drafts legislation on behalf of his or her employer or client, but does not engage in direct lobbying communications with officials or make reportable expenditures.

d) Persons or entities in possession of technical skills and knowledge relevant to certain areas of executive, legislative or administrative actions, whose skills and knowledge would be helpful to officials regardless of whether the assistance was requested when considering such actions, whose activities are limited to making occasional appearances for or communicating on behalf of a registrant and who do not make expenditures that are reportable pursuant to Section 6 of the Act even though receiving expense reimbursement for those occasional appearances. (Section 3(a)(6) of the Act) Examples include, but are not limited to the following:

A group of physicians (or individual physician if the firm is registered under this Part) that prepares a report on a particular health issue that is used to inform officials on the subject in connection with a hospital's efforts to lobby for additional funding. The physician's or physicians' contact with officials shall be limited to explanation of the medical subject matter and shall not attempt to influence the hospital's funding.
An engineering firm (or individual engineer if the firm is registered under this Part) that prepares a technical analysis on structural performance or operational capability that is used in the preparation for, or negotiation of, a bid or any other executive or administrative action. The firm's or engineer's contact with officials shall be limited to the explanation of the analysis and shall not attempt to influence the procurement of the bid.

e) Employees of the General Assembly, legislators, legislative agencies and legislative commissions who, in the course of their official duties only, engage in activities that otherwise qualify as lobbying. (Section 3(a)(5) of the Act)

f) Persons or entities who are employees of departments, divisions, or agencies of State government, and who appear before committees of the House and Senate for the purpose of explaining how the passage of or action upon any legislation then pending before those committees will affect those departments, divisions or agencies of State government. (Section 3(a)(4) of the Act) No communication by a department, division, agency or employees thereof acting within the scope of their employment regarding any executive, legislative or administrative action shall be construed as lobbying activities requiring a department, division or agency of State government or its employees to register under this Part.

g) Any full-time employee of a bona fide church or religious organization who represents that organization solely for the purpose of protecting the right of the members thereof to practice the religious doctrines of that church or religious organization, or any such bona fide church or religious organization. (Section 3(a)(7) of the Act)

h) Persons or entities who own, publish, or are employed by a newspaper or other regularly published periodical, or who own or are employed by a radio station, television station or other bona fide news medium that in the ordinary course of business disseminates news, editorial or other comment, or paid advertisements that directly urge the passage or defeat of legislation.

This exemption shall not be applicable to such an individual insofar as he receives additional compensation or expenses from some source other than the bona fide news medium for the purpose of influencing executive, legislative or administrative action.
This exemption does not apply to newspapers and periodicals owned by or published by trade associations and not-for-profit corporations engaged primarily in endeavors other than dissemination of news. (Section 3(a)(2) of the Act)

i) Any attorney or group or firm of attorneys in the course of representing a legal client in any administrative or judicial proceeding in which ex parte communications are not allowed and who does not make expenditures that are reportable under Section 6 of the Act, or any witness providing testimony in any administrative or judicial proceeding, in which ex parte communications are not allowed and who does not make expenditures that are reportable pursuant to Section 6 of the Act. The act of representing a legal client in any administrative or judicial proceeding begins with the retaining of legal counsel for that purpose.

j) Persons who, in the scope of their employment as a vendor, regardless of any ownership interest in same, offer or solicit an official for the purchase or lease of any goods or services where:

the solicitation is limited to either an oral inquiry or written advertisements and informative literature; or
the goods and services are subject to pre-qualification or competitive bidding requirements of the Illinois Procurement Code [30 ILCS 500], Architectural, Engineering, and Land Surveying Qualifications Based Selections Act [30 ILCS 535], Governmental Joint Purchasing Act [30 ILCS 525], and Business Enterprise for Minorities, Females, and Persons with Disabilities Act [30 ILCS 575]; or
the goods and services are for sale at a cost not to exceed $5,000; and
the persons do not make expenditures that are reportable under Section 6 of the Act. (Section (3)(a)(10) of the Act)

k) National, State, or local government units and school districts, and elected or appointed officers or employees thereof, who, within the scope of their public office or employment, lobby exclusively for one of the aforementioned units of government. For purposes of this Part, a "unit of local government" shall mean a unit of local government as defined by Article VII, Section 1 of the Illinois Constitution.

l) Persons who make incidental contacts with officials at business or social functions where executive, legislative or administrative action is discussed and who do not make a reportable expenditure pursuant to Section 6 of the Act. However, the person or entity sponsoring the event or making a reportable expenditure in connection with the event is not exempt from registering under this subsection.

m) Individuals or entities employed by a lobbying entity or other participants in a grass roots lobbying event whose lobbying activity is limited to participation at a grass roots lobbying event, and who report expenditures to the lobbying entity as prescribed by Section 560.325. However, persons or entities performing contractual grass roots lobbying communication services involved in organizing a grass roots lobbying event or communication shall register if there is contact with officials other than the routine communication that is the subject of the contract.

n) Persons who perform ministerial functions in conjunction with an executive, legislative or administrative action that require routine written correspondence or contact with officials shall not subject a person to register pursuant to this Part (for example, an assistant arranging an appointment between a lobbyist and an official).

o) Any attorney or group or firm of attorneys in the course of representing a client in an administrative or executive action involving a contractual or purchasing arrangement who does not make expenditures that are reportable pursuant to Section 6 of the Act. (Section 3(a)(9.5) of the Act)

p) A person or entity claiming an exemption under Section 3 of the Act shall complete a statement of exemption and shall certify under penalties existing under the Act and Section 1-109 of the Code of Civil Procedure [735 ILCS 5/1-109] that the person or entity is not required to register under the Act. (Section 3(c) of the Act) The statement of exemption shall include the individual's or entity's name, address, phone number, fax number, contact person, and contact person's email address, and shall indicate the particular exemption claimed under Section 3 of the Act.

q) In addition, the individual or entity shall also cite any further statutory authority that provides a basis on which the individual or entity may claim an exemption from registration, such as an enacting statute that designates an entity as a unit of local government.

r) Each lobbying entity shall inform its clients of the requirement to register under the Act or to file a statement of exemption. All individuals or entities claiming an exemption shall utilize the form available on the Secretary of State Index Department website.

s) Nothing prohibits the Secretary from rejecting a statement of exemption and requiring a person or entity to register should the Secretary determine the individual or entity is not eligible for the claimed exemption. (Section 3(c) of the Act)

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.220 Registration Requirements

a) Every natural person and every entity required to register under the Act shall register before any service is performed which requires the natural person or entity to register, but in any event not later than 2 business days after being employed or retained. (Section 5 of the Act) Every lobbying entity shall designate a person as an authorized agent (see Sections 560.100 and 560.205) who shall be responsible for reporting under this Part.

b) The authorized agent shall file an Entity Registration Statement and an Exclusive Lobbyist Information Statement for all persons who lobby exclusively for the entity even if lobbying is a small percentage of that person's job duties. (See Section 560.405.)

c) Every natural person and every entity required to register under the Act shall annually renew his or her registration on or before January 31 of each year if continuing lobbyist activities from the previous year. By December 15 of each year, the Secretary of State Index Department will send to all current authorized agents reminder notices of the January 31 deadline. Nothing in this Section shall relieve a lobbyist or lobbying entity from the requirement to register before commencing lobbying activities in a particular year and within 2 business days after being employed or retained for lobbying services.

d) The registrant has a continuing duty to report any substantial change or addition to the information contained in the registration. (Section 5 of the Act)

e) Registration statements shall be filed in accordance with the definition of "filing" (see Section 560.100).

f) All registration statements shall include an annual, non-refundable, non-transferable registration fee, assessed as follows, in the form of a credit or debit card payment or electronic check payable to the Secretary of State:

A lobbyist's registration shall include a single, annual, non-refundable, non-transferrable registration fee of $300. A self-employed independent contract lobbyist who does not lobby under a business entity name or an assumed business name and who has no employees engaged in lobbying activities may submit a single annual fee of $300 and need not pay an entity fee.
A lobbying entity's registration shall include a single, annual, non-refundable, non-transferable registration fee of $300 for the entity and a single, annual, non-refundable, non-transferable registration fee of $300 for each person registering as a lobbyist on an Exclusive Lobbyist Information Statement.

g) The Secretary of State Index Department will provide an acknowledgment to each authorized agent indicating the date of receipt for all statements filed (see Section 560.100).

h) Persons solely engaged in grass roots lobbying as an employee of a lobbying entity or a participant in a grass roots lobbying event who make a reportable expenditure are required to register unless the expenditure is reported to the registered entity pursuant to Section 560.326.

i) The registrant must file a confirmation that the registrant has a sexual harassment policy as required by Section 4.7, that such policy shall be made available to any individual within 2 business days upon written request (including electronic requests), that any person may contact the authorized agent of the registrant to report allegations of sexual harassment alleged against the registrant or exclusive lobbyist hired by the registrant, and that the registrant recognizes the Inspector General has jurisdiction to review any allegations of sexual harassment alleged against the registrant or lobbyists hired by the registrant (Section 5(d) of the Act). The confirmation required by this subsection (i) will substantially be presented during the electronic registration process as follows: Submission of registration confirms that this lobbying registrant is in compliance, and will maintain compliance, with the Lobbyist Registration Act and this Part through the period of registration in this calendar year. This confirms that:

The registrant has a written policy on the prevention, prohibition and investigation of sexual harassment and retaliation that includes how to report allegations and the consequences for committing sexual harassment or retaliation.
The registrant will provide all employees required to register with a copy of the policy and secure an acknowledgment of receipt.
The policy shall be made available, within 2 business days, to any individual who makes a written request for the policy (including electronic requests).
Any person may contact the authorized agent of the registrant to report allegations of sexual harassment.
The registrant recognizes the Inspector General has jurisdiction to review any allegations of sexual harassment against the registrant or lobbyists hired by the registrant.
The registrant acknowledges that violations with regard to sexual harassment are subject to the jurisdiction of the Executive Ethics Commission and are subject to the penalties of the State Officials and Employees Ethics Act [5 ILCS 430].

j) Each natural person required to register as a lobbyist under the Act must complete, at least annually, a sexual harassment training program provided by the Secretary of State no later than 30 days after registration or renewal under the Act. This requirement does not apply to a lobbying entity or a client that hires a lobbyist that:

does not have employees of the lobbying entity or clients registered as lobbyists; or
does not have an actual presence in Illinois. [25 ILCS 170/4.7]

History

Source: Amended at 43 Ill. Reg. 751, effective December 20, 2018

2 Ill. Adm. Code 560.225 Ethics Training

Each natural person required to register as a lobbyist under the Act must complete the ethics training program provided by the Secretary of State (see Section 4.5 of the Act). Each natural person registered under the Act must complete the training program no later than 30 days after registration or renewal under the Act. (Section 4.5 of the Act) The training may address topics including, but not limited to, registration mandates, reporting requirements, prohibited gifts, prohibited board appointments and enforcement powers of the Secretary of State's Office of the Inspector General. The Secretary of State may include the ethics training for lobbyists as part of the registration process and the training materials may be presented online. Failure to complete the ethics training by the established deadline may delay the following year's registration and may result in the registrant being reported to the Secretary of State's Office of the Inspector General.

History

Source: Added at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.230 Failure to Register (Repealed)

History

Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997

Chapter III Secretary of State

Part 560 Lobbyist Registration and Reports

2 Ill. Adm. Code 560.235 Prohibition on Sexual Harassment

a) All persons have the right to work in an environment free from sexual harassment. All persons subject to the Act shall refrain from sexual harassment of any person.

b) Sexual Harrassment Defined

For purposes of the Act, "sexual harassment" means any unwelcome sexual advances or requests for sexual favors or any conduct of a sexual nature when:

A) submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment;

B) submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting that individual; or

C) that conduct has the purpose or effect of substantially interfering with an individual's work performance or creating an intimidating, hostile, or offensive working environment.

For the purposes of this definition, the phrase "working environment" is not limited to a physical location where an employee is assigned to perform his or her duties and does not require an employment relationship. [5 ILCS 430/5-65]

c) No later than January 1, 2018, each natural person and any entity required to register under the Act shall have a written sexual harassment policy that shall include, at a minimum:

a prohibition on sexual harassment;
details on how an individual can report an allegation of sexual harassment, including options for making a confidential report to a supervisor, ethics officer, Inspector General, or the Department of Human Rights and that reports made to any of the above persons will be confidential to the extent practicable;
a prohibition on retaliation for reporting sexual harassment allegations, including availability of whistleblower protections under the State Officials and Employee Ethics Act, the Whistleblower Act [740 ILCS 174], and the Illinois Human Rights Act [775 ILCS 5]; and
the consequences of a violation of the prohibition on sexual harassment and the consequences for knowingly making a false report. [25 ILCS 170/4.7(c)]

History

Source: Added at 43 Ill. Reg. 751, effective December 20, 2018

2 Ill. Adm. Code 560.300 Persons Required to File Semi-Monthly Reports

a) Except as otherwise provided in this Section, every person required to register as prescribed in Section 560.200 shall report under oath subject to penalties existing under the Act and pursuant to Section 1-109 of the Code of Civil Procedure to the Secretary of State all expenditures for lobbying made or incurred by the lobbyist on his or her behalf or the behalf of his or her employer (Section 6 of the Act). For the purpose of this Subpart, "expenditures" shall refer to reportable expenditures made on behalf of officials or immediate family members of officials who reside with the officials in the 6 categories described in Section 560.310.

b) In the case where an individual is solely employed by another person to perform job related functions, any part of which includes lobbying, the employer shall be responsible for reporting all lobbying expenditures incurred on the employer's behalf as shall be identified by the lobbyist to the employer preceding such report. The authorized agent for each lobbying entity shall file one semi-monthly report that includes all expenditures made by persons who lobby exclusively for that entity and reimbursed expenditures made by persons who do not lobby exclusively for that entity. Lobbyists shall submit their expenditure information to the authorized agent for their lobbying entities and shall not file separate semi-monthly reports with the Secretary of State. In connection with each semi-monthly report filed, the authorized agent shall verify, under penalties existing under the Act and Section 1-109 of the Code of Civil Procedure, that the expenditure information contained in the report is true, accurate and complete to the best of his or her knowledge as provided by the individually reporting lobbyists, if any.

c) Persons and entities that do not lobby exclusively for one lobbying entity shall report all expenditures that were not reimbursed by employers (i.e., clients), including expenditures to establish goodwill with officials that were not on behalf of a client.

d) Participants in grass roots lobbying events who make reportable expenditures shall file reports as prescribed by Section 560.325.

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.301 Affirmations

a) Twice annually, each lobbyist required to be registered under this Part shall affirm, under oath subject to penalties existing under the Act and Section 1-109 of the Code of Civil Procedure, the accuracy of all expenditures included in semi-monthly reports filed in the reporting period on his or her behalf for the preceding 6 month period. The affirmation statement for the period of January 1 through June 30 shall be due on August 4. The affirmation statement for the period of July through December 31 shall be due on February 4.

b) If a lobbyist cannot affirm the expenditures reported on his or her behalf due to errors or omissions, the lobbyist shall report the discrepancy to his or her authorized agent, after which the agent and lobbyist shall reconcile the differences and, if necessary, the agent shall make amendments to previously filed semi-monthly reports. The period of time used for the reconciliation of expenditure records and/or the amendment of a report may not extend the affirmation deadline unless agreed to in writing by the Secretary of State.

c) Registrants shall use official affirmation statement forms provided by the Index Department.

History

Source: Added at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.305 Time, Place and Manner for Filing Semi-Monthly Reports

a) A report for the period beginning July 1, 2010 and ending on December 31, 2010 shall be filed no later than January 15, 2011. Beginning January 1, 2011, reports shall be filed semi-monthly as follows:

for the period beginning the first day of the month through the 15th day of the month, the report shall be filed no later than the 20th day of the month; and
for the period beginning on the 16th day of the month through the last day of the month, the report shall be filed no later than the 5th day of the following month. (Section 6(f) of the Act)

b) Semi-monthly reports shall be filed in accordance with the definition of "filing" (see Section 560.100).

c) Within 5 business days after a reporting deadline, the Secretary of State Index Department shall notify authorized agents of their failure to file a report. (Section 7(b) of the Act)

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.310 Categorizing Expenditures

a) Expenditures attributable to lobbying officials shall be listed and reported according to the following categories:

travel and lodging on behalf of others, including, but not limited to, all travel and living accommodations made for or on behalf of State officials during sessions of the General Assembly;
meals, beverages and other entertainment;
gifts;
gifts on the basis of personal friendship;
honoraria.

NOTE: Public Act 89-405 added Section 2-110 of the Governmental Ethics Act [5 ILCS 420/2-110] to prohibit members of the General Assembly from accepting any honorarium. This amendment to the Governmental Ethics Act applies only to members of the General Assembly and contains no similar prohibition with respect to the acceptance of honoraria by other officials;

any other thing or service of value not listed under subsections (a)(1) through (5), setting forth a description of the expenditure. (Section 6(b-2) of the Act)

b) The report shall itemize each individual expenditure or transaction and shall include the name of the lobbyist, the name of the official on whose behalf the expenditure was made, the name of the client on whose behalf the expenditure was made, if applicable, the total amount of the expenditure, a description of the expenditure, the seller, purveyor or other provider to whom the expenditure was made (including the address or location of the expenditure), the date on which the expenditure occurred and the subject matter of the lobbying activity, if any. For those expenditures made on behalf of a client, if the client is a client registrant, the report shall also include the name and address of the client or clients of the client registrant and the official or officials on whose behalf the expenditures ultimately were made. (Section 6(b) of the Act) For purposes of expenditure reporting, the address of an expenditure may be listed as a landmark, if applicable. If there is no subject matter pertaining to the lobbying activity in connection with an expenditure, the term "goodwill" should be reported as the subject matter. Allocation is permitted for determining the itemization threshold (see Section 560.315).

c) Client Information

Subject to the qualifications in subsection (c)(2), the semi-monthly report shall include the names and addresses of all the clients and clients of client registrants required to be identified under Section 6(b) of the Act, together with an itemized description for each client of the following:

A) lobbying regarding executive action, including the name of any executive agency lobbied and the subject matter;

B) lobbying regarding any legislative action, including the General Assembly and any other agencies lobbied and the subject matter;

C) lobbying regarding administrative action, including the agency lobbied and the subject matter.

Registrants who made no reportable expenditures during a reporting period shall file a report stating that they had no expenditures. If, however, changes in lobbying activities that are reportable under Section 5 of the Act have taken place, a registrant shall amend its registration pursuant to Section 560.220.

History

Source: Amended at 38 Ill. Reg. 8401, effective April 3, 2014

2 Ill. Adm. Code 560.315 Allocating Expenditures

a) For reporting purposes, the registrant may allocate the expenditure by prorating the total cost of the transaction among the number of beneficiaries (officials and non-officials). Example: A lobbyist buys dinner for a group of 5 persons, an official, the official's spouse, and three non-officials who are not immediate family members of an official. The total cost of the expenditure is divided by 5 to compute the portion allocable to each beneficiary. The lobbyist must report the portions allocable to the official and the official's spouse.

b) Alternatively, when the transaction includes more than one beneficiary (officials and non-officials), the registrant may report the exact amount expended on behalf of an official or member of an official's immediate family.

c) To be included in the allocation calculation, the lobbyist must be present and participating at the event at which the expenditure occurred. If lobbyists for more than one lobbying entity divide the bill for a single transaction, each lobbyist must report an expenditure for each official in attendance.

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.320 Large Gatherings and Giveaways

a) Expenditures incurred for hosting receptions, benefits and other large gatherings held for purposes of goodwill or otherwise to influence executive, legislative or administrative action to which there are twenty-five (25) or more State officials invited shall be reported listing the total amount of the expenditure, the date of the event, the estimated total number of persons in attendance (officials and non-officials), and the estimated number of officials in attendance. (Section 6 of the Act)

b) Expenditures incurred for generic gifts or product samples for goodwill to influence executive, legislative or administrative action where 25 or more officials receive substantially identical items shall be reported by listing the total amount of the expenditure, a description of the gift or product sample, the date of purchase or distribution and the estimated number of officials receiving the item. The reportable cost for product samples should be the market price of the product, or if it is not presently being sold, its estimated value.

c) Options for reporting large gatherings and giveaways that are sponsored by more than one entity:

If all sponsors are registered, the total cost of the gathering may be prorated, and each entity's share reported on its own expenditure report. Each entity shall report the information required in subsection (a) of this Section. Alternatively, each sponsor may report the actual amount of its contribution instead of the prorated amount.
If one or more of the sponsors are not registered, all sponsoring entities may unite to register an umbrella entity for the purpose of reporting the gathering or giveaway. The umbrella entity reports the information required in subsection (a) of this Section. A registered sponsor need not report the event on its expenditure report. A nonregistered sponsor whose lobbying activities are limited to this sponsorship need not register separately. Alternatively, nonregistered sponsors may register and report as described in subsection (c)(1) of this Section.
A nonregistered sponsor who is a member of a registered association may report the expenditure through the association by filing an Expenditure Report Large Gatherings or Giveaways Schedule, along with a Grass Roots Lobbying Statement, with the association's authorized agent. The sponsor may use this option only when the association co-sponsors the event or consents to attach the forms to its expenditure report.

d) A nonregistered sponsor of a large gathering or giveaway held at a national or multi-state conference or seminar at which Illinois officials are expected to attend need not register if its lobbying activity is limited to sponsorship of this event, provided that all persons who register for the conference are invited to the gathering or offered the giveaway item. A sponsor that is already registered under the Act must report expenditures on behalf of Illinois officials to the extent feasible.

History

Source: Amended at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.325 Reporting Expenditures by Participants in Grass Roots Lobbying Events

A participant in a grass roots lobbying event (as defined in Section 560.100) who makes a reportable expenditure shall file a Grass Roots Lobbying Statement with the authorized agent of the sponsoring entity within thirty (30) days from the date of the event. The form shall include the name, address, and telephone number of the participant making the expenditure; the total amount of the expenditure; and the name and title of each official. If a participant fails to return to the sponsoring entity a Grass Roots Lobbying Statement disclosing any expenditure made on behalf of an official, or if the registered entity disclaims sponsorship of the event, the participant will be subject to the registration provisions of Section 560.200.

History

Source: Amended at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.326 Registrant's Duties for Grass Roots Lobbying Events

Registered entities that sponsor a grass roots lobbying event shall be required to inform the participants in writing that any reportable expenditures incurred must be disclosed to the authorized agent of the registered entity. The registered entity shall distribute a Grass Roots Lobbying Statement to those participants deemed to have made a reportable expenditure. The authorized agent shall report grass roots lobbying expenditures by filing as an addendum to the sponsoring entity's report any Grass Roots Lobbying Statements received from participants pursuant to Section 560.325.

History

Source: Added at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.330 Expenditures for Immediate Family Members of Officials

a) Each individual expenditure required to be reported shall include all expenses made for or on behalf of a State official and members of the official's immediate family living with the official if the expenditure was made with the intent to influence the official or to promote goodwill with the official (Section 6(b) of the Act). The expenditure shall be reportable as if the expenditure were made to the official.

b) "Immediate family member" shall be defined as a spouse or child of the official.

c) Expenditures by a lobbyist for or on behalf of an official who is a member of the lobbyist's immediate family need not be reported under this Part.

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.340 Travel and Lodging Accommodations for Officials

a) Under the category of travel and lodging, reports shall include, but are not limited to, all travel and lodging accommodations provided free of charge to an official during sessions of the General Assembly when the official would otherwise have to incur the expense on his or her own behalf. (Section 6 of the Act) However, de minimis travel under 20 miles need not be reported.

b) Examples of Reportable Expenditures:

a lobbyist gives a ride to an official from Chicago to Springfield;
a lobbyist furnishes an official with lodging accommodations at the lobbyist's home, or at a hotel/motel, regardless of whether the accommodations are located in Illinois.

c) For any travel or lodging in which the official shares accommodations or accompanies the lobbyist and no direct expenditure is made for either lodging or carrier, the expenditure must be reported at market value; e.g., the price of comparable airfare (either commercial or charter), mileage reimbursement or lodging rate allowed by the State of Illinois Travel Regulation Board for members of the General Assembly.

History

Source: Amended at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.345 Members of Legislative or State Study Committees

Reasonable and bona fide expenditures made by the registrant who is a member of a legislative or State study commission or committee while attending and participating in meetings and hearings of such commission or committee need not be reported (Section 6 of the Act). Any expenditures for meals, beverages, entertainment, gifts or honoraria made by a registrant for or on behalf of an official not pertinent to the meeting or hearing shall be reported.

2 Ill. Adm. Code 560.350 Personal and Office Expenses

a) Reasonable and bona fide expenditures made by the registrant for personal sustenance, lodging and travel not on the behalf of an official, office expenses and clerical or support staff need not be reported (Section 6 of the Act) regardless of whether the goods or services are purchased or leased from an entity in which an official has an ownership interest.

b) Expenses relating to the development, production or distribution of any invitation, announcement, newsletter or grass roots lobbying communication, regardless of whether the communication is sent to officials, need not be reported.

c) Expenses arising from a communication by a candidate or political committee in relation to the candidate's campaign, or other communications by a political party committee registered with the Illinois State Board of Elections or Federal Election Commission, need not be reported.

d) Any communication by a political committee registered with the Illinois State Board of Elections or Federal Election Commission in connection with a public policy referendum to be presented to the electors need not be reported.

History

Source: Amended at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.355 Registrant's Duties for Grass Roots Lobbying Events (Repealed)

History

Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997

Chapter III Secretary of State

Part 560 Lobbyist Registration and Reports

2 Ill. Adm. Code 560.360 Salaries, Fees and Compensation

Salaries, fees, and other compensation paid to the lobbyist for the purpose of lobbying, and not as a direct reimbursement for a reportable expenditure, need not be reported by the employer. However, the employer's report shall include a direct reimbursement of a lobbyist's reportable expenditure.

History

Source: Amended at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.365 Contributions Reported Under the Election Code

a) Any monetary or in-kind contribution made by a person or political committee pursuant to Article 9 of the Election Code [10 ILCS 5/9], need not be reported. Tickets purchased for a political fundraising event and which constitute contributions pursuant to Article 9 of the Election Code need not be reported regardless of whether the lobbyist or registered entity who purchases such tickets gives any such ticket or tickets to an official.

b) Any expenditure by a political committee other than a single candidate or political party relating to travel and lodging; meals, beverages, or entertainment; and gifts or honoraria, made for or on behalf of an official, which is not provided in return for a contribution of equal or greater value by an official to the political committee must be reported. However, the political committee need not register independently if its activities are directed by a registered entity.

History

Source: Amended at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.370 Returned Expenditures/Reimbursement by Official

Any reportable expenditure that the official returns to the lobbyist or for which the official reimburses the lobbyist or lobbying entity prior to the deadline for submission of the report need not be reported. (Section 6(b-7)(5) of the Act)

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

Chapter III Secretary of State

Part 560 Lobbyist Registration and Reports

2 Ill. Adm. Code 560.371 Lobbyist Notifications to Officials

Pursuant to Sections 6 and 6.5 of the Act, registrants shall send 2 notifications to each official on whose behalf an expenditure was incurred during the reporting period.

a) A registrant that makes an expenditure on behalf of an official must inform the official in writing, contemporaneously with receipt of the expenditure, that the expenditure is a reportable expenditure pursuant to the Act and that the official will be included in the report submitted by the registrant in accordance with Section 6 of the Act. (Section 6.5(a) of the Act)

b) Any official disclosed in a report submitted pursuant to Section 6 of the Act who did not receive the notification of the expenditure required by subsection (a) of this Section or who has returned or reimbursed the expenditure included in a report submitted pursuant to Section 6 of the Act may, at any time, contest the disclosure of an expenditure by submitting a letter to the registrant and the Secretary of State. The Secretary of State shall make the letter available to the public in the same manner as the report. (Section 6.5(b) of the Act)

c) Within 30 days after a filing deadline, a registrant shall notify each official for whom an expenditure was reported of the name of the registrant, a description of the expenditure, the total amount of the expenditure, the date on which the expenditure was incurred, and, if applicable, the subject matter of the lobbying activity.

d) Registrants shall not send the Secretary of State a copy of the notifications to officials.

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.372 Official's Clarification Notice

An official may submit a letter of clarification to the Secretary of State Index Department to contest an expenditure attributed to him or her. The clarification notice will be forwarded to the registered entity who shall respond in writing within thirty (30) days after receipt of the notification of the letter of clarification. The official's clarification notice and the registered entity's response shall be public information.

History

Source: Added at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.375 Reports in the Absence of Reportable Expenditures

Registrants that made no reportable expenditures during a reporting period shall file an Expenditure Summary Report stating that no expenditures were incurred (Section 6(b-1) of the Act). The reports shall be filed (see Section 560.100), in accordance with Sections 560.305 and 560.310.

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.380 Amending Reports

Any change or error in information previously submitted in a statement or report shall be disclosed by filing an amended statement or report as soon as practicable following the change or discovery of the error. A registrant has a continuing duty to report any substantial change or addition to the information contained in its registration. (Section 5 of the Act)

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.385 Termination of Lobbying Activities

a) To terminate registration under this Section, a lobbyist or lobbying entity must file with the Secretary of State Index Department via its authorized agent a written notification of the termination of lobbying activities and a final expenditure report covering the period of time since the filing of its last semi-monthly report to the date of termination within 30 days after the termination. Such notice and report shall be final and relieve such registrant of further reporting under this Part. (Section 6(c) of the Act)

b) To terminate an individual lobbyist from a lobbying entity, the lobbyist shall notify the authorized agent in sufficient time for the authorized agent to notify the Secretary of State within 30 days after the termination that the lobbyist no longer lobbies for that entity. The lobbyist must provide the authorized agent with copies of expenditure records and an affirmation for the next reporting period. The authorized agent shall include any reportable expenditures incurred by that lobbyist prior to termination in the entity's next report.

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.390 Failure to File Registration Statements and Semi-Monthly Reports

Failure to file a statement or report within the time designated, or the reporting of incomplete information, may constitute a violation of the Act. Within 5 business days after a filing deadline, the Secretary of State Index Department shall notify the authorized agent for any registrant that is deemed required to file, but has failed to do so. (Section 7(b) of the Act)

a) A registrant that is required to file a registration statement or semi-monthly report, and has not filed by the deadlines prescribed in the Act, is subject to the following late filing fees in addition to any penalties imposed by the Act:

Filings received within 15 days after a filing deadline shall be accompanied by a $50 late filing fee;
A registrant that fails to file within 15 days shall be subject to a penalty of $100, which shall be in addition to the $50 late filing fee specified in subsection (a)(1).

b) For good cause shown, the Director of the Index Department may extend the time for compliance for an additional 30 days after the date of the filing deadline.

Examples of such extenuating circumstances include, but are not limited to, the following:

A) inadvertent data erasure or computer malfunction;

B) hospitalization of the authorized agent;

C) loss of original receipts resulting from fire, flood, or other act of nature.

Lobbyists must provide replacement expenditure information to the authorized agent for compilation of the entity's report.

c) A registrant will be liable for the late filing fee and penalty if it does not receive notifications from the Secretary of State's Office due to the registrant's failure to inform the Index Department of a change of street address and/or email address or authorized agent.

d) Copies of all records shall be maintained by the Index Department for inspection by the Secretary of State Inspector General, Attorney General or appropriate State's Attorney in the course of his or her enforcement activities under Section 11 of the Act.

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.395 Preservation of Records

a) A lobbyist, or an authorized agent, if the lobbying entity prefers, shall preserve for a period of 2 years from the filing date copies of all receipts and records forwarded to the Authorized Agent that were used in preparing reports under this Part. (Section 6(d) of the Act)

b) Examples of records that should be maintained include, but are not limited to, the following:

The total of all expenditures made for or on behalf of officials;
Proof of payment for every expenditure;
The allocation formula used in prorating the expenses incurred for or on behalf of an official when an expenditure is made for more than one official, but fewer than 25;
A list of the officials invited to a large gathering.

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.400 Requests for Reports

a) All requests to view or copy statements or semi-monthly reports shall be made in person or submitted in writing. Copies must be paid for in advance (see Section 560.420).

b) All statements and reports filed under this Part with the Secretary of State Index Department shall be available within 5 business days from the filing date for examination and copying by the public during regular business hours (see Section 560.402) and shall be made available via the Internet without charge.

c) The Secretary of State Index Department shall certify that an entity or individual is or is not registered pursuant to the Act. The written inquiry shall include the name and address of the person submitting the request and the name and address of the individual requested and their lobbying entity, if applicable.

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.402 Location and Business Hours

The offices of the Secretary of State Index Department are located at 111 East Monroe Street, Springfield, Illinois 62756, and at 17 N. State Street, Chicago, Illinois 60602, and shall be open Monday through Friday, from 8:00 a.m. to 4:30 p.m., except on State legal holidays.

History

Source: Amended at 24 Ill. Reg. 6708, effective April 14, 2000

2 Ill. Adm. Code 560.405 Official Forms

Registered entities are required to use only the electronic lobbyist registration and reporting system and official forms and schedules approved by the Secretary of State Index Department when filing lobbyist registration statements or reports.

a) Copies of official forms may be obtained from the Index Department.

b) Alternative methods of reporting are prohibited unless prior written approval has been received from the Director of the Index Department.

c) Prior written approval will be given based on the compatibility of alternative methods with the Index Department's public disclosure procedures.

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.410 List of Officials

The Secretary of State Index Department shall maintain and make available to registrants a list of position titles deemed by their employing Constitutional Officers to be officials under this Part. The Constitutional Officers may provide this list to the Index Department on an annual basis or as amendments are required. The Secretary of State Index Department shall post an updated list of officials on its website as applicable.

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.420 Fees

Semi-monthly reports and lists of registrants shall be made available to the public at the following fees:

a) The list of registrants shall be available free of charge via the Internet. This list is available on compact disc for $10.

b) Copies of statements or semi-monthly reports shall be available free of charge via the Internet. Paper copies of statements or semi-monthly reports are available for $.50 per page.

c) There is no charge to inspect materials filed at the Secretary of State Index Department, 111 East Monroe Street, Springfield, Illinois 62756 or via the Internet.

d) Certification that an entity or individual is or is not registered pursuant to the Act shall be available for $2.00.

History

Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.430 Enforcement

The Secretary of State Inspector General is the office having investigative authority for alleged violations of the Act. Investigations shall be conducted pursuant to Section 11 of the Act.

History

Source: Added at 35 Ill. Reg. 12761, effective July 18, 2011

2 Ill. Adm. Code 560.APPENDIX A Lobbyist Registration Statements

Section 560.ILLUSTRATION A Form R1: Lobbyist Registration Statement − For Individual/Firm/Partnership/Committee/Association/Corporation or any Other Organization Employing a Lobbyist on Their Own Behalf (Repealed)

History

Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.APPENDIX A Lobbyist Registration Statements

Section 560.ILLUSTRATION B Form R2: Lobbyist Registration Statement − For Individual/Firm/Partnership/Committee/Association/Corporation or any Other Organization Who Performs Lobbying Services on Behalf of Another (Repealed)

History

Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.APPENDIX A Lobbyist Registration Statements

Section 560.ILLUSTRATION C Attachment R1/R2: Lobbyist Registration Attachment − For Individual Lobbyist (Repealed)

History

Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.APPENDIX A Lobbyist Registration Statements

Section 560.ILLUSTRATION D Form R3: Lobbyist Registration Attachment − For Addition or Deletion of Affiliated Lobbyists (Repealed)

History

Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.APPENDIX A Lobbyist Registration Statements

Section 560.ILLUSTRATION E Form R4: Lobbyist Registration Attachment − For Addition or Deletion of Affiliated Clients (Repealed)

History

Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION A Form S1: Lobbyist Expenditure Report − Summary of Reportable Expenditures (Repealed)

History

Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION B Schedule 1A/2A: Lobbyist Expenditure Report − Itemized Expenditures for Travel and Lodging or Meals, Beverages and Entertainment (Repealed)

History

Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION C Schedule 1B/2B: Lobbyist Expenditure Report − Non-Itemized Expenditures for Travel and Lodging or Meals, Beverages and Entertainment (Repealed)

History

Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION D Schedule 2C: Lobbyist Expenditure Report − Expenditures for Large Gatherings (Repealed)

History

Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION E Schedule 3A/4A: Lobbyist Expenditure Report − Itemized Expenditures for Gifts or Honoraria (Repealed)

History

Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION F Schedule 3B/4B: Lobbyist Expenditure Report − Non-Itemized Expenditures for Gifts and Honoraria (Repealed)

History

Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997

2 Ill. Adm. Code 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION G Schedule GR1: Lobbyist Expenditure Notification − Expenditures in Connection with a Grass Roots Lobbying Event (Repealed)

History

Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997

Chapter III Secretary of State

Part 565 Statements of Economic Interests

2 Ill. Adm. Code 565.20 Purpose

Pursuant to Section 3A-30 of the Act [5 ILCS 420/3A-30], this Part shall apply to any appointees to a board, commission, authority, or task force authorized or created by State law or by executive order of the Governor, and to those persons notified by the Secretary of State of their requirement to file statements of economic interests pursuant to Section 4A-101 of the Act [5 ILCS 420/4A-101]. The purpose of this Part is to extend the filing deadline for statements of economic interests upon a showing of just cause as to why the form cannot be filed in a timely manner. Persons granted filing extensions shall have 30 days from their original filing deadline in which to file forms without penalty, unless a longer extension is granted pursuant to Section 565.50 of this Part. In addition, the disclosure requirements for appointees are set forth in regard to State contracts and financial interests held by appointees and immediate family members of appointees.

History

Source: Amended at 29 Ill. Reg. 8908, effective June 10, 2005

2 Ill. Adm. Code 565.30 Definitions

"Act" means the Illinois Governmental Ethics Act [5 ILCS 420].

"Appointee" means any person appointed to a board, commission, authority, or task force authorized or created by State law.

"Department" means the Secretary of State Index Department.

"Disclosure" means the disclosure of any State contracts as established in Section 3A-30 of the Act.

"Filer" means a person notified by the Department of his or her requirement to file a statement of economic interests pursuant to Section 4A-101 of the Act and appointees to any board, commission, authority, or task force authorized or created by State law or by executive order of the Governor.

"Immediate family" means a spouse, parent, child or sibling or family members living with the filer.

"Serious illness" means any illness that can be documented to the Department by a physician's note.

History

Source: Amended at 29 Ill. Reg. 8908, effective June 10, 2005

2 Ill. Adm. Code 565.35 Disclosure of Interest in State Contracts by Appointees

a) Every appointee required to disclose contractual interests under Section 565.20 shall file a disclosure report approved by the Secretary of State upon appointment.

Copies of official forms may be obtained from the Index Department.
Alternative methods of reporting are prohibited unless prior written approval has been received from the Director of the Index Department.
Prior written approval will be given based on the compatibility of alternative methods with the Index Department's public disclosure procedures. Approval shall be granted if information reported meets the informational elements within Appendix A of this Part and is compatible with electronic data software used by the Secretary.

b) The appointee shall file a disclosure for all contracts the appointee, his or her spouse, or immediate family members living with the appointee have with the State and all contracts between the State and any entity in which the appointee or his or her immediate family members living with the appointee have a majority financial interest.

History

Source: Added at 29 Ill. Reg. 8908, effective June 10, 2005

Chapter III Secretary of State

Part 565 Statements of Economic Interests

2 Ill. Adm. Code 565.40 Requests for Extensions

a) All requests for extensions shall be submitted in writing to the Secretary of State Index Department at 111 E. Monroe Street, Springfield, Illinois 62756. Requests shall include any documentation in support of the filer's reason, including, but not limited to, a physician's note or a receipt of mailing.

b) Pursuant to Gubernatorial Disaster Declaration No. 2020-038 issued on March 9, 2020 and any subsequent COVID-19 disaster proclamations, and Executive Order No. 2020-08 issued March 17, 2020 and any subsequent extension of that Executive Order, the provisions of Article 4A of the Illinois Governmental Ethics Act [5 ILCS 420/4A] and Section IV of Executive Order 2015-09, providing for the filing of statements of economic interests, are suspended during the duration of the Gubernatorial Disaster Proclamation and for 30 days following its termination.

History

Source: Amended at 44 Ill. Reg. 13744, effective August 4, 2020

2 Ill. Adm. Code 565.50 Reasons for Which Extensions Will Be Granted

The Department will extend the filing deadline for 30 days, or longer if the Department deems a longer period is required by the circumstances, beyond the filer's due date for the following reasons:

a) Death or hospitalization of an immediate family member;

b) Hospitalization or serious illness of the filer;

c) Filer was on sabbatical during the original filing period;

d) Filer did not receive the form due to an incorrect address;

e) Other reasons within the discretion of the Department. This provision shall be narrowly construed.

2 Ill. Adm. Code 565.60 Reasons for Which Extensions Will Not Be Granted

The Department will not extend the filing deadline for the following reasons:

a) Filer delegated the duty to an individual who failed to file on behalf of the filer for any reason;

b) Filer claims that the Statement was mailed in a timely manner, yet cannot provide proof of mailing (this includes U.S. mail, overnight service, and inter-office mail);

c) Filer was ill, but has no documentation from a physician;

d) Other reasons within the discretion of the Department. The Department's refusal to grant a filing extension is not subject to appeal.

2 Ill. Adm. Code 565.70 Failure to File Upon Receipt of Extension

Statements of Economic Interests not filed within the extended filing period shall be subject to the statutory penalties of:

a) $15 for forms filed within 15 days after the extended filing deadline;

b) $15, plus $100 per day, for forms filed more than 15 days after the extended filing deadline.

2 Ill. Adm. Code 565.APPENDIX A Disclosure of Appointee Interest in State Contracts

DISCLOSURE OF APPOINTEE INTEREST

IN STATE CONTRACTS

TO BE FILED WITH THE SECRETARY OF STATE

Secretary of State Index Department − Ethics Section

111 East Monroe, Springfield IL 62756

Appointee's Name:

Mailing Address:

Date of Appointment

(This date must be completed)

City, State, Zip:

Name and type of organization for which this disclosure is being filed:

Board

Commission

Authority

Task Force

GENERAL DIRECTIONS

Pursuant to 5 ILCS 420/3A.30, upon appointment to a board, commission, authority, or task force authorized or created by State law, a person must file with the Secretary of State a disclosure of all contracts the person or his or her spouse or immediate family members living with the person have with the State and all contracts between the State and any entity in which the person or his or her spouse or immediate family members living with the person have a majority financial interest.

Below list all contracts with the State of Illinois in effect on or after the date of appointment.

(If additional space is needed, please attach supplemental listing.)

Name of individual or entity

contracting with the State of Illinois:

Name of State agency or department

the contract is with:

VERIFICATION

"I declare that this disclosure statement (including any supplemental listing) has been examined by me and to the best of my knowledge and belief is a true, correct and complete statement of any contracts that I am required to identify pursuant to the Illinois Governmental Ethics Act. I understand that the penalty for willfully filing a false or incomplete statement shall be a business offense punishable by a fine of $1,001.

It is further understood that an unlawful conflict of interest may arise if, as an appointee, I, my spouse, or immediate family member living in my residence has or acquires a contract or has or acquires a direct pecuniary interest in a contract with the State that relates to the board, commission, authority or task force of which I am an appointee during and for one year following the conclusion of my term of office."

(Signature of Appointee Making the Statement)

(Date)

History

Source: Added at 29 Ill. Reg. 8908, effective June 10, 2005

Chapter III Secretary of State

Part 570 Electronic Filing of Documents

2 Ill. Adm. Code 570.10 Definitions

"Electronic document" means data transmitted to the Secretary of State through an electronic medium including, but not limited to, disks, tapes, and the internet.

"Facsimile document" means a paper document transmitted to the Secretary of State via facsimile, the signature on which is prima facie evidence for all purposes that the document was signed by the person whose signature appears on the facsimile. [15 ILCS 305/15]

"Internet" means a nonproprietary, public computer network.

2 Ill. Adm. Code 570.20 Accepted Electronic and Facsimile Documents

Each department within the Office of the Secretary of State has the authority to determine which of its documents may be filed electronically (and the appropriate electronic medium) or by facsimile.

2 Ill. Adm. Code 570.30 Where to Send Electronic or Facsimile Filings

Electronic and facsimile documents shall be transmitted to the appropriate department within the Office of the Secretary of State.

2 Ill. Adm. Code 570.40 Duties of Electronic and Facsimile Filers

Electronic and facsimile filers shall ensure that documents are filed in sufficient time to meet statutory deadlines. The receipt date of the electronic or facsimile transmission will constitute the receipt date of the document if it is acknowledged as accepted by the Secretary of State.

2 Ill. Adm. Code 570.50 Payment of Fees

The filer is responsible for the payment of any fees to the Secretary of State in relation to the electronic or facsimile document. A document required to be accompanied by a fee may not be deemed accepted or filed until payment is received.

2 Ill. Adm. Code 570.55 Acceptable Electronic Payment

The following electronic payment methods may be used for electronic or facsimile documents requiring the attachment of fees:

a) Automated Clearing House;

b) Payment Cards; or

c) Money Wire.

2 Ill. Adm. Code 570.60 Retention of Records

Persons who file documents with the Secretary of State via facsimile or electronically shall maintain paper or electronic records for the time periods required by the statute under which the document is filed.

Chapter IV Attorney General

Part 575 Rulemaking and Organization

2 Ill. Adm. Code 575.100 Rulemaking Procedure

In accordance with Section 5-15 of the Illinois Administrative Procedure Act [5 ILCS 100] (IAPA), the Attorney General promulgates the following rule setting forth the Office's rule making procedure.

a) Proposed rules or amendments to rules shall be prepared by division chiefs and submitted to the Deputy Attorney General and Administrative Counsel with a memorandum containing:

the text of the proposed rule or the old and new material of a proposed amendment to an existing rule or the text of a rule proposed to be repealed;
the specific statutory citation upon which the proposed action is based; and
a description of the subjects and the issues involved, including the reasons for the proposed action.

b) The Deputy Attorney General and Administrative Counsel shall forward the proposed rule and memorandum to the Attorney General and the Chief of Staff with their recommendations.

c) If the Attorney General approves the proposed action, the Rules Coordinator shall submit the proposed change to the Secretary of State for publication in the Illinois Register. The notice to the Secretary of State shall include the time, place and manner in which the interested persons may present their views and comments concerning the intended action, including the date, place and time for any proposed hearings on the rule.

d) The notice procedures do not apply to the following rules, which are required by Section 5-15(a) of the IAPA:

The current description of the Attorney General's organization or the necessary charts depicting that organization.
The current procedure on how the public can obtain information or make submissions or requests on subjects, programs and activities of the Attorney General's office.
The current description of the Attorney General's rulemaking procedures or the necessary flow charts depicting those procedures.

e) Any interested person may petition the Attorney General or any division chief for the promulgation, amendment or repeal of a rule. Petitions must be written and may be in the form of a letter or a document entitled "Petition for Adoption of a Rule". The petition shall include the text of the proposed rule or amendment or a citation to the rule that is to be repealed, together with the reasons for the proposed rule or amendment. The division chief shall take the necessary action to prepare proposed changes, either as set forth in the petition or as modified, so that the office may initiate a rulemaking proceeding in accordance with subsections (a), (b) and (c), within 30 days after receipt of the petition. If a division chief believes that the proposed action should be denied, he or she shall inform the petitioner and the Attorney General within 30 days.

History

Source: Amended at 41 Ill. Reg. 15807, effective December 12, 2017

2 Ill. Adm. Code 575.205 Introduction

In accordance with Section 5-15 of the IAPA, the Attorney General promulgates the following rules setting out the current description of the organization of the Office of the Attorney General.

History

Source: Amended at 41 Ill. Reg. 15807, effective December 12, 2017

2 Ill. Adm. Code 575.210 The Office of Attorney General

The Attorney General, whose office is established by Section 14 of Article V of the Illinois Constitution of 1970, is the chief legal officer of the State. The Attorney General is charged with a wide variety of duties and responsibilities by the Constitution, statutes, common law and court decisions. Among those are the duties to act on behalf of the best interests of the general public in the name of the people of the State of Illinois and to act as the attorney for the State and for the Governor and other elected and appointed State officers.

History

Source: Amended at 41 Ill. Reg. 15807, effective December 12, 2017

2 Ill. Adm. Code 575.220 Offices

The main offices of the Attorney General are located in the State capital at 500 South Second Street, Springfield, Illinois 62701; at 115 South LaSalle Street, Chicago, Illinois 60603; and at 1745 Innovation Drive, Carbondale, Illinois 62903. The Attorney General has also established satellite offices, principally for the purpose of handling consumer protection matters. A list of the current offices is available upon request.

History

Source: Amended at 48 Ill. Reg. 3412, effective February 22, 2024

2 Ill. Adm. Code 575.230 Chief of Staff

The Attorney General appoints a Chief of Staff to serve at his or her pleasure. The Chief of Staff may act for the Attorney General in all matters related to legal services, administration and policy development and is directly responsible to the Attorney General.

History

Source: Amended at 41 Ill. Reg. 15807, effective December 12, 2017

2 Ill. Adm. Code 575.240 Chief Deputy Attorney General

The Attorney General appoints a Chief Deputy Attorney General to serve at the Attorney General's pleasure. The Chief Deputy Attorney General may act for the Attorney General in all matters related to legal services and public protection.

History

Source: Amended at 41 Ill. Reg. 15807, effective December 12, 2017

2 Ill. Adm. Code 575.250 Divisions of the Office (repealed)

History

Source: Repealed at 41 Ill. Reg. 15807, effective December 12, 2017

2 Ill. Adm. Code 575.260 Assistant Attorneys General

The Attorney General appoints Assistant Attorneys General, who are assigned to one of the main offices or a satellite office. The Attorney General also appoints Special Assistant Attorneys General, who are assigned to specific operational functions in prescribed geographic areas. Assistants are responsible to a designated division or bureau chief.

History

Source: Amended at 41 Ill. Reg. 15807, effective December 12, 2017

2 Ill. Adm. Code 575.270 Description of Organization of the Office of the Attorney General

A chart depicting the organization of the office is located in Appendix A.

History

Source: Amended at 41 Ill. Reg. 15807, effective December 12, 2017

2 Ill. Adm. Code 575. APPENDIX A Organization Chart

2 Ill. Adm. Code 575.APPENDIX B Rulemaking Procedure Flow Chart

ATTORNEY GENERAL

and CHIEF OF STAFF

DEPUTY ATTORNEY GENERAL, CIVIL LITIGATION and ADMINISTRATIVE COUNSEL

RULES COORDINATOR

PUBLICATION OF RULE

DIVISION CHIEF

BUREAU CHIEF

PROPOSAL OF RULE

History

Source: Amended at 41 Ill. Reg. 15807, effective December 12, 2017

Chapter IV Attorney General

Part 576 Compliance with the Freedom of Information Act

2 Ill. Adm. Code 576.110 Purpose

These rules are established to implement the Freedom of Information Act [5 ILCS 140] within the Office of the Attorney General. The purpose of these rules is to support the policy of providing public access to public records in the custody of the Office of the Attorney General while also protecting legitimate interests in privacy and confidentiality and maintaining the efficient operation of the Office of the Attorney General.

2 Ill. Adm. Code 576.120 Definitions

"FOIA" means the Freedom of Information Act [5 ILCS 140].

"Freedom of Information Officer" or "FOI Officer" means an individual or individuals responsible for receiving and responding to requests for public records.

"Office" means the Office of the Attorney General.

"Requester" means a person who submits a request for public records in accordance with this Part.

2 Ill. Adm. Code 576.210 Requests for Records

a) A request for access to public records for inspection and copying shall be submitted in writing to the FOI Officer at the Office of the Attorney General. Requests for public records may be submitted online through the Office of the Attorney General's Public Records Center at https://www.illinoisattorneygeneral.gov/open-and-honest-government/foia/. Requests for public records may also be submitted by mail, e-mail, hand delivery or facsimile, directed to the FOI Officer, as follows:

FOI OFFICER

Office of the Illinois Attorney General

500 South Second Street

Springfield, Illinois 62701

(217) 785-9266 (telephone)

(217) 782-8827 (facsimile)

FOIAOfficer@ilag.gov (e-mail)

b) The request must describe the public record or records sought, being as specific as possible. If the description is not sufficiently clear to allow easy identification of the records sought, the requester may be asked to supply additional necessary information.

c) Pursuant to Section 5-15 of the Illinois Administrative Procedure Act [5 ILCS 100/5-15], requests for copies of Office of the Attorney General rules are not to be considered requests subject to FOIA procedures.

d) The requester shall indicate whether the public record is being obtained for a commercial purpose.

History

Source: Amended at 48 Ill. Reg. 3416, effective February 22, 2024

2 Ill. Adm. Code 576.310 Response to Requests for Records

a) Unless otherwise authorized under FOIA, the FOI Officer shall respond to a written request for public records within 5 business days after receipt of the request.

b) If, for one or more reasons provided in Section 3(e) of FOIA, the request cannot be responded to within 5 business days, the FOI Officer shall have an additional 5 business days in which to respond. Within the initial 5 business-day period, the FOI Officer shall give the requester written notice of the extension of time to respond. The notice shall set forth the reasons why the extension is necessary.

c) When a request for public records has been approved, the Office of the Attorney General may:

provide copies of the requested materials;
give notice that the requested material will be made available upon payment of reproduction costs, if any; or
give notice of the time and place for inspection of the requested material.

d) A denial of a request for public records shall be made in writing. It shall state the reasons for the denial, including a detailed factual basis for the application of any exemption claimed, and the names and titles or positions of individuals responsible for the decision. The notice of denial shall also inform the requester of the right to review by the Public Access Counselor established in the Office of the Attorney General and the requester's right to judicial review under Section 11 of FOIA. Categorical requests creating an undue burden on the Office of the Attorney General shall be denied only after extending to the requester an opportunity to confer with the FOI Officer in an attempt to reduce the request to manageable proportions.

e) Failure to respond to a written request within 5 business days may be considered by the requester as a denial of the request.

f) When a request for public records includes some requested material that will be made available and other requested material that will not, the FOI Officer shall approve part of the request by following the procedures set forth in subsection (c) with respect to the requested material that will be made available, and shall deny part of the request by following the procedures set forth in subsection (d) with respect to those documents which are not available for reproduction or inspection.

g) The FOI Officer shall respond to a request for public records for a commercial purpose within 21 business days after receipt of the request. Such response shall be in the form indicated in subsections (c), (d) or (f), as appropriate. The response shall also provide the requester with an estimate of the time required to provide the records and an estimate of the fees to be charged pursuant to the fee provisions of Section 6(f) of FOIA as necessary.

2 Ill. Adm. Code 576.320 Inspection of Public Records

a) All public records in the custody of the Springfield, Chicago or Carbondale office or any regional office of the Attorney General, which are subject to inspection pursuant to FOIA, will be made available for inspection during normal office hours at the office where those records are maintained or at another office agreed to by both the Office of the Attorney General and the requester by appointment only, scheduled subject to space and time availability. No original record shall be removed from the Office of the Attorney General. In order to maintain routine Office operations, the requester will have access only to the designated inspection area. Inspection of public records shall be made under the supervision of the FOI Officer or his or her designee.

b) Documents which the requester wishes to have copied shall be segregated during the course of the inspection. Generally, all copying shall be done by employees of the Office of the Attorney General.

c) An Office of the Attorney General employee shall be present throughout the inspection.

Chapter IV Attorney General

Part 576 Compliance with the Freedom of Information Act

2 Ill. Adm. Code 576.330 Copies of Public Records – Fees

a) Copies of public records not exempt from disclosure under FOIA will be provided unless the requester makes arrangements to personally inspect the public records as provided in Section 576.320. The first 50 pages of black and white letter or legal sized copies are provided free of charge. The Office of the Attorney General reserves the right to charge fees to reimburse its actual costs for reproducing public records exceeding 50 pages and copies in color or in a size other than letter or legal, as allowed by FOIA.

b) If the Office of the Attorney General incurs extraordinary shipping expenses for sending copies of public records to the requester, the Office of the Attorney General reserves the right to seek reimbursement of those actual shipping expenses from the requester.

c) Fees may be waived or reduced in any case in which the FOI Officer determines that the waiver serves the public interest. Payment of fees shall be waived if the requester is a State agency, a constitutional officer or a member of the General Assembly.

d) When requested, the FOI Officer shall provide copies of public records appropriately certified as to their authenticity and accuracy. Fees for certification of public records shall be assessed in accordance with FOIA. Payment of fees shall be waived if the requester is a State agency, a constitutional officer or a member of the General Assembly. Fees may be waived whenever the FOI Officer determines that waiver of fees serves the public interest.

2 Ill. Adm. Code 576.340 Materials Immediately Available

Detailed information about the Office of the Attorney General is publicly and immediately available at the Office's website: www.illinoisattorneygeneral.gov. The Office's website provides a description of the Office of the Attorney General's responsibilities, organizational structure, categories of public records and process for obtaining public records. Public records immediately available on the website include official opinions of the Attorney General, binding opinions of the Public Access Counselor established in the Office of the Attorney General, press releases issued by the Office of the Attorney General and brochures and other publications of the Office of the Attorney General.

Chapter V Auditor General

Part 600 Public Information, Rulemaking, Organization and Personnel

2 Ill. Adm. Code 600.10 Procedures for the Public to Obtain Information

Procedures for the public to obtain information are contained in 74 Ill. Adm. Code 420.Subpart G (Maintenance of Information) and in 2 Ill. Adm. Code 601 (Freedom of Information), which are incorporated herein by reference.

2 Ill. Adm. Code 600.110 Introduction

a) Subject

This Subpart describes the internal rulemaking procedures of the Office of the Auditor General.

b) Authority

The authority for this Subpart is found in:

The Illinois State Auditing Act (Ill. Rev. Stat. 1991, ch. 15, pars. 302-12(a) and 303-7(g)(1)) [30 ILCS 5/2-12(a) and 5/3-7(g)(1)]; and
The Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-15) [5 ILCS 100/5-15].

c) Incorporations

The following materials are incorporated by reference and made a part of this Subpart:

74 Ill. Adm. Code 440, Subpart A.Standards of Construction for Rules; and
74 Ill. Adm. Code 440, Subpart B.Definitions.

2 Ill. Adm. Code 600.120 Rulemaking Procedures

a) Description of Rulemaking Procedures

Rulemaking procedures may be initiated three ways:

A) Rulemaking required by legislative or other governmental acts;

B) Rulemaking initiated by recognition of a necessary rule by the audit or administrative functions of the office; and

C) A petition from parties outside the office for the office to undertake rulemaking in a particular area.

All rulemaking, when initiated, is referred to Legal Counsel for the purpose of drafting a proposed rule. After the rule is drafted, it is circulated in-house for comments. After comments have been made, the draft is analyzed by Legal Counsel and other appropriate parties for revision. The revised draft is then adopted as a proposed rule and published, processed, evaluated, revised, adopted and filed as a rule pursuant to the requirements of the Illinois Administrative Procedure Act and the Illinois State Auditing Act.

b) Flow Chart of Rulemaking Procedures

The Flow Chart of Rulemaking Procedures is found in Section 600.Appendix A of this Part.

2 Ill. Adm. Code 600.210 Introduction

a) Subject

This Subpart sets out the organization of the Office of the Auditor General.

b) Authority

The Authority for this Subpart is found in:

The Illinois State Auditing Act (Ill. Rev. Stat. 1991, ch. 15. par. 302-12(a)) [30 ILCS 5/2-12(a)]; and
The Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-15) [5 ILCS 100/5-15].

c) Incorporations

The following materials are incorporated by reference and made a part of this Subpart:

74 Ill. Adm. Code 440.Subpart A, Standards of Construction for Rules; and
74 Ill. Adm. Code 440.Subpart B, Definitions.

2 Ill. Adm. Code 600.220 Description of Organization of Office of the Auditor General

The Office of the Auditor General is organized as shown in Appendix B for the conduct of the responsibilities mandated by the Illinois State Auditing Act.

Chapter V Auditor General

Part 600 Public Information, Rulemaking, Organization and Personnel

2 Ill. Adm. Code 600.610 Introduction

a) General

Subject

This Subpart establishes the basic policies governing personnel in the Office of the Auditor General.

Equal Employment

The Office of the Auditor General does not discriminate against any individual on any unlawful basis, including race, color, religion, sex, sexual orientation, age, marital status, physical or mental disability, national origin, citizenship status, arrest record, political affiliation, ancestry, military status or unfavorable discharge from military service.

Scope

All payroll employees of the Office of the Auditor General are subject to the provisions of this Subpart.

b) Definitions

"Auditor General" means the Auditor General of the State of Illinois.

"Certified Employee" means an employee who has satisfactorily completed a required period of probation and attained certified status in any position during the employee's most recent period of continuous service with the Office.

"Certified Status" means status achieved through the completion of a probationary period.

"Deputy Auditor General" means the Deputy Auditor General of the State of Illinois.

"Director" means a designated head of an organizational unit as reflected in the organizational chart in Appendix B. When appropriate, the term "director" includes the Auditor General and Deputy Auditor General.

"Executive Employee" means a Director, a Legal Counsel, the Assistant to the Auditor General, and other employees as designated in their position descriptions.

"Gift Ban Law" means Article 10 of the State Officials and Employees Ethics Act [5 ILCS 430].

"Immediate Family" means spouse, civil union partner, domestic partner, parents, mother-in-law, father-in-law, stepparents, children, stepchildren, siblings, grandparents, grandchildren, and other persons who abide within the same household. For bereavement purposes, the term also includes niece, nephew, aunt, uncle, brother-in-law, sister-in-law, son-in-law and daughter-in-law.

"Office" means Office of the Auditor General.

"Probationary Employee" means an employee serving a probationary period after initial hiring from outside the Office.

"Probationary Period" means a period of approximately 6 calendar months preceding receipt of notice of certification and after initial hiring from outside the Office or of approximately 4 months after appointment to a position within the Office in which the employee has not previously been certified. Probationary periods of longer duration may be imposed as provided in this Subpart.

"State Auditor" means a State payroll employee of the Office who has been authorized by the Auditor General to conduct audits, investigations and studies and who has been appointed State Auditor in accordance with this Subpart.

History

Source: Amended at 44 Ill. Reg. 5873, effective April 1, 2020

2 Ill. Adm. Code 600.614 Position Classification and Compensation

a) Position Classification

Organizational Structure: The organizational structure of the Office shall be as established by the Auditor General and maintained on file.
Positions and Service: The establishment and abolition of positions and duties shall be at the discretion of the Auditor General. All employees serve at the discretion of the Auditor General subject to the employee rights established by this Subpart.
Classification Plan: The Auditor General shall maintain, and revise when necessary, a uniform position classification plan for positions necessary to carry out the duties of the Office. The classification plan shall be based on the similarity of duties and responsibilities assigned so that the same schedule of pay may be equitably applied to all positions within a classification, under the same or substantially the same employment conditions. Employees shall be classified by position and each position classification shall be governed by a formal, written position description approved by the Auditor General. Any change in salary or any change to a position description impacting an employee incumbent in that position shall be recorded as a personnel transaction.
Allocation: It is the responsibility of each Director to report any significant changes in the duties of any position within the organizational unit. At the request of a Director, a survey, audit, or other investigation as may be deemed necessary by the Director shall be made to determine the proper allocation of any position to a classification. Upon written request of an employee, an investigation as may be deemed necessary by a Director shall be made to determine the proper allocation of the employee's position. It shall be the responsibility of the Director of the organizational unit in which the position is located to notify the employee of the determination concerning the proper allocation of his or her position.
Reconsideration:

A) Within 30 days after receiving notice of the decision, the employee may make a request in writing of the Director for reconsideration of the decision. Thereafter, the Director shall reinvestigate the duties and responsibilities of the position and, if necessary, of related positions. The employee shall be given a reasonable opportunity to be heard.

B) After the re-investigation, the Director shall render a decision in writing and it shall be served on the employee in person or by certified mail, return receipt requested, at the employee's last address shown in the personnel file. The effective date of the reconsidered decision shall be the effective date of the allocation decision giving rise to the reconsideration request.

C) An employee wishing to appeal the reconsidered decision shall be entitled to a hearing by the Grievance Review Committee in accordance with the procedures established in Section 600.670 of this Part.

Assignments to other Classifications: An employee whose position has been allocated to a classification having a higher, lower, or same maximum permissible salary or rate may remain in the position, provided however that the Director shall determine in the case of allocation to a class having a higher maximum salary or rate whether, considering the nature of the change in duties, the employee is qualified for the position.
Revised Class Requirements: When requirements for a classification are revised and the duties and responsibilities of positions comprising the classification remain essentially unchanged, incumbents in these positions who qualified under the previous requirements for the classification will be considered qualified.

b) Compensation Plan

Establishment of Plan: The Auditor General shall establish and maintain a Pay Plan for all employees. The Pay Plan shall designate a salary range for each position classification. The salary for any particular position shall be fixed by the Auditor General within the designated salary range and based, in his discretion, on the duties, responsibilities and work requirements of that position as they relate to the total duties, responsibilities and work requirements of the Office.
Provisions of the Pay Plan: The Pay Plan shall provide for starting rates of pay, and the time and manner in which subsequent changes of salary may be made. The rate each employee is to be paid shall be set forth in appropriate documents contained within his or her personnel file. The Pay Plan may also include other provisions not inconsistent with law to assist in the administration of good personnel practices for the Office.

History

Source: Amended at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.618 Application and Appointment

a) Applications for Employment

Notice: Positions shall be advertised in the offices by posting unless the Auditor General directs otherwise. Other recruitment methods may be used as deemed appropriate.
Submission of Application

A) Persons seeking employment must submit an application, resume or other document demonstrating education and experience.

B) Employees seeking positions within the Office must apply in writing to the Director of the organizational unit in which the desired position is located.

Screening of Applicants

A) Interviews: Directors or their designees are responsible for screening applications for positions. Interviews may be conducted as part of the screening process.

B) Examinations: The Auditor General may require applicants to take examinations as a means to assess knowledge, skills and the ability to perform the duties of the position.

Criteria for Selection

A) Selection may be based on education, experience, interviews, references, and examinations, if conducted. Other factors such as experience within the Office may also be considered.

B) Pre-employment screening of applicants, including but not limited to performance tests, job knowledge tests, personality inventory or other psychological tests, background checks and routine reference verifications, may be performed at the direction of a Director if job related and done in compliance with applicable federal or State statutes and regulations.

C) If, following the screening process, the Director desires to place an applicant in a position, the Director shall submit his or her recommendation to the Auditor General for final action.

D) A central file of all applicants who applied for or were considered for a position, along with appropriate supporting materials, will be maintained for a minimum of three years from the date the position is filled or a decision to not fill the position is made.

b) Appointment

The Auditor General shall notify applicants in writing of their appointment to a position. The notification shall state the position classification, work location, starting salary, and the beginning date of employment in the position. Appointments become effective upon the applicant's reporting for work at the place and time designated in the notification.
Types of Appointments: The following types of appointments may be made by the Auditor General:

A) Probationary Employees: All appointments for newly hired employees shall be subject to the employee's performance through two (2) consecutive performance appraisals of approximately three (3) months each and receipt of notification that the employee has been certified in the position to which appointed. The six (6) month probationary period may be extended up to six (6) additional months by mutual agreement of the parties. At any time during their probationary period, newly hired employees may be discharged without notice, cause or any right to a hearing.

B) Certified Employees: Employees successfully completing a probationary period shall be appointed to certified status. Appointment to certified status shall be effective upon receipt of written notice from the Auditor General or his designee.

C) Permanent Part Time Employees: Employees authorized by the Auditor General to perform duties and responsibilities on a regular but less than full-time basis shall be appointed to permanent part-time status. Permanent part time employees shall receive compensation and benefits, if eligible, at a pro-rated proportion of that received by full time employees in that classification.

D) Acting Status: An employee assigned to acting status for any position shall, at the Auditor General's discretion, be paid in accordance with the salary range allocated to the position and the responsibilities incurred as a result of the acting assignment; provided, however, that the payment shall not be lower than the employee's base salary immediately prior to his or her acting assignment. An employee removed from acting status shall be returned to the same or similar position which he or she held prior to the acting status appointment. The employee's salary shall be not less than his or her salary at the time he or she was appointed to the acting status.

E) Executive Employees: Executive Employees serve at the discretion of the Auditor General and may be discharged or demoted at any time without notice, cause or any right to a hearing.

State Auditors: In addition to any other type of status, employees may be appointed as State Auditors at the discretion of the Auditor General.

A) Appointment to Status of State Auditor: The Auditor General shall appoint an employee to the status of State Auditor only upon the recommendation of a Director and the employee's successful completion of any required training course. The Auditor General shall instate employees as State Auditors by signing their credentials and placing them in their custody.

B) Removal: The Auditor General may remove an employee from State Auditor status. An employee who is terminated is automatically removed from the status of State Auditor. An employee who is removed from the status of State Auditor shall immediately return his or her credentials to a Director or to the Auditor General.

C) Reinstatement: The Auditor General may reinstate an employee to State Auditor status by returning the credentials to the employee.

History

Source: Amended at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.622 Work Schedule and Attendance

a) The Auditor General shall establish and maintain on file a schedule of working hours for the Office.

b) The Office shall maintain daily attendance records.

c) An employee shall, whenever possible, provide advance notice of absence from work. For those positions specified in the Pay Plan, any time away from scheduled work hours that is not specifically authorized, including tardiness and early departure, shall constitute cause for a deduction from pay. Absence of an employee for five (5) consecutive workdays without reporting to the appropriate Director may be cause for discharge. Excessive absenteeism that is not considered a serious health condition under the Family and Medical Leave Act will lead to disciplinary action, up to and including termination.

d) In the event of an emergency shutdown caused by a condition beyond the agency's control, such as equipment failure, fire, flood, snow, tornado or other natural disaster, the agency will notify affected employees. The agency will attempt to reassign affected employees to alternative work locations during the period the facility is shut down. For employees the agency is unable to reassign, time in non-work status as a result of the emergency shut down is with pay. Those employees on approved sick leave or vacation at the time of shut down shall be reported in accordance with the prior approved absence.

History

Source: Amended at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.626 Continuous Service

a) Definition:

Continuous service is the uninterrupted period of service from the date of original appointment to State service.
Employees who have previous State service which qualified for earning of vacation benefits shall be given credit for that service, as determined by the Office or as required by law.

b) Interruptions in Continuous Service: Continuous service shall be interrupted by:

Resignation; provided, however, that continuous service will not be interrupted by resignation when an employee is employed in another position in State service within four (4) calendar days of resignation;
Discharge; provided, however, continuous service shall not be interrupted if the employee is retained in the position after a hearing before the Grievance Review Committee or other administrative review process, or by a court; and
Termination; because an employee has not been reemployed within 1 year after layoff.

c) Deductions from Continuous Service: Except as provided in subsection (f) below, the following shall be deducted from, but shall not interrupt, continuous service:

Time away from work for any leave of absence without pay totaling more than thirty (30) days in any twelve-month period;
Time away from work because of disciplinary suspensions totaling more than thirty (30) days in any twelve-month period;
Time away from work because of indeterminate layoff.

d) Veterans Continuous Service: Leaves of absence shall be granted to all employees who leave their positions and enter military service for five (5) years or less (exclusive of any additional service imposed pursuant to law). An employee shall be restored to the same or similar position on making an application within 90 days after separation from active duty or from hospitalization or convalescence continuing after discharge of not more than two years. The employee must provide evidence of satisfactory completion of training and military service when making application and be qualified to perform the duties of the position. Continuous service and reemployment rights for veterans subject to federal law shall be as provided in the Uniformed Services Employment and Reemployment Rights Act (38 USC 4301-4333).

e) Peace Corps or Job Corps Enrollees Continuous Service: Any employee who volunteers and is accepted for service in the overseas or domestic Peace Corps or Job Corps shall be given a leave of absence from his or her State employment for the duration of his or her initial period of service and be restored to the same or similar position provided that the employee returns to his or her employment within ninety (90) days of the termination of his or her service or release from hospitalization from a service Peace Corps or Job Corps connected disability.

f) Accrual and Retention of Continuous Service During Certain Leaves: During an absence for family and medical, educational, administrative, military, Peace Corps or Job Corps, disaster service volunteer or service-connected disability leaves, an employee shall retain and accrue continuous service provided appropriate application and return is made as required by this Subpart.

History

Source: Amended at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.630 Personnel Records and Performance Reviews

a) Personnel Records

A personnel file shall be established for each employee upon his or her entry into employment and shall be maintained by the custodian designated by the Auditor General. When the following records are maintained, they must be maintained in the personnel file:

A) Applications for employment, letters of recommendation, resumes and school transcripts

B) Offers and acceptances of employment

C) Employee information cards

D) Personnel transaction forms

E) Written commendations and disciplinary actions

F) Annual and probationary performance appraisals

Records not otherwise confidential are not made confidential because of their inclusion in the personnel file.
An employee is entitled to view his or her personnel file during working hours with reasonable notice to the custodian. The records may be inspected only in the presence of an authorized employee. Certain records in the personnel file, in accordance with the law, may be withheld from the employee's inspection. In addition, personnel files may be viewed by the Auditor General, a Deputy Auditor General, the custodian and other employees, at the discretion of the Auditor General, on a need-to-know basis only.
An employee shall be notified of any additions to or deletions from his or her personnel file. If an employee disagrees with any information contained in a personnel record, the employee may submit a written statement explaining his or her position for inclusion in the personnel file.
Performance records shall constitute material in an employee's personnel file which is relevant to determining the appropriateness of proposed or recommended personnel transactions.
Performance records shall be considered in all cases, unless excepted by this Subpart, of promotion, demotion, discharge, layoff, reinstatement, merit salary increases and certification. In considering any potential change in an employee's current status, the employee's most recent performance records may be given greater weight than the employee's earlier performance records.

b) Performance Evaluations: Performance records shall include an evaluation of employee performance prepared at least annually on prescribed forms. Executive employees shall be evaluated in the time and manner prescribed by the Auditor General.

For an employee serving a six (6) month probationary period, two evaluations shall be prepared and submitted to the personnel file custodian – one at the end of the third month of the employee's probationary period and another before the conclusion thereof. If the probationary period is extended as provided in Section 600.634, the number and timing of performance evaluations during the extended period will be determined by the Office at the time of extension.
For an employee serving a four (4) month probationary period as a result of a promotion, one evaluation shall be prepared and submitted to the personnel file custodian before the conclusion thereof. If the probationary period is extended as provided in Section 600.634, the number and timing of performance evaluations during the extended period will be determined by the Office at the time of extension.
Additional performance evaluations of individual employees may be conducted as deemed necessary.
Employees shall be required to sign all evaluation forms to indicate they have read the evaluation and it has been discussed with them.

History

Source: Amended at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.634 Probationary Status

a) Probationary Period:

A probationary period of approximately six (6) months shall be served by a full-time employee who is newly hired from outside the Office. The six (6) month probationary period may be extended up to six (6) additional months by mutual agreement of the parties.
A probationary period of approximately four (4) months shall be served by a full-time employee who is promoted. The four (4) month probationary period may be extended up to two (2) additional months by mutual agreement of the parties. A probationary employee transferred during the probationary period shall serve that portion of the probationary period which was not completed at the time of the transfer.
The length of a probationary period for a newly-hired permanent part-time employee or a promoted permanent part-time employee shall be determined on a case-by-case basis at the time of hiring or promotion.
If an employee is absent from work for more than fifteen (15) calendar days during the probationary period, the probationary period shall be extended by the length of the absence.
Probationary employees who have not attained certified status shall have no right to grievance procedures with regard to termination, demotion or any other employment action.

b) Certified Status: A probationary employee shall attain certified status only after successful completion of a probationary period and receipt of notice of certification from the Auditor General or his designee.

History

Source: Amended at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.638 Promotion

a) Definition: A promotion is the appointment of an employee to a position in a classification with a higher maximum permissible salary than the former classification.

b) Promotions from Within: Whenever possible and desirable, position vacancies in the Office will be filled from within. If an outside applicant and an internal applicant are equally qualified for a position, the employee may be given preference.

c) Salary Increases Resulting from Promotion: Upon promotion, the salary of an employee shall be as provided in the Pay Plan.

d) Failure to Complete Probationary Period:

A promoted, certified employee who fails to satisfactorily complete the probationary period in the promoted position because of inability to perform the duties and responsibilities of the promoted position shall be returned to a position in the classification from which promoted without the appeal rights specified in Section 600.670 of this Part.
A promoted employee who has been previously certified in any position within the Office may be discharged during the probationary period and, in such event, the employee has the same rights to appeal as a certified employee.
No probationary employee shall be promoted unless the employee has previously held certified status during his or her current period of continuous service.

History

Source: Amended at 28 Ill. Reg. 14457, effective December 1, 2004

2 Ill. Adm. Code 600.642 Employee Transfer

a) Definition: A transfer is the assignment of an employee to a position whose classification has the same maximum permissible salary as the former classification.

b) Intra-Agency Transfer: An employee may be transferred to a position involving similar qualifications, duties, responsibilities, and salary range in another division, section, or other unit within the Office. Transfers may be made by the Auditor General, as he deems necessary or desirable, in his sole discretion.

c) Geographical Transfer: Geographical transfer is the transfer of an employee, for the convenience of the employer, between the Chicago and Springfield offices for the performance of duties other than temporary assignments or details. An employee who refuses to accept a geographical transfer must report for duty at the new location but may make written appeal of such transfer to the Grievance Review Committee in accordance with the procedures established in Section 600.670 of this Part. An employee shall be reimbursed for all reasonable transportation and moving expenses incurred in moving to a new location because of permanent geographical transfer unless such transfer was requested by the employee.

d) Rights of Transferred Employees: A transferred employee shall retain status, continuous service, and all accrued benefits.

e) Transfer of Duties: When the duties of a position are relocated by transfer or by abolition and reestablishment and when said duties are substantially the same, an incumbent employee may elect to relocate and retain the duties of the position.

2 Ill. Adm. Code 600.646 Demotion

a) Definition:

Demotion is the assignment of an employee to a position in a classification having a lower maximum permissible salary than the former classification, made for reasons of inability to perform the work of the position from which the demotion was made.
A Director may initiate demotion of an employee by submitting a written statement of reasons for demotion containing sufficient facts to show good cause for the demotion. No demotion shall become effective without the prior approval of the Auditor General.

b) Notice to Employee: If the statement of reasons for demotion of a certified employee is approved by the Auditor General, a copy of the approved statement of reasons for demotion shall be served on the employee in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file.

c) Employee Obligations: Upon receipt of the approved statement of reasons for demotion or upon the effective date of demotion, whichever is later, the employee shall leave the position in which assigned prior to receipt of the notice of demotion and report for work to the position to which demoted. An employee's report for work to the position to which demoted shall be without waiving any right to appeal under subsection (e), below.

d) Salary and Other Benefits of Employee: Upon receipt by the employee of the approved statement of reasons for demotion, or on the effective date thereof, whichever is later, all salaries and benefits of the employee in the position in which assigned prior to receipt of the statement of reasons shall be adjusted to reflect the demotion.

e) Appeal by Certified Employee: An employee who is certified in the position from which he or she is demoted may appeal the demotion to the Grievance Review Committee in accordance with the procedures established in Section 600.670 of this Part.

f) Demotion of Other Employees: The Auditor General may approve the demotion of probationary employees and certified employees from positions in which they are serving a probationary period. Notice of demotion shall be served on the employee in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file. The demotion of employees who are not certified in their positions is not appealable.

g) Status of Demoted Employees: A demoted employee shall serve a probationary period in the position to which demoted unless the employee previously held certified status in that classification, in which case the demotion shall be to certified status in the demoted classification.

History

Source: Amended at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.650 Layoff

a) Definition: A layoff is the placement of an employee in non-paid and non-working status without prejudice either temporarily or indeterminately. Layoff may not be used as a means or form of discipline.

b) Temporary Layoff: The Auditor General may temporarily layoff any employee for not more than five (5) scheduled workdays in any 12-month period as a result of or for lack of work or lack of funds. Temporary layoffs affecting more than one employee may occur with varying effective dates or may occur sequentially and from time to time as long as no employee is temporarily laid off for more than five scheduled workdays in any 12-month period. Subject to the agency's operating needs, the employee's preference in scheduling a temporary layoff shall be given consideration. An employee is not entitled to use any accrued benefit time in lieu of temporary layoff. Notice of temporary layoff shall be served on the employee ten (10) working days in advance of the effective date unless extraordinary operating conditions or events preclude giving this amount of advance notice. Upon expiration of a temporary layoff, the employee shall be returned to the position, position classification and location from which temporarily laid off.

c) Indeterminate Layoff Procedure

A Director may request the indeterminate layoff of an employee because of lack of funds, material change in duties or organization, reduced workload or lack of work, or the abolition of the employee's position. Based on classification, division or other designation, layoffs shall be within organizational units justified by operations.
A proposed layoff plan is subject to the Auditor General's approval before becoming effective and shall include the following:

A) A list of all employees in the organizational unit in classifications affected by the layoff plan, showing status and total continuous service;

B) A list of those employees to be laid off;

C) Performance records of all employees affected by the layoff plan; and

D) An explanation of the organizational unit selected, reflecting division, geographical, operational, and other elements deemed relevant by the Director.

Order of Layoff

A) No certified employee may be laid off until all newly-hired probationary employees in the same position classification, work location and organizational unit are laid off.

B) In accordance with the layoff plan submitted under this subsection, consideration shall be given to performance records and continuous service.

Effective Date of Layoff: Unless extraordinary operating conditions or events are specified in the proposed layoff plan, no indeterminate layoff shall be effective until ten (10) working days after the Auditor General's approval of the layoff plan.
Layoff Rights: For a period of twelve (12) months following the effective date of his or her indeterminate layoff, a laid off employee shall be notified of any vacancy in the same position classification, work location and organizational unit held by the employee at the time of layoff and be given an opportunity to apply for that vacancy.

History

Source: Amended at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.654 Voluntary Reduction

a) Voluntary Reduction of Certified and Probationary Employees: Certified and probationary employees may voluntarily request or accept assignment to a vacant position in the same organizational unit and location in a classification having a lower maximum permissible salary. All requests for or acceptances of voluntary reductions shall be in writing and signed by the employee and be directed to the Director of the organizational unit in which the vacancy exists. No reduction shall become effective without the written approval of the Auditor General. A certified employee who is assigned and accepts a voluntary reduction shall be certified in the lower classification without serving a probationary period.

b) Certified employees who are subject to indeterminate layoff shall be advised of the opportunity to request a voluntary reduction to a current vacant position in the same organizational unit and location. Requests for voluntary reduction must be in writing and received prior to the proposed effective date of layoff.

History

Source: Amended at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.658 Resignation and Reinstatement

a) Resignation: An employee who voluntarily leaves his or her position of employment with the Office shall, except in emergency circumstances approved by the Auditor General, give advance notice of intent not less than ten (10) working days before the effective date of the resignation. Once an employee submits a resignation, the resignation shall not be revoked unless the revocation is requested by the employee and the revocation is approved by the agency head. Resignation in good standing means that the employee gave the required notice, or that emergency circumstances justified failure to do so, and that the employee's conduct and work performance were satisfactory at the effective date thereof.

b) Reinstatement: On request of a Director, the Auditor General may, in his discretion, reinstate an employee who was formerly certified and who resigned or was terminated in good standing or whose position was reallocated downward or who was laterally transferred or subject to indeterminate layoff. Reinstatement may be to a position in the classification to which the employee was assigned prior to resignation, termination, downward allocation, lateral transfer, or layoff or to an equivalent or lower position in a related classification. A reinstated employee shall serve a four (4) month probationary period in the position to which reinstated.

History

Source: Amended at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.662 Employee Conduct

a) Standards of Conduct

Employees of the Office shall obey the rules of conduct of the Office and shall be aware that the absence of a specific published rule of conduct covering an act tending to discredit an employee, the Office or the State of Illinois does not mean the act is condoned or permissible or would not call for, and result in, disciplinary action.

b) Conflicts of Interest

General Provisions

No employee shall violate any law, rule, regulation, policy or standard concerning conflicts of interest, nor shall any employee engage in any conduct in which the employee's private interests or involvements are, or may reasonably be construed to be, in conflict with or detrimental to the objective performance of his or her official duties and responsibilities.

Disclosure Statement to the Auditor General

A) The purpose of the Disclosure Statement required by this subsection (b)(2) is to aid the Auditor General in maintaining the objectivity and impartiality of the conduct of the activities of the Office and, when a potential conflict is unavoidable, to provide for the full disclosure of the facts and circumstances involved.

B) Disclosure Statements shall be confidential. The Auditor General shall designate a custodian who shall be responsible for the safekeeping of Disclosure Statements. The Auditor General, a Deputy Auditor General, the custodian, and others designated by the Auditor General on an as-needed basis may review Disclosure Statements.

C) Each employee shall file with the custodian a Disclosure Statement indicating involvements or relationships that could affect the employee's performance of his or her official duties.

D) Employees shall file their Disclosure Statements with the custodian immediately upon employment and shall refile their Statements by May 1 annually. Employees shall be under a continuing duty to advise the custodian promptly, in writing, of any change that would affect an answer given on their current Disclosure Statements or that might affect the objective or efficient performance of their duties.

c) Political Activities

Participation in Public Campaigns

An employee may participate in public campaigns while in the employment of the Office provided that the employee's official position is not used, shown or advertised in connection with the campaign and that the employee does not violate any prohibitions of this subsection (c).

Prohibited Activity

Employees shall not, at any time, engage in the following actions:

A) Use, threaten to use, or offer to use the influence or authority of his or her position to coerce or to persuade any person to follow any course of political action or to make any contribution to a political cause.

B) Use State time, position, money or property for the purposes of political activity.

C) Hold an elective or appointive office in any political party or other organization whose primary function is to promote and encourage the election of certain individuals to public office.

D) Participate in or contribute to any public campaign that involves a candidate who is running for, currently employed by, or on leave from, an office or agency over which the Auditor General has audit authority.

E) Hold any elective or appointive office that would require attention to duties during the Office's working hours.

d) Official Conduct

Criticism of Agencies

No employee shall make use of any information gained in the course of his or her employment with the Office to publicly criticize any State, local or private agency.

Handling Antagonism or Refusals

When an employee is faced with a situation in which the agency's representative appears antagonistic or refuses to release information or documentation, the employee shall report that fact to his or her supervisor. Employees shall at no time threaten or coerce any person.

Self-disqualification from Certain Assignments

When an employee receives an assignment involving a person acting as a representative for any public or private agency with whom he or she has had business or other relationships of a nature that might impair, or give the appearance of impairing, the employee's impartiality or independence, the employee shall discuss with his or her supervisor the possible need to have the matter reassigned.

Agencies Under Audit

If an audit team member is approached about possible employment with an agency under audit, he or she will notify his or her supervisor promptly. An employee may not initiate or pursue employment activities with an agency for which the employee is currently participating in an audit.

Use of Identification

Credentials issued to employees are for use only in establishing identity or authority in connection with official duties. Employees shall not allow the use of their credentials by any other person.

e) Use of State Time, Position and Property

Personal Use Prohibited

Employees are forbidden to use State time, position or property for personal purposes.

Protection and Inspection of Property

Employees have a responsibility to protect and conserve all State property. Consistent with applicable laws, the Office retains the right to control or inspect property that it owns or maintains, including, but not limited to, items such as desks, lockers, desk and cabinet drawers, vehicles, and computers.

Liability for Damage or Loss

Employees may be held financially liable for damage to or loss of State property resulting from their negligent, willful or wanton acts, or omissions. Costs for damage to or loss of State property may be deducted from the responsible employee's pay.

Reporting Damage or Loss

Employees shall promptly report any loss, theft or damage to State property or documents in their custody to their supervisor.

Return of Equipment

Upon leaving their position with the Office, employees shall return all property and credentials assigned to them. At its option, the Office may withhold an employee's final paycheck pending return of State property and credentials assigned to or in the possession of that employee or may deduct the value of any unreturned State property from the departing employee's final paycheck.

f) Disclosure of Official or Confidential Information

Testifying and Responding to Subpoenas

When requested or subpoenaed to testify or produce documentation pertaining to confidential information before an executive or legislative commission or a court of law, employees shall notify the Auditor General prior to giving the testimony or producing documentation.

Engagements to Speak or Write

A) No employee may accept invitations for public addresses or submit articles for publication that concern the official activities of the Office without obtaining the prior approval of the Auditor General.

B) An employee may not accept compensation from, or permit his or her expenses to be paid by, sources other than the State of Illinois for speaking engagements or writings performed as official duties, except with the prior approval of the Auditor General.

g) Secondary Employment

Employees may not hold secondary employment or be involved in a private enterprise if the employment or enterprise actually does or has the potential to interfere or conflict with his or her State position, or reasonably may be viewed by others as interfering with or conflicting with his or her State position. Employees who engage in secondary employment or private enterprise shall avoid any action that might result in:

Any activities that take the employee's time and attention during official working hours or adversely affect job performance;
Use of State equipment, facilities, supplies, prestige or one's office of employment for personal use or private gain;
Use of any information identified as confidential by the agency or by State or federal law, or the use of any information not available to the public that is gained by being a State employee, for direct or indirect personal advantage or private gain; and
Any activity that reflects unfavorably on the Office.

h) Educational Materials and Missions

For purposes of further defining exceptions to the Gift Ban Law, "educational materials and missions" shall mean those materials and missions that:

have a close connection to the recipient officer's or employee's State employment or the mission of the Office;
predominately benefit the public and not the employee or officer; and
are approved by the Office's ethics officer in advance of the mission or receipt of the materials, if practicable. If it is not practicable to obtain advance approval, the mission and materials shall be reported to the Office's ethics officer as soon as practicable and shall contain a detailed explanation of why approval could not be obtained in advance. The following items may be accepted without ethics officer approval:

A) Single copies of academic or professional publications or software in the employee's or officer's area of responsibility or field of study; and

B) Waiver of conference registration fees for officers or employees serving as conference speakers, committee members or invitees of the conference host.

i) Travel Expenses for a Meeting to Discuss State Business

For purposes of further defining exceptions to the Gift Ban Law, "travel expenses for a meeting to discuss State business" shall mean travel that:

has a close connection to the recipient officer's or employee's State employment;
predominately benefits the public and not the employee or officer;
is for travel in a style and manner in character with the conduct of State business; and
is approved by the Office's ethics officer in advance of the travel, if practicable. If it is not practicable to obtain advance approval, the travel shall be reported to the Office's ethics officer as soon as practicable and shall contain a detailed explanation of why approval could not be obtained in advance.

j) Harassment/Discrimination/Incivility

Employees are expressly prohibited from engaging in conduct they know or reasonably should know is harassment or discrimination against any person on the basis of his or her actual or perceived race, sex, religion, national origin, color, ancestry, citizenship status, physical or mental disability, age, sexual orientation, marital status, military status, pregnancy and childbirth or related medical conditions, or any other legally protected classification, as well as behavior that a reasonable person would view as incivility or bullying. Employees engaging in harassing, discriminatory or uncivil behaviors may be disciplined and, depending upon the circumstances, may be discharged.

History

Source: Amended at 44 Ill. Reg. 5873, effective April 1, 2020

2 Ill. Adm. Code 600.666 Discipline and Discharge

a) Termination at the Discretion of the Auditor General: Probationary employees who have not obtained certified status in the Office and Executive Employees may be terminated at any time, without notice, cause or any right to a hearing, at the discretion of the Auditor General. Probationary employees who have not obtained certified status in the Office and Executive Employees do not have any right to progressive corrective discipline procedures, as set forth in this Section.

b) Progressive Corrective Discipline

Unless grounds clearly are present warranting immediate discharge or suspension pending decision on discharge, employees shall be subject to corrective discipline progressively applied utilizing counseling, warnings, and/or suspensions, as the facts and circumstances dictate, prior to discharge. If an employee's work or work-related conduct remains unacceptable after the application of progressive corrective discipline, the employee may be discharged in accordance with the appropriate rules below. This subsection does not apply to employees subject to subsection (a), above.
Grounds warranting immediate discharge or suspension pending decision on discharge shall include, but are not limited to, any violation of the Illinois State Auditing Act or any other law or rule governing the employee's conduct or duties as an employee of State government, this Subpart, any other rule or regulation of the Office or policies promulgated pursuant thereto, or misrepresentation of education, experience or professional qualifications.

c) Discipline − Warnings: A Director or designee may warn an employee either orally or in writing as a disciplinary measure. A copy of any written warning shall be signed by the appropriate Director and placed in the employee's personnel file. A copy of any written warning shall be delivered in person or sent by certified mail, return receipt requested, to the last address of the employee appearing in the personnel file. An employee shall have the right to respond to the warning in writing within ten (10) calendar days of its receipt and any response shall be included in the employee's personnel file.

d) Suspension: A Director may suspend an employee without pay for up to thirty (30) days in any twelve (12) month period. A longer suspension may be approved by the Auditor General. The Director shall provide the employee with written reasons for the suspension in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file. The written charges shall be signed by the Director and contain a clear and concise statement of facts showing cause for the suspension. One copy of the notice of suspension shall be placed in the employee's personnel file and one copy shall be delivered to the payroll clerk. Unless delay will result in clear harm or damage to a division, the employee shall be informed in writing of the proposed suspension and the reasons therefor at least four (4) working days prior to the effective date of the suspension. The employee shall have two (2) working days after being informed of the proposed suspension within which to address to the Director written rebuttal to the reasons given for the suspension. The suspension shall be effective unless a decision not to suspend the employee is rendered in writing before the proposed suspension date.

e) Discharge of Certified Employee:

Cause for Discharge: Cause for discharge consists of some substantial shortcoming which renders the continuance of an employee in a State position in some way detrimental to the discipline and/or efficiency of the service and which the law or sound public policy recognizes as good cause for the employee no longer being held in that position.
Suspension Pending Decision on Discharge: The Office may suspend any employee for up to thirty (30) days pending the decision on whether charges for discharge shall be filed against the employee. The Office shall, at the time of this suspension, provide the employee with written reasons for the suspension in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file. The Office shall promptly investigate the facts and circumstances and render its decision. Should the Office determine that the facts and circumstances do not warrant disciplinary suspension or charges for discharge, the employee shall be made whole. Should the Office determine that a disciplinary suspension is appropriate, subsection (d) shall apply in its entirety. Should the Office determine that discharge of the employee is appropriate, subsection (e)(3) shall apply in its entirety.
Discharge of Certified Employee:

A) The Auditor General or designee may initiate discharge of a certified employee by filing signed written charges for discharge. Written charges shall contain a clear and concise statement of facts showing good cause for discharge.

B) Before a discharge shall be effective, the certified employee shall receive by certified mail or by delivery in person a written copy of the charges, a copy of the evidence against him or her or a reasonable summary of the evidence designed to give the employee sufficient information to respond to the charges against him or her, and have at least four (4) working days within which to respond to the charges with reasons and evidence why discharge should not occur. The certified employee's response, which should include matters in defense and/or mitigation, may be in writing or orally presented as directed by the Auditor General or his designee before 4:30 p.m. on the fourth working day after the certified employee has received notice of the proposed discharge, counting the day of service as the first day. The certified employee may be suspended pending discharge for these four working days, and, if suspended, shall remain suspended until a final decision on discharge is made.

C) After receipt of the certified employee's written or oral response to the proposed discharge, the Auditor General or his designee shall carefully consider all matters submitted by the employee. The Auditor General or his designee shall make a decision within a reasonable time after receipt of the employee's response, or after the expiration of the four (4) working days if no response is received. If more than ten (10) working days to make a decision is required, the employee shall be notified of that fact in writing by certified mail or hand delivery. The final notice of discharge shall contain a statement that the response of the certified employee was considered before a final decision was made, or that no response was submitted.

D) Notice of approved charges for discharge shall be served on the employee by the Auditor General or his designee, in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file.

E) Upon receipt by the employee of charges for discharge, the employee shall leave the place of employment and return to the Auditor General or his designee any State identification, keys, supplies, tools or other property.

f) Discharge of Probationary Employee: The Auditor General may approve the discharge or suspension of a probationary employee who has not obtained certified status in the Office and Executive Employees. Written notice of discharge or suspension shall be delivered to the employee in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file.

g) Hearing − Certified Employees: Certified employees who have been served with approved charges for suspension or discharge may appeal to the Grievance Review Committee as provided in Section 600.670 of this Part.

h) Reinstatement From Suspension or Discharge: An employee reinstated for the period for which he or she was suspended or discharged shall receive full compensation for that period. Full compensation shall mean compensation the suspended or discharged employee would have earned in the position during the period of suspension or discharge less amounts earned by the employee from any other source and any unemployment compensation payments received during that period.

i) Suspension/Discharge Resulting from Arrest or Criminal Indictment

The arrest or criminal indictment of any employee shall not be grounds for suspension or discharge. The facts in support of either an arrest or criminal indictment may be grounds for suspension or discharge if they meet one or more of the following criteria:

A) resulted from an employee's conduct in the course of employment duties, including a failure to perform those duties; or

B) occurred on or proximate to State premises and as a result of the employee's conduct thereon; or

C) raises reasonable doubt concerning the employee's suitability for continued State employment in the present assignment or position.

The Auditor General may, under the circumstances set forth above, suspend an employee, without pay, pending a final court determination of innocence or guilt.
The following shall control the suspension pending judicial verdict:

A) An affected employee may be in jail, free on bond or in some other similar status at the time the suspension is imposed.

B) The arrest or indictment of an employee shall be cause for State or Federal criminal or civil charges, or charges brought in a foreign country, which raise reasonable doubt concerning the employee's suitability for continued employment in the current position. Traffic violations are not sufficient cause for suspension except where the employee temporarily loses driving privileges if the license is a requirement for work as contained in the job description or position classification.

C) Any proposed suspension pending judicial verdict requires approval by the Auditor General or his designee and will include a complete and detailed statement of the reason(s) for the suspension and a copy of any official document, such as charges, indictment or arrest record, which supports the suspension.

D) The suspension shall have no designated expiration date, depending on the length of the initial judicial process. The suspension ends with the return of the employee to work, discharge or termination of employment. This suspension will not be continued while the employee appeals an initial guilty verdict through higher courts.

E) An approved suspension pending judicial verdict will be served on the employee in person or by certified mail, return receipt requested, to the employee's last address appearing in the personnel file. It will be the responsibility of the employee to notify the agency of any change of address.

F) Upon a finding of not guilty or the dismissal of the charges for any reason, the employee, upon application, will be restored to the same or similar position in the agency and work location held at the time the suspension was issued.

G) The employee may or may not be entitled to back pay depending upon the circumstances surrounding a finding of not guilty or a dismissal of the charges. The Auditor General shall make a final determination with respect to whether back pay shall be granted.

H) If any officer or government employee is placed on leave, either voluntarily or involuntarily, pending the outcome of a criminal investigation or prosecution and that officer or employee is removed from office or employment due to his or her resultant criminal conviction, then the officer or employee is indebted to the State for all compensation and the value of all benefits received during the leave and must forthwith pay the full amount to the State.

History

Source: Amended at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.670 Grievance Procedure

a) Grievance: Any certified employee, unless otherwise excepted by this Subpart, may grieve as to the application of this Subpart or any policy arising hereunder as to the impact of that application upon his or her employment condition or his or her status.

b) Grievance Procedure − Limitation: The rules of the Office and the official policy arising thereunder are not grievable matters. The following are not subject to the grievance process: the discipline, demotion or discharge of Executive Employees and probationary employees who have not obtained certified status in the Office; the demotion of a certified employee from a position in which he or she is serving a probationary period; layoff; the appointment, removal or reinstatement to State Auditor status; and intra-agency transfers.

c) Grievance Procedure − Abandonment − Extension:

Failure of either party to comply with the form or time requirements of the grievance procedure shall resolve the matter in favor of the other. The parties may mutually extend the time limits in writing at any level of the procedure. However, whenever the last day of a specified time requirement falls on a day on which the Office is closed for regular business, that time requirement shall automatically be extended to the next day on which the Office is open for regular business.
An employee's failure to submit a grievance, or to submit or appeal it to the next level of this procedure within specified time limits, shall mean that the employee has withdrawn the grievance or, if the employee so indicates, accepted the last answer given in the grievance procedure.

d) Grievance Procedure − Steps of:

Step 1: A grievant shall present the grievance orally to the immediate supervisor explaining its nature and circumstances within five (5) working days after learning of the circumstances or conditions which gave rise to it. The immediate supervisor shall respond to the employee in person within ten (10) working days of receipt of the grievance. The immediate supervisor shall advise the grievant to initiate his or her grievance at Step 2 if:

A) The immediate supervisor is without authority to rectify the problem; or

B) The grievance is based on an action or omission of a Director.

If the grievant's immediate supervisor is a Director, the provisions of this Step 1 shall not apply and the grievant shall initiate his or her complaint at Step 2.

Step 2: If the grievance is not satisfactorily resolved at Step 1 or if the provisions of Step 1 are inapplicable, the grievant may, within five (5) working days after notification of the supervisor's decision in Step 1, or, if Step 1 is inapplicable, within five (5) working days after learning of the circumstances or conditions giving rise to the grievance, submit the grievance to the appropriate Director in writing. Within ten (10) working days after a Step 2 appeal is filed, the Director shall issue a written decision and serve a copy of the decision in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file.
Step 3: If the grievance is not satisfactorily resolved or no answer is given within the time limit set forth in Step 2, the grievant may submit to the Auditor General, within ten (10) working days from the date the Director's decision was due or received, whichever is earlier, a written request for a grievance hearing, along with the grievant's specific reasons for disagreeing with the Director's decision in Step 2. Within twenty (20) working days after this Step 3 appeal is filed, the Auditor General may either render a written decision on the matter, which shall be final and binding upon the parties, or establish a Grievance Review Committee as provided in subsection (e), below.

e) Grievance Review Committee:

The Auditor General shall designate a Deputy Auditor General or executive employee to chair the Grievance Review Committee. The Chair, no later than five (5) working days following receipt of an employee's request for a grievance hearing, shall appoint a Grievance Review Committee. The Committee shall consist of no less than three nor more than five members. Committee members must have experience or knowledge in the areas of personnel administration and employee relations or experience or knowledge in matters pertaining to the general subject matter presented in the grievance. The Director and the immediate supervisor of the grievant shall not be appointed to the Committee.
Immediately upon appointment of the Committee, the Chair shall set a date for hearing which shall be no later than twenty (20) working days after receipt of the employee's request for a grievance hearing. The grievant shall promptly be notified in person or by certified mail, return receipt requested, of the time, date and place of the hearing.
The grievant and others who have knowledge of the facts shall have an opportunity to present evidence in person or by written statement, after which the Committee will meet privately to reach a recommendation. The Chair may require that testimony be given under oath or by sworn affidavit.
The members of the Committee shall reduce their recommendations as to the disposition of the grievance to writing and submit them to the Auditor General within five (5) working days following the hearing. A dissenting member of the Committee may make separate recommendations. All recommendations will bear the signatures of the concurring committee members. Upon receipt of the recommendations from a grievance committee, the Auditor General shall approve, disapprove or modify the Committee recommendations, shall render a decision thereon in writing, and cause a copy of the decision to be served upon the parties. The Auditor General's decision shall be final and binding upon the parties.
The written statement of the employee's grievance, the recommendations of the grievance committee, and the decision of the Auditor General thereon shall be made a part of the grievant's personnel file.
The Auditor General may extend any deadline set forth above if either party demonstrates good cause.

f) Representation: The grievant is entitled to be present and may be accompanied or represented by a person of his or her choice at any stage of the grievance process. Only other persons as the Chair deems advisable shall be entitled to attend the hearing.

g) Witnesses and Evidence: The parties to a grievance may introduce materials, documents and witnesses as are necessary to resolve the problem. Should a dispute arise as to the necessity of certain appearances or of the reproduction of certain documents, the Office's Legal Counsel shall resolve the dispute.

History

Source: Amended at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.674 Sick Leave

a) Accrual: Full-time employees shall earn sick leave at the rate of one (1) day for each month's service. Employees who work less than nineteen (19) hours per week do not earn sick leave. Permanent part-time employees shall earn sick leave on a prorated basis determined by a fraction the numerator of which shall be the hours worked by the employee and the denominator of which shall be normal working hours in the year required by the position. No employee shall accrue sick leave while remaining on the payroll to collect accrued vacation prior to the effective date of his or her termination.

b) Use: Sick leave may be used in one-half (½) hour increments for illness, disability, or injury of the employee, appointments with doctors, dentists, or other professional medical practitioners, and also may be used in the event of serious illness, disability, injury or death of an immediate family member of the employee. Documentation to substantiate that leave days were used for the purposes stated may be required. Beginning with calendar year 2005, in the event an employee does not use sick leave in any calendar year, the employee shall be awarded one (1) additional personal day on January 1 of the next calendar year. A permanent part-time employee who works at least 19 hours per week shall be awarded pro-rated additional personal leave on January 1 when the employee has not used sick leave during the previous calendar year. A calendar year for purposes of this provision is the period beginning January 1 and ending December 31 of each year. Any additional personal leave shall be used in accordance with Section 600.682 of this Part.

c) Accumulation: Employees shall be allowed to carry over any unused sick leave allowed under subsection (a), above, from year to year of continuous service.

d) Payment in Lieu of Sick Leave:

Upon termination of employment for any reason, or upon indeterminate layoff, an employee or the employee's estate is entitled to be paid for unused sick leave which has accrued on or after January 1, 1984 and prior to January 1, 1998, provided the employee is not employed in another position in State service within four (4) calendar days of his or her termination.
For purposes of this subsection (d), sick leave is deemed to be used by an employee within the following priority order:

A) Sick leave earned through December 31, 1983.

B) Sick leave earned on or after January 1, 1998.

C) Sick leave earned on or after January 1, 1984 and prior to January 1, 1998.

The first earned sick leave shall be the first utilized within each category.

In order to determine the amount of sick leave to be paid upon termination of employment, the Office will:

A) compute the number of sick leave days granted to the employee between January 1, 1984 and December 31, 1997;

B) compute the employee's sick leave balance for that time period at time of termination; and

C) cause lump sum payment to be made for one half of the amount of sick leave in subsection (d)(3)(A) or (B) above, whichever is the lesser amount, multiplied by the daily salary rate.

An employee who is reemployed, reinstated, or recalled from indeterminate layoff and who received lump sum payment in lieu of unused sick days will have those days restored provided the employee repays upon return to active employment the gross amount paid by the State for the number of days to be so restored to the employee's sick leave account.
The payment proved by this subsection (d) shall not be allowed if the purpose of the separation from employment and any subsequent reemployment is for the purpose of obtaining the payment.
The accrued leave amount shall be certified in writing to the employee by the Office. This certification may be held by the employee or forwarded to the Retirement System.

History

Source: Amended at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.678 Vacation Leave

a) Accrual

Full-time employees shall earn vacation leave, accrued daily on a pro-rated basis, in accordance with the following schedule:

A) From the date of hire until the completion of 5 years of continuous service: 10 days annually.

B) From the completion of 5 years of continuous service until the completion of 9 years of continuous service: 15 days annually.

C) From the completion of 9 years of continuous service until the completion of 14 years of continuous service: 17 days annually.

D) From the completion of 14 years of continuous service until the completion of 19 years of continuous service: 20 days annually.

E) From the completion of 19 years of continuous service until the completion of 25 years of continuous service: 22 days annually.

F) From the completion of 25 years of continuous service: 25 days annually.

No employee shall accrue vacation leave while remaining on the payroll to collect accrued vacation prior to the effective date of his or her termination.
Employees who work less than 19 hours per week do not earn vacation leave. Permanent part-time employees shall earn vacation in accordance with the schedule set forth in subsection (a)(1) on a prorated basis determined by a fraction the numerator of which shall be the hours worked by the employee and the denominator of which shall be normal working hours in the year required by the position.

b) Use

Vacation leave may be used in ½ hour increments. Employees may use vacation leave only upon the approval of a Director or his or her designee or, if the employee is a Director, upon the approval of the Auditor General or his or her designee. No employee may approve his or her own request for vacation leave.

c) Continuous Service

Computation of vacation leave of State employees who have interrupted continuous State service shall be determined as though all previous State service that qualified for earning of vacation benefits is continuous with present service.

d) Accumulation

An employee who is employed by the Office on or prior to the effective date of this Part (May 1, 1994) shall be allowed to carry over accumulated vacation leave from year to year provided that the accumulation does not exceed 75 days carry over in any calendar year. Calculation of time will be made on December 31 of each year and, if the employee's total vacation leave exceeds 75 days at that time, only 75 days will be carried into the next year. An employee who is employed by the Office after May 1, 1994 (the effective date of this Part) will not be allowed to accumulate vacation time for more than 24 months after the end of the calendar year in which it is earned. If that employee does not request and take accrued vacation within the 24 month period, vacation earned during that calendar year shall be lost.

e) Payout

Upon termination of employment by means of resignation, retirement, indeterminate layoff, or discharge, provided the employee is not employed in another position in State service within 4 calendar days after his or her termination, the employee is entitled to be paid for any vacation earned but not taken or forfeited, up to a maximum of 75 days. No other payment in lieu of vacation shall be made except as provided by subsection (f). This payment shall not be deemed to extend the effective date of termination by the number of days represented by the payment. Payment shall be computed by multiplying the number of days (hours) of accumulated vacation by the employee's daily (hourly) rate. Payment shall not be allowed if the purpose of the separation from employment and any subsequent reemployment is for the purpose of obtaining that payment. The accrued leave amount shall be certified in writing to the employee and may be held by the employee or forwarded to the State Employee's Retirement System.

f) Upon the death of a State employee, the person or persons specified in Section 14a of the State Finance Act [30 ILCS 105] shall be entitled to receive from the appropriation for personal services available for payment of the employee's compensation a sum for any accrued vacation period to which the employee was entitled at the time of death, up to a maximum of 75 days. The sum shall be computed by multiplying the employee's daily or hourly rate by the number of days or hours of accrued vacation due.

History

Source: Amended at 44 Ill. Reg. 5873, effective April 1, 2020

2 Ill. Adm. Code 600.680 Repayment of Benefit Time

An employee who returns to employment in any capacity at the Office within 30 days after termination of previous employment must, as a condition of employment, repay any lump sum amount paid for accrued vacation, overtime and sick leave within 30 days after employment commences. The amount repaid shall be deposited into the fund from which the payment was made or the General Revenue Fund. Upon repayment, the leave time shall be credited to the account of the employee.

History

Source: Added at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.682 Leave for Personal Business

a) Accrual: Full-time employees shall be permitted twenty-one (21) hours of leave for personal business each calendar year with pay. Full-time employees who enter service with the Office during any calendar year shall be given credit for personal leave at the rate of three and one-half (3½) hours for each two (2) months of service for the calendar year in which hired. Permanent part-time employees working nineteen (19) or more hours per week shall earn personal business leave on a pro-rated basis determined by a fraction the numerator of which shall be the hours worked by the employee and the denominator of which shall be normal working hours in the year required by the position. Beginning with calendar year 2005, in the event an employee does not use sick leave in any calendar year, the employee shall be awarded one (1) additional personal day on January 1 of the next calendar year. A permanent part-time employee who works at least 19 hours per week shall be awarded pro-rated additional personal leave on January 1 when the employee has not used sick leave during the previous calendar year. A calendar year for purposes of this provision is the period beginning January 1 and ending December 31 of each year.

b) Personal business leave may be used for occurrences or observance of religious holidays, absence due to severe weather conditions, or for other similar personal reasons but shall not be used to extend a holiday, vacation or other leave without prior written approval. Personal business leave may be used by employees in half-hour increments. Except for those emergency situations which preclude the making of prior arrangements, personal business leave shall be scheduled sufficiently in advance to be consistent with the Office's operating needs.

c) Carry Over: Personal business leave shall not accumulate or carry over from year to year. If the services of an employee in State service are terminated by reason of his or her retirement, disability or death, the employee, or the employee's estate, as the case may be, shall be paid a lump sum, for the number of days for leave for personal business which the employee had accumulated but not used as of the date the employee's services were terminated, in an amount equal to ½ of the employee's pay per working day times the number of personal leave days so accumulated and not used. The accrued leave amount paid under this subsection shall be certified in writing to the employee by the Office. This certification shall be held by the employee or forwarded to the Retirement System.

History

Source: Amended at 33 Ill. Reg. 1704, effective March 10, 2009

2 Ill. Adm. Code 600.686 Leaves of Absence

a) Types

Disability

An employee who has expended accumulated sick leave may be granted a leave without pay, provided that the employee may be required to submit a statement from an appropriate health care provider setting forth the reasons for the employee's inability to work. The leave may continue for an appropriate period approved by the Auditor General, provided that an appropriate health care provider's statement, if required, is submitted within the first 10 days of each month during the leave. An employee's disability leave shall terminate when the employee is no longer temporarily disabled from performing the employee's regularly assigned duties. The State will continue to pay the premiums for the basic (State-paid) health and life insurances for an employee on illness leave until expiration of authorized leave and return to active service, but not to exceed 24 months.

On-the-Job Injury and Service Connected Disease

An employee who suffers an on-the-job injury or contracts a service-connected disease shall be allowed full pay during the first 5 working days of absence without utilization of any accumulated sick leave or other benefits. A worker's compensation file must be created in order to authorize service-connected leave, and medical documentation verifying the need for time off from work shall be required. Thereafter, the employee shall be permitted to utilize accumulated sick leave or other benefits for additional time away from work unless the employee has applied for and been granted temporary total disability benefits in lieu of salary or wages pursuant to provisions of the Workers' Compensation Act [820 ILCS 305] or through the State's self-insurance program. In the event the service-connected illness or on-the-job injury becomes the subject of payment of benefits provided in the Workers' Compensation Act by the Illinois Workers' Compensation Commission, the courts, the State self-insurance program, or other appropriate authority, the employee shall restore to the State the dollar equivalent that duplicates payments received as sick leave or other accumulated benefit time, and the employee's benefit accounts shall be credited with leave time equivalents. Employees whose compensable service-connected injury or illness requires appointments with a doctor, dentist, or other professional medical practitioner shall, with supervisor approval, be allowed to go to those appointments without loss of pay and without utilization of sick leave.

Family and Medical Leave

A) Eligibility

Employees who have been employed by the Office for at least 12 months and have worked at least 1,250 hours during the 12 months prior to the start of the FMLA leave are entitled to up to 12 workweeks leave in any 12 month period for one or more of the following:

i) birth of a child of the employee, in order to care for the child;

ii) placement of a son or daughter with the employee for adoption or foster care;

iii) to care for a spouse, child, or parent of the employee who has a serious health condition;

iv) a serious health condition that makes the employee unable to perform the employee's job functions;

v) any qualifying exigency arising out of the fact that an employee's spouse, child or parent is on active duty (or has been notified of an impending call or order to active duty) in the Armed Forces in support of a contingency operation as provided under the National Defense Authorization Act for FY 2008 (P.L. 110-181) and implementing regulations.

B) Use

The entitlement to leave under subsection (a)(3)(A)(i) and (ii) expires at the end of the 12 month period beginning on the date of the birth or placement of the child. The leave granted under subsection (a)(3)(A)(iii), (iv) and (v) may be taken intermittently when medically necessary and when scheduled so as to not unduly disrupt the Office's operations.

C) Benefits

Except as provided in subsection (a)(9) for parental leave, FMLA leave shall be unpaid. Accrued sick and vacation leave may be applied to the periods of FMLA absence at the employee's option. The State will continue to pay the premiums for the basic (State-paid) health and life insurances for an employee on FMLA leave.

D) Restoration

Employees who take leave under this subsection (a)(3) shall be returned to the same or equivalent position with equivalent benefits, pay and other terms and conditions of employment as held by the employee when the leave commenced.

E) Optional Extension

FMLA leave may be extended up to a total of 6 months at the discretion of the Auditor General.

F) Military Caregiver Extended Leave

Employees otherwise meeting eligibility requirements for FMLA leave who are caring for a member of the Armed Forces who is on the temporary disability retired list or is receiving medical treatment, recuperation or therapy due to a serious injury or illness sustained in the line of duty may be eligible for up to a total of 26 weeks of FMLA leave (inclusive of all types of FMLA leave taken by the employee) during a single 12-month period, as provided under the National Defense Authorization Act for FY 2008 (P.L. 110-181). Spouses employed by the Office may be limited to a combined total of 26 workweeks of FMLA leave during a single 12-month period. Eligible employees must be the spouse, child, parent or next of kin of the person requiring care and shall otherwise comply with notice and certification requirements.

G) Notice and Certification

An employee shall provide the Office with not less than 30 days' notice of the employee's intent to take FMLA leave, or other notice as is practical under the circumstances. Documentation supporting the reasons for taking a leave may be required. The Office may obtain a second opinion from a health care provider of its choosing. Authorization from an appropriate health care provider to return to work may be required.

H) The terms and conditions of FMLA leave shall be governed by the federal Family and Medical Leave Act of 1993, as amended, and implementing regulations.

I) In determining whether a veteran meets the FMLA eligibility requirement, the months employed and the hours that were actually worked for the Office will be combined with the months and hours that would have been worked during the 12 months prior to the start of the leave requested but for the military service.

Administrative Leave

The Auditor General may grant administrative leaves of absence to employees for purposes deemed appropriate. The Auditor General shall determine the duration of the leave and whether the leave shall be with or without pay, full or partial, and with or without State-paid benefits.

Excused Absence

An employee may be granted an excused absence with pay upon the approval of the Auditor General or the Director to whom the employee reports.

Military, Job Corps and Peace Corps Leaves

Leaves of absence shall be allowed employees who enter military service, the Peace Corps or the Job Corps as provided by this subsection (a)(6) and as may be required by law.

A) Military Service Leave

Leave of absence without pay shall be granted to all employees who leave their positions and enter military service for 5 years or less (exclusive of any additional service imposed pursuant to law). An employee shall be restored to the same or a similar position on making application to the Auditor General within 90 days after separation from active duty or after hospitalization or convalescence continuing after discharge for not more than 2 years. The employee must provide evidence of satisfactory completion of training and military service when making application for reinstatement and be qualified to perform the duties of the position. Continuous service and reemployment rights for veterans subject to federal law shall be as provided in the Uniformed Services Employment and Reemployment Rights Act (38 U.S.C. 4301-4333).

B) Military Reserve Training Leave

Any full-time employee of the State of Illinois who is a member of a reserve component of the Armed Services of the United States, including the reserve components of the Armed Services of any state, or who is a member of the National Guard of any state, shall be allowed military leave for annual training in accordance with the Illinois Service Member Employment and Reemployment Rights Act [330 ILCS 61]. These leaves will be granted without loss of seniority or other accrued benefits.

C) State Active Duty/Emergency Call Up

In the case of an emergency call-up (or order to State active duty) by the Governor, the leave shall be granted for the duration of the emergency with pay and without loss of seniority or other accrued benefit. Military earnings for the emergency call-up paid under the Military Code of Illinois [20 ILCS 1805] must be submitted and assigned to the Office, and the Office will return it to the payroll fund from which the employee's payroll check was drawn. If military pay exceeds the employee's earnings for the period, the Office will return the difference to the employee.

D) Active Duty

Any full-time employee who is a member of any reserve component of the United States Armed Forces or who is a member of the National Guard of any state shall be granted military leave for active service in accordance with the Illinois Service Member Employment and Reemployment Rights Act.

E) Certification of Leave

To be eligible for military reserve leave or emergency call-up pay, the employee must provide certification from the commanding officer of the employee’s unit that the leave taken was for one of these purposes.

F) Military Pay

Concurrent and differential compensation for military service shall be paid in accordance with the Illinois Service Member Employment and Reemployment Rights Act.

G) Leave for Military Physical Examinations

Any employee drafted into military service shall be allowed up to 3 days leave with pay to take a physical examination required by the draft. Upon request, the employee must provide the Office with certification by a responsible authority that the period of leave was actually used for this purpose.

H) Peace Corps or Job Corps Enrollees Continuous Service

Any employee who volunteers and is accepted for service in the overseas or domestic Peace Corps or Job Corps shall be given a leave of absence from the employee's State employment for the duration of the employee's initial period of service. The employee shall be restored to the same or similar position if the employee returns to employment within 90 days after termination of the employee's service or release from hospitalization for a Peace Corps or Job Corps service-connected disability.

I) Veterans Hospital Leave

An employee who is also a veteran shall be permitted 4 days with pay per year to visit a veterans hospital or clinic for examination of a military service-connected disability. The 4 days shall not be charged against any sick leave currently available to the employee.

Disaster Service Volunteer Leave

Any employee who is a certified disaster service volunteer of the American Red Cross or volunteers for assignment to the Illinois Emergency Management Agency and Office of Homeland Security (IEMA-OHS) in accordance with the Illinois Emergency Management Agency Act [20 ILCS 3305] or the Emergency Management Assistance Compact Act [45 ILCS 151] may be granted leave with pay for up to 20 working days in any 12 month period for disasters within the United States or its territories. The leave may be granted upon the request of the American Red Cross or IEMA-OHS for employees to participate in specialized disaster relief services. Leaves under this subsection (a)(7) are subject to approval by the Auditor General considering operating needs. Disasters must be disasters designated at a Level III and above in the American National Red Cross Regulations and Procedures or any disaster declared by proclamation of the Governor under Section 7 of the Illinois Emergency Management Agency Act [5 ILCS 335/2]. The American Red Cross and IEMA shall coordinate requests for services outside of Illinois through the Illinois State Emergency Operations Center.

Attendance in Court

Any employee called for jury duty, or subpoenaed by any legislative, judicial, or administrative tribunal for matters related to the employee's employment, shall be allowed time away from work with pay as necessary to fulfill the jury service requirement or comply with the subpoena. Upon receiving the sum paid for jury service or witness fee, the employee shall submit the warrant, or its equivalent, to the Office to be returned to the fund in the State Treasury from which the original payroll warrant was drawn; provided, however, an employee may elect to fulfill the call or subpoena on accrued time off and retain the full amount received for the service.

Parental Leave

A) Maternity/Paternity Leave

All employees who provide proof of their pregnancy or that of their female partner at least 30 days prior to the expected due date will be eligible for 12 weeks (60 standard work days) of paid parental leave that begins upon birth, for each pregnancy resulting in births or multiple births. If both parents are employees of the Office, they shall each be eligible for 12 weeks of paid maternity/paternity leave that may be taken consecutively or concurrently. No employee will be allowed to take less than a full work week (5 consecutive days). Regardless of the number of pregnancies in a year, no employee shall receive more than 12 weeks (60 standard work days) of paid leave per year under this subsection (a)(9)(A). The Office will require proof of the birth. In addition, non-married male employees may be required to provide proof of paternity, such as a birth certificate or other appropriate documentation confirming paternity.

B) New Adoption Leave

All employees are eligible for 12 weeks (60 standard work days) of paid leave with a new adoption, with the leave to commence when physical custody of the child has been granted to the employee, provided that the employee can show that the formal adoption process is underway. In the event the child was in foster care immediately preceding the adoption process, the leave will commence once a court order has been issued for permanent placement and the foster parent has been notified of the right to adopt, as long as the foster child has not resided in the home for more than 3 years. The employee must submit proof that the adoption has been initiated. Should both parents be employees of the Office, they shall each be eligible for 12 weeks of paid adoption leave that may be taken consecutively or concurrently. No employee will be allowed to take less than a full work week (5 consecutive work days). Regardless of the number of adoptions in a year, no individual shall receive more than 12 weeks (60 standard work days) of adoption leave per year. Employees are not eligible for adoption leave if the adoption is for a step-child or relative who has resided with the employee for a period of one year or more.

C) Leave in the Event of a Stillborn Child

All employees who provided proof of their pregnancy or that of their female partner at least 30 days prior to the expected due date will be eligible for 5 weeks (25 standard work days) of paid leave in the event of a full-term stillborn child. The Office will require proof of a stillbirth, such as a fetal death certificate or certificate of stillbirth. This leave shall be limited to one leave per employee for each stillbirth. In addition, employees may be required to provide proof of a parent-child relationship. Employees using leave under this subsection (a)(9)(C) must use the leave benefit immediately.

D) Permanent part-time employees working 19 or more hours per week shall be eligible for paid parental leave on a pro-rated basis determined by a fraction the numerator of which shall be the hours worked by the employee and denominator of which shall be normal working hours in the year required by the position.

Educational Leave

The Auditor General may grant an employee an educational leave of absence for the purpose of engaging in a training course. No educational leave may be granted unless, in the Auditor General's judgment, the training course would benefit the Office by improving the employee's qualifications to perform the duties of the employee's position or by qualifying the employee for advancement to another position in State service. During a period of educational leave, State-paid health benefits and life insurance benefits shall continue as provided under Section 10(c) of the State Group Insurance Act [5 ILCS 375)].

Organ Donor/Blood Donor Leave

A) Upon request and approval by the Office, an employee may be entitled to time off with pay, as follows, for the purpose of donating an organ, bone marrow, blood or blood platelets:

i) up to 30 days of organ donation leave in any 12-month period to serve as a bone marrow or organ donor. Medical documentation of the proposed organ or bone marrow donation will be required before leave is approved;

ii) up to one hour or more to donate blood, and up to 1.5 hours to donate double red cells, no more than once every 56 days. Medical documentation to substantiate the use of leave time for this purpose may be required;

iii) up to 2 hours or more to donate blood platelets. Leave to donate blood platelets will not be granted more than 24 times in a 12-month period. Medical documentation to substantiate the use of leave time for this purpose may be required.

B) An employee may not be required to use accumulated sick or vacation leave time before being eligible for leave under this subsection (a)(11).

Leave due to Crime of Violence

An employee who is a victim of domestic violence, dating violence, sexual assault, gender violence, stalking, or any crime of violence, or who has a family or household member who is a victim of domestic violence, dating violence, sexual assault, gender violence, stalking, or any crime of violence whose interests are not adverse to the employee as it relates to the domestic or sexual violence, may be entitled to take up to 12 work weeks of unpaid leave during any 12-month period for the purposes of, and under the terms and conditions provided in, the Victims' Economic Security and Safety Act [820 ILCS 180] and implementing regulations (56 Ill. Adm. Code 280).

School Visitation Leave

Employees may take up to a total of 8 hours during any school year without pay, no more than 4 hours of which may be taken on any given day, to attend school conferences, behavioral meetings, or academic meetings related to the employee's child if the conference or meeting cannot be scheduled during nonwork hours. No leave may be taken unless the employee has exhausted all accrued vacation leave, personal leave and any other leave that may be granted to the employee except sick leave and disability leave. The employee must provide the Office with a written request for leave at least 7 days in advance of the time the employee is required to utilize the visitation right. In emergency situations, no more than 24 hours' notice will be required. The employee must consult with the Office to schedule the leave so as not to disrupt unduly the Office's operations.

Volunteer Emergency Worker Leave

An employee who is a volunteer emergency worker, as that term is defined in the Volunteer Emergency Worker Job Protection Act [50 ILCS 748], shall be given time off from work without pay for the purpose of responding to an emergency. An employee missing work for this purpose shall make a reasonable effort to notify the Office that the employee may be absent or late. An employee requesting this leave shall also present the Office with a written statement from the supervisor or acting supervisor of the volunteer fire department or governmental entity that the volunteer emergency worker serves stating that the employee responded to an emergency and stating the time and date of the emergency.

Family Military Leave Act [820 ILCS 151]

A) An employee who is the current spouse, civil union partner, domestic partner, parent, child or grandparent of a person called to military service lasting longer than 30 days with a state or the United States, pursuant to the order of the Governor or the President, who wishes to be absent from work in order to meet or fulfill responsibilities arising from the employee's role in his or her family or as head of the household, is eligible to request up to 30 days of unpaid family military leave during the time federal or State deployment orders are in effect. Family Military Leave may not be used unless the employee has first exhausted all accrued vacation leave, personal leave, compensatory leave, parental leave, and any other paid leave that may be granted to the employee, except sick leave and disability leave.

B) To qualify for Family Military Leave, an employee must have been employed by the Office for at least 12 months and have worked at least 1,250 hours during the 12-month period immediately preceding the commencement of the leave.

C) The employee shall give at least 14 days' notice of the intended date upon which the family military leave will commence if leave will consist of 5 or more consecutive work days. Employees taking military family leave for less than 5 consecutive days shall give advance notice as is practicable. If able, the employee shall consult with the Office to schedule the leave so as to not unduly disrupt Office operations. Except in cases of emergency, family military leave shall be taken in full day increments only. The employee will be required to document the reason for the emergency nature of the need for leave in writing within 2 days after the employee's return to work.

D) The employee shall provide certification from the proper military authority to verify the employee's eligibility for the family military leave requested.

E) Upon expiration of the leave, the employee shall be restored to the position held by the employee when the leave commenced or to a similar position with equivalent seniority status, benefits, pay and other terms and conditions of employment, unless the employee's failure to be restored to the position is due to conditions unrelated to his or her exercise of these leave rights.

F) During any family military leave, the Office will make it possible for employees to continue their benefits at the employee's expense. At its option, these benefits may be continued at the Office's expense. Time utilized under the Family Military Leave Act is not deducted from an employee's continuous service, vacation accrual, or seniority date.

Civil Air Patrol Leave

A) An employee is eligible to request up to 30 days of unpaid leave to perform a civil air patrol mission. An employee need not have exhausted other forms of accrued leave time prior to being eligible for Civil Air Patrol Leave.

B) To qualify for Civil Air Patrol Leave, an employee must have been employed by the Office for at least 12 months and have worked at least 1,250 hours during the 12-month period immediately preceding the commencement of the leave.

C) The employee shall give at least 14 days' notice of the intended date upon which the leave will commence if leave will consist of 5 or more consecutive work days. Employees taking leave for less than 5 consecutive days shall give advance notice as is practicable. If able, the employee shall consult with the Office to schedule the leave so as to not unduly disrupt Office operations.

D) The employee shall provide certification from the proper civil air patrol authority to verify the employee's eligibility for the leave requested.

F) During any civil air patrol leave, the Office shall make it possible for employees to continue their benefits at the employee's expense. At its option, these benefits may be continued at the Office's expense. Time utilized under the Civil Air Patrol Leave Act is not deducted from an employee's continuous service, vacation accrual or seniority date.

Family Bereavement Leave

A) Upon request, an employee will be granted paid leave of up to 2 work days to attend a funeral or similar service, and for related travel, upon the death of a member of the employee's immediate family. Leave shall be limited to one instance per calendar year. Documentation of the reason for the funeral/bereavement leave, attendance at the funeral or similar service, and relationship to the deceased may be required. Employees retain the right to use sick leave for a death in the immediate family.

B) Upon request, an employee will be granted unpaid leave of up to 10 standard work days to:

attend the funeral of a covered family member;
make arrangements necessitated by the death of a covered family member;
grieve the death of a covered family member; or
be absent from work due to a miscarriage, an unsuccessful round of intrauterine insemination or of an assisted reproductive technology procedure, a failed adoption match or an adoption that is not finalized because it is contested by another party, a failed surrogacy agreement, a diagnosis that negatively impacts pregnancy or fertility, or a still birth.

C) In the event of the death of more than one covered family member in a 12-month period, an employee is entitled to up to a total of 6 weeks (30 standard work days) of bereavement leave during the 12-month period. Family bereavement leave must be completed within 60 days after the date on which the employee receives notice of the death of the covered family member or the date on which an event listed in subsection (a)(17)(B)(4) occurs. An employee shall provide the employer with at least 48 hours' advance notice of the employee's intention to take family bereavement leave, unless providing that notice is not reasonable and practicable.

D) An employer may require reasonable documentation substantiating the request for leave. For leave resulting from an event listed under subsection (a)(17)(B)(4), reasonable documentation includes a form provided by the Illinois Department of Labor to be filled out by a health care practitioner who has treated the employee or the employee’s spouse or domestic partner, or surrogate, or documentation from the adoption or surrogacy organization that the employee worked with, certifying applicability. An employer may not require that the employee identify which category of event the leave pertains to as a condition of exercising rights under subsection (a)(17)(B)(4).

E) For purposes of family bereavement leave, the term "covered family member" means an employee's son or daughter who is a biological, adopted or foster child, a stepchild, a legal ward, or a child of a person standing in loco parentis, spouse, domestic partner, sibling, parent, mother-in-law, father-in-law, grandchild, grandparent, or step-parent.

b) Employee Rights After Leave

When an employee returns from a leave of absence of 6 months or less, the Office shall return the employee to the same or similar position in which the employee was incumbent prior to the commencement of the leave. For the employee to be eligible for reinstatement, all requirements for substantiation of use of leave or physical fitness must have been furnished and the application for reassignment must be made within the specified time limit of the leave. When an employee returns from a leave of absence exceeding 6 months in duration, other than a leave of absence granted under subsection (a)(2) or (a)(6), and there is no vacant position in the same position classification in which the employee was incumbent prior to the commencement of the leave, the employee may be laid off. An employee returning from a leave of absence under subsection (a)(2) or (a)(6) shall be returned to the same or similar position in which the employee was incumbent prior to the commencement of the leave. For the employee to be eligible for reinstatement, all requirements for substantiation of use of leave or physical fitness must have been furnished, the application for reassignment must be made within the specified time limits of the leave, and the Office's circumstances shall not have changed so as to make reassignment impossible or unreasonable.

c) Failure to Return

Failure to return from leave within 5 days after the expiration date may be cause for discharge. Leave shall automatically terminate upon the employee's securing other employment during the leave period.

d) Accrual and Retention of Continuous Service During Certain Leaves

During the following leaves, an employee shall retain and accrue continuous service, provided appropriate application and return is made as required by this Section: family and medical leave; educational leave; administrative leave; military leaves; Peace Corps or Job Corps leave; disaster service volunteer leave; or service-connected disability leave.

History

Source: Amended at 48 Ill. Reg. 2069, effective January 29, 2024

Chapter V Auditor General

Part 600 Public Information, Rulemaking, Organization and Personnel

2 Ill. Adm. Code 600.690 Holidays

a) Authorized Holidays: All full-time employees shall have time off, with full salary payment, for any days established by State or federal law for the observance of holidays and any other holidays or non-working days declared by the Auditor General. Permanent part-time employees working nineteen (19) or more hours per week shall earn holiday pay on a pro-rated basis determined by a fraction the numerator of which shall be the hours worked by the employee and the denominator of which shall be normal working hours in the year required by the position.

b) Holiday Observance: Where employees are scheduled and required to work on a holiday, equivalent time off will be granted within the following twelve month period at a time convenient to the employee and consistent with the Office's operating needs.

c) Holiday During Vacation: When a holiday falls on an employee's regularly scheduled work day during the employee's vacation period, an extra day shall be added to the employee's accumulated vacation days.

History

Source: Amended at 28 Ill. Reg. 14457, effective December 1, 2004

2 Ill. Adm. Code 600.694 Overtime

a) Overtime: For those positions approved by the Auditor General and designated on lists maintained by the Auditor General, authorized work in excess of the scheduled work week as established by the Auditor General shall be overtime. Overtime may be compensated in cash or compensatory time.

b) Compensatory Time: An employee's overtime accumulation shall be liquidated by the utilization of compensatory time off, when such utilization is practical. Such compensation shall be made at a straight-time rate for work in excess of the scheduled work week but less than a forty (40) hour work week. Work in excess of a forty (40) hour week shall be compensated at time and one-half.

c) Compensatory Time Schedule: Compensatory time shall be scheduled at the employee's preference except in those circumstances where such absence would be harmful to the operation of his or her work unit.

d) Overtime Compensation in Cash: Whenever it is not practical to liquidate an employee's overtime with compensatory time off, the employee shall be reimbursed in cash. Such payment shall be made at a straight-time rate for work in excess of the scheduled work week but less than a forty (40) hour work week. Work in excess of a forty (40) hour work week shall be paid at time and one-half.

e) Overtime -- Accumulation: All employee overtime compensation shall be liquidated within forty-five (45) calendar days of its accumulation.

2 Ill. Adm. Code 600.698 Interpretation and Application of Rules

The Auditor General shall determine the proper interpretation and application of each Rule. The decision of the Auditor General as to the proper interpretation or application of any rule shall be final and binding upon all affected employees unless modified or reversed by the Grievance Review Committee, the courts or an administrative tribunal.

2 Ill. Adm. Code 600.699 Savings Clause

If any Section or part of any Section of this Part shall be held invalid, the remaining provisions of the Part shall have and be given full force and effect as completely as if the invalidated part had not been included therein.

History

Source: Added at 28 Ill. Reg. 14457, effective December 1, 2004

2 Ill. Adm. Code 600.APPENDIX A Internal Office Rulemaking Procedures – Flow Chart

2 Ill. Adm. Code 600.APPENDIX B Organization Chart

AUDITOR GENERAL

INSPECTOR GENERAL

CHIEF OF STAFF

EXECUTIVE SECRETARY TO AUDITOR GENERAL

EEO OFFICER

DEPUTY

AUDITOR GENERAL

FISCAL OFFICER

LEGAL COUNSEL

PERFORMANCE AUDITS

FINANCIAL/COMPLIANCE AUDITS

History

Source: Amended at 44 Ill. Reg. 5873, effective April 1, 2020

Chapter V Auditor General

Part 601 Freedom of Information

2 Ill. Adm. Code 601.100 Summary and Purpose

a) These rules are established to implement the provisions of The Freedom of Information Act (Ill. Rev. Stat. 1991, ch. 116, pars. 201 et seq.) [5 ILCS 140/1 et seq.]. The purpose of these rules is to support the policy of providing public access to the public records in the possession of the Office of the Auditor General while, at the same time, protecting legitimate privacy interests and maintaining administrative efficiency. To this end, the Auditor General's Regulation on Maintenance of Information, 74 Ill. Adm. Code 420: Subpart G, is incorporated herein by reference.

b) These rules create a procedure by which the public may request and obtain public records. Therefore, they are being filed as internal rules in accordance with Section 5-15 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-15) [5 ILCS 100/5-15].

History

Source: Amended at 18 Ill. Reg. 7739, effective May 9, 1994

2 Ill. Adm. Code 601.110 Definitions

Terms used in this Part shall have the same meaning as in the Freedom of Information Act.

"FOIA" means the Freedom of Information Act [5 ILCS 140].

"Freedom of Information Officer" or "FOI Officer" means an individual or individuals responsible for receiving and responding to requests for public records.

"OAG" means Office of the Auditor General.

"Requester" means a person who submits a request for public records in accordance with this Part.

History

Source: Amended at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.200 Person to Whom Requests Are Submitted

Requests for public records shall be submitted to the Freedom of Information Officer of the Office of the Auditor General. Requests for public records may be submitted by mail, e-mail, hand delivery or facsimile, directed to the FOI Officer, as follows:

FOI Officer

Office of the Auditor General

Iles Park Plaza

740 East Ash

Springfield, Illinois 62703-3154

(217)782-6046 (phone)

(888)261-2887 (TTY)

(217)785-8222 (facsimile)

oag.auditor@illinois.gov

History

Source: Amended at 42 Ill. Reg. 16032, effective August 1, 2018

2 Ill. Adm. Code 601.210 Form and Content of Requests

a) Requests must be made in accordance with FOIA.

b) The requester shall provide the following information in a request for public records:

A description of the public records sought, being as specific as possible;
Whether the request is for inspection of public records, copies of public records, or both; and
Whether the public record is being obtained for a commercial purpose.

History

Source: Amended at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.300 Time for Response

a) OAG shall respond to a written request for public records within five business days after the receipt of the request.

b) OAG may give notice of an extension of time to respond not exceeding an additional five business days. An extension is allowable if written notice is provided within the original time limit for the reasons provided in Section 3(e) of FOIA. The notice of extension shall state the reasons why the extension is necessary and the date by which the response will be forthcoming.

History

Source: Amended at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.310 Types of Responses

a) Upon approval of a request for public records, OAG may either make available the materials, give notice that the material shall be made available upon payment of allowable costs, or give notice of the time and place for inspection of records.

b) A denial of a request for public records shall be made in writing. It shall state the reasons for the denial, including a detailed factual basis for the application of any exemption claimed, and the names and titles or positions of individuals responsible for the decision. It shall also give notice of the requester's right to review by the Public Access Counselor established in the Office of the Attorney General and the requester's right to judicial review under Section 11 of FOIA.

c) Failure to respond to a written request within five business days after receipt will be considered by the requester a denial of the request.

History

Source: Amended at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.400 Appeal of a Denial (repealed)

History

Source: Repealed at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.410 Auditor General's Response to Appeal (repealed)

History

Source: Repealed at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.500 Inspection of Records

a) The inspection of records shall normally occur at the office of the Freedom of Information Officer during usual working hours (8:30-4:30 M-F). Either OAG or the requester may request that inspection take place in another location, but OAG may deny a requester's request if inconvenient to the production of records.

b) Documents the requester wishes to have copied shall be segregated during the course of the inspection. Generally, all copying shall be done by employees of the Office of the Auditor General.

c) An OAG employee may be present throughout the inspection. A requester may be prohibited from bringing bags, brief cases or other containers into the inspection room.

History

Source: Amended at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.510 Copies of Public Records

a) Copies of public records not exempt from disclosure under FOIA will be provided unless the requester makes arrangements to personally inspect the public records as provided in Section 601.500. The first 50 pages are provided free of charge. The OAG reserves the right to charge fees to reimburse its actual cost for reproducing public records exceeding 50 pages, as allowed by FOIA.

b) If the OAG incurs extraordinary shipping expenses for sending copies of public records to the requester, the OAG reserves the right to seek reimbursement of those actual shipping expenses from the requester.

c) Charges may be waived or reduced in any case in which the FOI Officer determines that the waiver serves the public interest.

History

Source: Amended at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.520 Materials Immediately Available

Detailed information about the OAG is publicly and immediately available at the OAG web site: www.auditor.illinois.gov. The OAG web site provides a description of the OAG's mission and responsibilities, organizational structure, categories of public records, and the process for obtaining public records. Public records immediately available on the web site include audit reports issued by the OAG, the OAG's quarterly and annual reports, audit advisories, and Legislative Travel Control Board meeting minutes and policies.

History

Source: Amended at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.APPENDIX A Request for Public Records (repealed)

History

Source: Repealed at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.APPENDIX B Fee Schedule for Duplication and Certification of Public Records (repealed)

History

Source: Repealed at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.APPENDIX C Approval of Request for Public Records (repealed)

History

Source: Repealed at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.APPENDIX D Denial of Request for Public Records (repealed)

History

Source: Repealed at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.APPENDIX E Partial Approval of Request for Public Records (repealed)

History

Source: Repealed at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.APPENDIX F Deferral of Response to Request for Public Records (repealed)

History

Source: Repealed at 34 Ill. Reg. 11459, effective August 13, 2010

2 Ill. Adm. Code 601.APPENDIX G Foia Appeal/Auditor General's Response (repealed)

History

Source: Repealed at 34 Ill. Reg. 11459, effective August 13, 2010

Part 605 Inspector General Complaint Policies and Procedures

2 Ill. Adm. Code 605.5 Definitions

"Act" means the State Officials and Employees Ethics Act [5 ILCS 430].

"Employee" means any person employed full-time, part-time, or pursuant to a contract and whose employment duties are subject to the direction and control of an employer with regard to the material details of how the work is to be performed, or any appointee, other than the Inspector General appointed by the Auditor General pursuant to Section 30-5 of the Act.

"Ethics Officer" means the person appointed by the Auditor General pursuant to Section 30-10 of the Act who shall act as liaison to the Inspector General.

"Inspector General" means the person appointed by the Auditor General pursuant to Article 30 of the Act.

"Ultimate jurisdictional authority" means, for employees of the Auditor General, the Auditor General.

2 Ill. Adm. Code 605.10 Jurisdiction

a) The jurisdiction of the Inspector General is to investigate allegations of fraud, waste, abuse, mismanagement, misconduct, nonfeasance, misfeasance, malfeasance, or violations of the Act or violations of other related laws or rules involving employees of the Office of the Auditor General.

b) The Inspector General will decline to investigate the following types of complaints:

complaints relating to conduct the most recent act of which occurred more than a year before the complaint is filed, except when there is reasonable cause to believe that fraudulent concealment has occurred. To constitute fraudulent concealment sufficient to toll this limitations period, there must be an affirmative act or representation calculated to prevent discovery of the fact that a violation has occurred;
complaints involving vendors of the Office of the Auditor General, unless the complaint also specifically alleges improper conduct by an employee of the Office of the Auditor General relating to that vendor;
anything that has been fully adjudicated (administratively or in a court) or is pending before an agency or pending in civil or criminal court; and
disagreements of legal interpretations relating to or arising out of the audit and examination process or decisions by the Office of the Auditor General relating to audits or examinations.

c) The Inspector General may also decline to investigate the following types of complaints:

complaints in which a person is dissatisfied with the Office of the Auditor General's administrative or personnel policies or procedures, such as the identity of one's supervisor or a work assignment; and
complaints that are currently pending before another federal, State or local entity.

History

Source: Amended at 34 Ill. Reg. 11477, effective August 13, 2010

Chapter V Auditor General

Part 605 Inspector General Complaint Policies and Procedures

2 Ill. Adm. Code 605.15 Complaint Form

The Inspector General shall prescribe and make available a complaint form.

2 Ill. Adm. Code 605.20 Referral to the Appropriate Entity

If the Inspector General receives a complaint form or other information that alleges misconduct of an officer or employee outside his or her jurisdiction, and referral to another agency is agreed to in writing by the person filing the complaint, then the Inspector General shall forward the complaint form or information to the appropriate Inspector General, appropriate ethics commission or other appropriate body and shall keep a record of this referral and its recipients.

2 Ill. Adm. Code 605.25 Referral to Law Enforcement Agencies

When it appears that a case may warrant criminal investigation, the Inspector General may immediately refer the allegation to an appropriate federal, State or local law enforcement agency or State Attorney General. Cases eligible for immediate referral for criminal investigation include complaints alleging criminal violations of the health or safety of an individual or the public.

2 Ill. Adm. Code 605.30 Opening an Investigative File

a) An investigative file shall be opened upon receipt of a complaint form meeting the requirements of this Part. Multiple complaint forms that relate to the same alleged acts of misconduct may be consolidated for purposes of investigation. In the absence of a completed complaint form, the Inspector General may create an investigation file and assign the file a unique tracking number if, upon information received, the Inspector General reasonably believes that misconduct may have occurred within the Inspector General's jurisdiction.

b) The investigation file shall contain the complaint form or, if none, so much of the information that would normally appear on the complaint form as is known to the Inspector General at the inception of the matter.

History

Source: Amended at 34 Ill. Reg. 11477, effective August 13, 2010

2 Ill. Adm. Code 605.40 Investigations

a) Investigations shall commence upon the opening of an investigation file.

b) The Inspector General shall have the discretion to determine whether reasonable cause exists to warrant the opening of an investigative file and to determine the appropriate means of investigation as permitted by law. All investigations will be conducted in a professional and thorough manner. Investigations will be properly documented and will be submitted in written reports of findings. Proper documentation of an investigation shall include, at a minimum, a description of the alleged misconduct or offense; the events and circumstances surrounding the allegation, including the results of interviews, review of documents and records, and other material information revealed during the investigation; and a recommendation concerning the merits of the allegation.

c) The Inspector General will utilize methods for investigative interviews consistent with current practices and techniques and will observe and comply with all laws and agreements related to the questioning of employees or other individuals.

d) When the Inspector General concludes that there is insufficient evidence that a violation has occurred, the Inspector General shall close the investigation. At the request of the subject of the investigation, the Inspector General shall provide a written statement to the subject of the investigation of the Inspector General's decision to close the investigation. Closure by the Inspector General does not bar the Inspector General from resuming the investigation if circumstances warrant.

e) Monthly Reports

The Inspector General shall monthly submit reports to the Auditor General indicating:

A) the number of allegations received since the date of the last report;

B) the number of investigations initiated since the date of the last report;

C) the number of investigations concluded since the date of the last report;

D) the number of investigations pending as of the reporting date;

E) the number of complaints referred to the Attorney General since the date of the last report; and

F) the number of allegations referred to any law enforcement agency since the date of the last report.

The monthly report shall be available on the Auditor General's website at www.auditor.illinois.gov.

History

Source: Amended at 34 Ill. Reg. 11477, effective August 13, 2010

2 Ill. Adm. Code 605.50 Summary Report

a) If the Inspector General, upon conclusion of an investigation, determines that reasonable cause exists to believe that a violation has occurred, then the Inspector General shall issue a summary report of the investigation. The report shall be delivered to the Auditor General, as ultimate jurisdictional authority.

b) The summary report of the investigation shall include the following:

A description of any allegations or other information received by the Inspector General pertinent to the investigation.
A description of any alleged misconduct discovered in the course of the investigation.
Recommendations for any corrective or disciplinary action to be taken in response to any alleged misconduct described in the report, including but not limited to discharge.
Other information the Inspector General deems relevant to the investigation or resulting recommendations.

c) The Auditor General shall respond to the summary report within 20 days, in writing, to the Inspector General. The response shall include a description of any corrective or disciplinary action to be imposed.

d) If the Inspector General determines that any alleged misconduct resulted in the loss of public funds in an amount of $5,000 or greater, the Inspector General shall refer the allegations regarding that misconduct to the Attorney General and any other appropriate law enforcement authority.

e) Within 60 days after receipt of a summary report and response from the Auditor General that resulted in a suspension of at least 3 days or termination of employment, the Inspector General shall make available to the public the report and response or a redacted version of the report and response. The Auditor General may make available to the public any other summary report and response or a redacted version of the report and response.

f) Before a summary report is made public, information shall be redacted that may reveal the identity of witnesses, complainants or informants, or that the Inspector General or Auditor General determines is appropriate to protect the identity of a person. The Inspector General or Auditor General may also redact any information either believes, after consultation with appropriate parties, should not be made public.

g) Publication of a report or response may be withheld if the Inspector General or Auditor General certifies that releasing the report to the public will interfere with an ongoing investigation.

History

Source: Amended at 34 Ill. Reg. 11477, effective August 13, 2010

2 Ill. Adm. Code 605.60 Cooperation in Investigations

a) It is the duty of every employee under the jurisdiction of the Inspector General to cooperate with the Inspector General in any investigation undertaken pursuant to the Act. Failure to cooperate with an investigation of the Inspector General is grounds for disciplinary action, including dismissal. Failure to cooperate includes, but is not limited to, intentional omissions and knowing false statements. Nothing in this provision limits or alters a person's existing rights or protections under State or federal law.

b) Any employee who is the subject of an investigation who, according to present evidence or allegations, faces potential discipline shall be notified by the Inspector General of whether the interview is criminal or administrative in nature and of the right to the presence of a representative or co-worker uninvolved in the investigation or the representation of a private attorney during any interview. The interview subject shall sign a written acknowledgement of his or her understanding of these rights on a form prescribed by the Inspector General. If, at any point, an interview subject indicates that he or she wants the presence of a person authorized by this subsection (b), the interview shall be suspended and a new date and time set. Evidence obtained directly or indirectly in violation of this subsection (b) shall not be admissible in any proceeding.

c) Interviews shall not be audiotaped or otherwise recorded without the written consent of the employee. The written consent shall indicate that the interview subject is not required to consent to the audio recording and his or her refusal to consent to the audio recording does not constitute failure to cooperate with the investigation. The written consent and audiotapes shall be preserved, unedited, in the investigation file.

History

Source: Amended at 34 Ill. Reg. 11477, effective August 13, 2010

2 Ill. Adm. Code 605.70 Confidentiality

a) The identity of any individual providing information or reporting any possible or alleged misconduct to the Inspector General shall be kept confidential and may be disclosed only on an as-needed basis, including for referrals to other Inspectors General, the Attorney General or appropriate law enforcement agencies, or with the consent of the individual or as otherwise required by law. The confidentiality granted by this subsection (a) does not preclude the disclosure of the identity of a person in any capacity other than as the source of an allegation.

b) Except as otherwise provided in Section 605.50 for summary reports, any allegations and related documents submitted to the Inspector General and the Inspector General's files and reports are exempt from the provisions of the Freedom of Information Act [5 ILCS 140] and are confidential, except as necessary for referral to and possible action by:

law enforcement agencies, prosecutorial authorities, other Inspectors General or other parties as permitted by this Part; and
the Auditor General.

c) If an investigation results in a finding that an employee engaged in misconduct, the results of the investigation and the names of the witnesses may become public in any ensuing administrative or judicial proceeding.

d) Requests from the ethics officer for guidance on matters involving the interpretation or application of the Act or rules promulgated under the Act are exempt from the provisions of the Freedom of Information Act. Guidance provided to an ethics officer or State employee at the request of an ethics officer on matters involving the interpretation or application of the Act or rules promulgated under the Act is exempt from the provisions of the Freedom of Information Act.

History

Source: Amended at 34 Ill. Reg. 11477, effective August 13, 2010

Chapter VI Comptroller

Part 625 Access to Information

2 Ill. Adm. Code 625.10 Public Inspection (repealed)

History

Source: Repealed at 8 Ill. Reg. 14967, effective August 3, 1984

2 Ill. Adm. Code 625.12 Purpose

These rules are established to implement the provisions of the Freedom of Information Act [5 ILCS 140] within the Office of the Comptroller. The purpose of these rules is to support the policy of providing public access to public records in the custody of the Comptroller while protecting legitimate interests in privacy and confidentiality and maintaining the efficient operation of the Office of the Comptroller.

History

Source: Added at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.13 Freedom of Information Officers

a) There shall be appointed one Freedom of Information Officer and one Assistant Freedom of Information Officer. The Freedom of Information Officer shall be based in either the Chicago or Springfield office. The Assistant Freedom of Information Officer shall be based in either the Chicago or Springfield office.

b) The Freedom of Information Officer shall be responsible for insuring compliance with the provisions of FOIA. It shall be the duty of the Freedom of Information Officer to receive, process, and respond to requests for public records made pursuant to the provisions of FOIA. It shall be the duty of the Assistant Freedom of Information Officer to submit to the Freedom of Information Officer all requests for public records received by the Assistant.

History

Source: Added at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.15 Definitions

Terms used in these rules shall have the same meaning as in the Freedom of Information Act, (Supp. to Ill. Rev. Stat. 1983, ch. 116, pars. 201 et seq.).

"FOIA" means the Freedom of Information Act.

"Freedom of Information Officer" means the individual responsible for receiving and responding to requests for public records.

"Requester" means a person who submits a request for public records in accordance with these rules.

History

Source: Added at 8 Ill. Reg. 14967, effective August 3, 1984

2 Ill. Adm. Code 625.20 Request to Be Made in Writing (repealed)

History

Source: Repealed at 8 Ill. Reg. 14967, effective August 3, 1984

2 Ill. Adm. Code 625.25 Requests for Public Records

a) Requests for public records in the custody of the Comptroller shall be submitted to the Freedom of Information Officer or the Assistant Freedom of Information Officer. Requests for public records may be in writing or made verbally. Verbal requests not reduced to writing will be processed as quickly as is feasible. However, the required response times and appeal procedures contained in FOIA and this Part do not apply to unwritten requests.

b) All requests for public records should be sufficiently specific to enable the Freedom of Information Officer to locate them without being unduly burdensome or disruptive to the Office of the Comptroller. Where possible, specific information regarding names, dates, voucher number, warrant number, vendor number, file designations and other information which would help identify the records should be supplied. If a request does not reasonably describe the records sought, the requester will be given an opportunity to confer with office personnel to reformulate the request.

c) All requests for public records must include the requester's full name, address and telephone number and shall state whether the request is for inspection of public records, copies of public records, or both.

History

Source: Amended at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.30 Specificity of Request (repealed)

History

Source: Repealed at 8 Ill. Reg. 14967, effective August 3, 1984

2 Ill. Adm. Code 625.35 Responses to Requests for Public Records

a) The Freedom of Information Officer will respond to a written request for public records within 7 working days after the receipt of such request.

b) The Freedom of Information Officer shall respond to a written request for public records by taking one or more of the following actions:

Approval of the request;
Approve in part and deny in part;
Provide notification that an extension of 7 working days will be required, giving reasons why the extension is necessary; or
Deny the request.

c) Upon approval of a request for public records, the Freedom of Information Officer may either provide the materials immediately, give notice that the materials shall be made available upon payment of reproduction costs or give notice of the time and place for inspection of records.

d) A denial of request for public records shall be made in writing. It shall state the reason for the denial and the names and titles of individuals responsible for the decision. It shall also give notice of the requestor's right to appeal directly to the Comptroller as specified in Section 625.45 of this Part.

e) Categorical requests creating an undue burden upon the Office of the Comptroller shall be denied only after extending to the requester an opportunity to confer in an attempt to reduce the request to manageable proportions.

f) Failure to respond to a written request within 7 working days may be considered to be a denial of the request.

History

Source: Amended at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.40 Cost of Requested Information (repealed)

History

Source: Repealed at 8 Ill. Reg. 14967, effective August 3, 1984

2 Ill. Adm. Code 625.45 Appeal of a Denial of a Request for Public Records

a) A requester whose request has been denied by the Freedom of Information Officer may appeal the denial to the Comptroller. The notice of appeal shall be made in writing and sent to:

State Comptroller

201 State House

Springfield, Illinois 62706

ATTN: FOIA Appeal

b) The Notice of Appeal shall include a copy of the original request, a copy of the denial received by the requester, and a statement of the reasons why the appeal should be granted.

c) The Comptroller will respond to an appeal within 7 working days after receiving notice thereof. The Comptroller shall respond to the appeal by taking the appropriate action(s) specified in Section 625.35(b).

d) The Comptroller in any letter affirming a denial shall include an explanation of the requester's right to judicial review of the Comptroller's decision. Failure to respond within 7 working days may be considered to be an affirmation of denial.

History

Source: Amended at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.50 Requests Which Are Disruptive of Office Operations (repealed)

History

Source: Repealed at 8 Ill. Reg. 14967, effective August 3, 1984

2 Ill. Adm. Code 625.55 Inspection and/or Copying of Records

a) All public records in the custody of the Office of the Comptroller, which are subject to inspection pursuant to FOIA, will be made available for inspection during normal hours at the office where those records are maintained. Inspection of public records shall be made under the supervision of the Freedom of Information Officer or his or her designee.

b) Upon inspection, the requestor may segregate those records that he or she wishes to have copied. Whenever copies of public records are requested, those copies shall be made by the Freedom of Information Officer or his or her designee.

c) Copies shall be provided to the requestor only upon payment of any copying fees that are due. Unless waived as provided in subsection (d) of this Section, fees for copies of public records shall be imposed as follows:

Paper - 35 per page when the page to be copied does not exceed legal size; and $1.00 per page when the page to be copied exceeds legal size.

Magnetic tape - $25 base charge for each request; $2 per 1,000 records produced, or any part thereof; and $30 for each magnetic tape reel we furnish.

Personal Computer Diskette - $25 base charge for each request; $2 per 1,000 records produced, or any part thereof; and $1 for each diskette we provide.

Special Programming Requests - $105 per hour, if special programming is required to produce the report.

d) Payment of fees shall be waived if the requestor is a State agency, a constitutional officer, or a member of the General Assembly. Fees may be waived whenever the Freedom of Information Officer determines that waiver of the fee serves the public interest.

History

Source: Amended at 26 Ill. Reg. 133, effective January 15, 2002

2 Ill. Adm. Code 625.60 Information Not Available for Inspection (repealed)

History

Source: Repealed at 8 Ill. Reg. 14967, effective August 3, 1984

2 Ill. Adm. Code 625.70 Appeal of a Request Denial (repealed)

History

Source: Repealed at 8 Ill. Reg. 14967, effective August 3, 1984

2 Ill. Adm. Code 625.110 Presentation to the Chief of Staff

Proposed rules, amendments to rules or repealers shall be prepared by interested personnel in the Office of the Comptroller and submitted to their Department Head. The Department Head may return the rules to the person submitting them with any recommendations for change he deems advisable or he may present them for approval to the Chief of Staff or his or her designee.

History

Source: Amended at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.120 Presentation to the Comptroller

The Chief of Staff shall present to the Comptroller the proposed rule including:

a) the text of the proposed rule or the old and new material of proposed amendment or the text of the rule to be repealed,

b) the specific statutory citation upon which the proposed action is based,

c) a description of the subjects and the issues involved, including the reasons for the proposed action and

d) any recommendations deemed advisable by the Chief of Staff.

History

Source: Amended at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.130 Action Upon Comptroller's Approval

If the Comptroller approves the proposed action, a member of the Comptroller's legal staff shall assist the Chief of Staff and the Department Head of the Department affected by the rule in preparing the proposed rule for submission to the Secretary of State for publication in the Illinois Register. The submission to the Secretary of State shall include the time, place and manner in which interested persons may present their views and comments concerning the intended action, including the date, place and time for any proposed hearings on the rule. The notice provisions do not apply to rules required by Section 5-15 of the Administrative Procedure Act [5 ILCS 100/5-15].

History

Source: Amended at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.140 Petitions

Any interested person may petition the Comptroller or any Department Head for the promulgation, amendment or repeal of a rule. Such petitions must be written and may be in the form of a letter or a document entitled "Petition for Adoption of a Rule". The petition shall include the text of the proposed rule or amendment or a citation to the rule which is to be repealed, together with the reasons for the proposed rule or amendment. The Department Head shall take the necessary action to prepare proposed changes, either as set forth in the petition or as modified, so that the office may initiate a rule making proceeding in accordance with Sections 625.110, 625.120 and 625.130 within 30 days of the receipt of the petition. If a Department Head believes that the proposed action should be denied, he shall inform the petitioner and the Comptroller within 30 days.

2 Ill. Adm. Code 625.150 Compilation of Rules

The legal staff of the Comptroller shall be responsible for the compilation, indexing and publication of all rules and shall see that the compilation supplement and revisions are filed with the Secretary of State, the Cook County Law Library in Chicago and with the Joint Committee on Administrative Rules and shall certify those rules which are currently in effect to the Secretary of State as required by law, rule or regulation.

2 Ill. Adm. Code 625.210 Duties of the Comptroller (repealed)

History

Source: Repealed at 8 Ill. Reg. 14967, effective August 3, 1984

2 Ill. Adm. Code 625.215 Duties of the Comptroller

The Comptroller, whose office is established by Section 17 of Article V of the Illinois Constitution of 1970, is the chief fiscal officer of the State. He is charged with a wide variety of duties and responsibilities by the Constitution, statutes and common law. Among these are the duties to maintain the State's central fiscal accounts and order payments into and out of funds held by the State Treasurer.

History

Source: Added at 8 Ill. Reg. 14967, effective August 3, 1984

2 Ill. Adm. Code 625.220 Office Locations (repealed)

History

Source: Repealed at 8 Ill. Reg. 14967, effective August 3, 1984

2 Ill. Adm. Code 625.225 Office Locations

The main office of the Comptroller is located in Room 201 of the State Capitol Building, Springfield, Illinois 62706. The major portion of the accounting and operations functions are accomplished at the Comptroller's offices located at 325 West Adams, Springfield, Illinois 62706. The Comptroller maintains a Records Center at 125 East Adams, Springfield, Illinois 62706. The Comptroller also maintains Chicago Offices, which are located at Suite 531 and Suite 637 of the State of Illinois Building, 160 North LaSalle Street, Chicago, Illinois 60601, and Suite 907, 188 West Randolph, Chicago, Illinois 60601.

History

Source: Added at 8 Ill. Reg. 14967, effective August 3, 1984

2 Ill. Adm. Code 625.230 Deputy Comptroller (repealed)

History

Source: Repealed at 8 Ill. Reg. 14967, effective August 3, 1984

2 Ill. Adm. Code 625.235 Employees and Budget (repealed)

History

Source: Repealed at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.240 Organization Chart (repealed)

History

Source: Repealed at 8 Ill. Reg. 14967, effective August 3, 1984

2 Ill. Adm. Code 625.245 List of Records

The following types and categories of records are maintained by the State Comptroller (not all records set forth below are available for public inspection and/or copying):

a) All State Vouchers;

b) All State Warrants;

c) All State Contracts exceeding $10,000 per year.

d) State Employee Payroll Information, including names, addresses and amounts paid;

e) Annual Reports on Illinois Bonded Indebtedness;

f) Monthly Fiscal Reports;

g) Satewide Accounting Management System;

h) Municipal, County and Local Government Audits;

i) Audits of Cemetery Care Funds;

j) Various Operational Reports i.e., Computer edit and balance, verification, etc.

k) Audits of Funeral and Burial Funds;

l) Personnel Records for Comptroller employees;

m) Audits of Pre-Need Cemetery Sales Act Funds.

History

Source: Amended at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.APPENDIX A Forms (repealed)

Section 625.EXHIBIT A Request for Public Records (Repealed)

History

Source: Repealed at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.APPENDIX A Forms (repealed)

Section 625.EXHIBIT B Approval of Request for Public Records (Repealed)

History

Source: Repealed at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.APPENDIX A Forms (repealed)

Section 625.EXHIBIT C Partial Approval of Request for Public Records (Repealed)

History

Source: Repealed at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.APPENDIX A Forms (repealed)

Section 625.EXHIBIT D Deferral of Response to Request for Public Records (Repealed)

History

Source: Repealed at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.APPENDIX A Forms (repealed)

Section 625.EXHIBIT E Denial of Request for Public Records (Repealed)

History

Source: Repealed at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.APPENDIX A Forms (repealed)

Section 625.EXHIBIT F FOIA Appeal--Comptroller's Response (Repealed)

History

Source: Repealed at 25 Ill. Reg. 8139, effective June 22, 2001

2 Ill. Adm. Code 625.APPENDIX B Organization Chart

Illinois Office of the Comptroller

History

Source: Amended at 25 Ill. Reg. 8139, effective June 22, 2001

Part 626 State Gift Ban Act

2 Ill. Adm. Code 626.5 Ethics Commission Members and Terms of Office

a) The Office of the Comptroller's Ethics Commission (Ethics Commission) shall consist of seven commissioners appointed by the Comptroller of the State of Illinois. No more than four of the seven appointees shall be of the same political party (see 5 ILCS 425/45).

b) The initial appointees to the Ethics Commission as Commissioners shall be divided into two groups. The Commissioners of the first group shall serve two-year terms, and the Commissioners of the second group shall serve one-year terms. Thereafter, Commissioners shall be appointed to two-year terms. Commissioners may be reappointed to serve subsequent terms.

2 Ill. Adm. Code 626.10 Meetings of the Commission

a) Ethics Commission meetings shall be held each January and throughout the year as needed.

b) The Chairperson or any two members of the Ethics Commission may call a Special Meeting of the Ethics Commission.

c) The regular meetings of the Ethics Commission shall be held at Springfield, Illinois, or such other place as designated by the Chairperson. The Chairperson shall designate the place of Special Meetings.

d) Notice of a meeting shall be transmitted to the members not less than five business days prior to any session of the Ethics Commission.

e) For the purposes of public notice, such notice to the public shall be posted at 325 West Adams, Springfield, Illinois, and at the Office of the Comptroller at 100 West Randolph, Suite 15-500 in Chicago, Illinois. Such public notice of meetings shall be posted at least 24 hours prior to the date and time of the meeting.

f) A quorum of the Ethics Commission shall consist of four members of the Ethics Commission. Official action of the Ethics Commission shall require the affirmative vote of four members of the Ethics Commission.

g) The Ethics Commission may nominate one of its members as Secretary of the Ethics Commission, or the Ethics Commission may designate a staff employee of the Office of the Comptroller as Secretary of the Ethics Commission or contract with an individual to perform the duties of Secretary of the Ethics Commission.

h) Voting shall be by voice vote and shall be recorded by the Secretary.

2 Ill. Adm. Code 626.20 Committees

The members of the Ethics Commission, by resolution, may create one or more committees and appoint members of the Ethics Commission or others to serve on the Committees. Each Committee shall have three or more members who shall serve at the pleasure of the Ethics Commission. Unless the guidelines issued by the Commission when it creates the Committee requires a greater number, a majority of any Committee shall constitute a quorum, and any action shall require the affirmative vote of a majority of the members of the Committee. A Committee may make recommendations to the Ethics Commission by unanimous consent, in writing, without a meeting, or subject to this Part. A Committee, by a majority vote of its members, shall determine the time and place of meetings and notice required for the meeting. A Committee shall be limited in its scope to such matters as specifically referred to it by the members of the Ethics Commission, and it shall take no action inconsistent with that direction nor consider any other matters, other than those matters given to it by the Ethics Commission.

2 Ill. Adm. Code 626.30 Informal Action by Committee Members

An action may be taken without a meeting if a consent in writing, setting forth the action so taken, is signed by all of the Committee members with respect to the subject matter. All approvals of the action taken and evidencing consent for the action shall be delivered to the Secretary to be placed in the Ethics Commission records.

2 Ill. Adm. Code 626.40 Telephonic Meetings

Members may attend meetings by telephone or video conference, so long as at least three of the members of the Ethics Commission are physically present at the time and place designated for the meeting. Members should notify the Chairperson, or the Chairperson's designee, of their intentions as to attendance. Members of any Committee of the Ethics Commission may participate and act at any meeting of the Ethics Commission through the use of a conference telephone or video communications equipment, by means of which all persons participating in such meeting shall constitute attendance. For a Committee Meeting, there is no requirement of physical presence.

2 Ill. Adm. Code 626.50 Presumption of Assent

A member of the Ethics Commission or a member of a Committee who is present at a meeting of either the Ethics Commission or a Committee at which action on any matter is taken shall be conclusively presumed to have assented to the action, unless his or her dissent is entered in the minutes of the meeting or unless he or she files written dissent to the action with the person acting as the Secretary of the meeting before adjournment, or shall forward his or her dissent to the Secretary immediately after the adjournment of the meeting.

2 Ill. Adm. Code 626.60 Resignations, Removals and Vacancies

a) Any member of the Ethics Commission may resign at any time by giving written notice to the members of the Ethics Commission and the Comptroller. The resignation shall take effect at the time specified in the notice and, unless tendered to take effect upon acceptance, the acceptance of the resignation shall not be necessary to make it effective.

b) The Comptroller may remove a Commissioner in case of incompetency, neglect of duty, or malfeasance in office. The charges against a Commissioner shall be in writing and shall be served on the Commissioner by certified mail, return receipt requested. The Commissioner so charged shall have 10 business days after the receipt of the charges to request an opportunity to be heard and respond to the charges in person or by counsel. A hearing requested by a Commissioner so charged shall be held not less than 10 business days after the request for a hearing on the charges is received.

c) The Comptroller shall fill any vacancy occurring in the membership of the Ethics Commission for the completion of the term of the vacant position.

2 Ill. Adm. Code 626.70 Officers of the Commission

a) The Commission shall annually elect from among the Commissioners a Chairperson, a Vice-Chairperson and a Secretary.

b) The Chairperson, subject to the control of the Ethics Commission, shall in general supervise the business and affairs of the Ethics Commission and shall see that resolutions and directions of the Ethics Commission are carried into effect except when that responsibility is specifically assigned to some other person by the Ethics Commission. The Chairperson shall preside at all meetings of the Ethics Commission.

c) In the absence of the Chairperson, or in the event of the Chairperson's inability or refusal to act, the Vice Chairperson shall perform the duties of the Chairperson and, when so acting, shall have all the authority of and be subject to all the restrictions upon the Chairperson.

d) The Secretary shall:

keep the minutes of the proceedings of the Ethics Commission;
ensure that the Ethics Commission's records are maintained by the Comptroller's Office;
in general, perform all such duties incident to the position of Secretary and such other duties as from time to time may be prescribed by the Chairperson or the Ethics Commission.

2 Ill. Adm. Code 626.80 Conflict of Interest

In the event that a member of the Ethics Commission believes that he or she has a conflict of interest with respect to any matter brought before the Ethics Commission or for any other reason, that member shall advise the Ethics Commission of the material facts of any transaction in which the member may have an interest or any relationship the member believes may create a conflict. If the members of the Ethics Commission believe that the situation constitutes a conflict of interest, then the member shall abstain from voting on the issue. The abstention from voting by the member shall not alter the requirement that four votes are necessary for the Ethics Commission to take official action.

Chapter VII Treasurer

Part 650 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 650.105 Introduction

Pursuant to Section 5-15(a)(1) of the Illinois Administrative Procedure Act (IAPA) [5 ILCS 100], the Treasurer promulgates this Subpart setting forth the organization of the Office of the Treasurer.

2 Ill. Adm. Code 650.110 Office of the Treasurer

The Office of the Treasurer is created pursuant to Article V, Section 17 of the Illinois Constitution of 1970 and is responsible for the safekeeping and investment of the State's monies and securities. In addition to these constitutionally required responsibilities, the State Treasurer has other responsibilities prescribed by law.

2 Ill. Adm. Code 650.115 Office of the Treasurer – Locations

The main office of the Treasurer is located at the Illinois Statehouse, Room 219, in Springfield, Illinois 62706. The principal branch office is located at One East Old State Capitol Plaza, Springfield, IL 62701. The Chicago branch office is located at 555 West Monroe Street, 14th Floor, Chicago, Illinois. The Treasurer maintains other offices, principally for internal operations of the Treasurer. A list of all current offices is available upon request.

History

Source: Amended at 48 Ill. Reg. 13846, effective August 29, 2024

2 Ill. Adm. Code 650.120 Office of the Treasurer – General Division of Responsibilities

The various responsibilities and functions of the Office of the Treasurer are generally assigned within the Office of the Treasurer. The general areas of responsibility are:

a) Administrative

b) Financial Products

c) Banking

d) Investments

e) Unclaimed Property

f) Legal

History

Source: Amended at 48 Ill. Reg. 13846, effective August 29, 2024

2 Ill. Adm. Code 650.205 Introduction

Pursuant to Section 5-15(a)(2) of the IAPA, the Treasurer promulgates this Subpart setting forth the current procedures by which the public can obtain information or make submissions or requests on subjects, programs and activities of the Office of the Treasurer.

2 Ill. Adm. Code 650.210 Comments to the Office of the Treasurer

Members of the public who desire to make any submission, comment, request or objection regarding any program, policy or activity of the Office of the Treasurer may do so verbally by calling main office at (866) 458-7327 or, if submitting a request pursuant to the Freedom of Information Act (5 ILCS 140), writing to either foia@illinoistreasurer.gov or:

FOIA Officer

Office of the Illinois State Treasurer

One East Old State Capitol Plaza

Springfield, Illinois 62701

History

Source: Amended at 45 Ill. Reg. 15095, effective November 10, 2021

2 Ill. Adm. Code 650.215 Freedom of Information Act

Members of the public who desire to make a request for information pursuant to the Illinois Freedom of Information Act (FOIA) [5 ILCS 140] should follow the procedures contained in 2 Ill. Adm. Code 651 (Access to Records of the Office of the Illinois State Treasurer).

2 Ill. Adm. Code 650.220 Requests for Rules of the Office of the Treasurer

The rules of the Office of the Treasurer are part of the Illinois Administrative Code and can be found on the website of the Illinois General Assembly at www.ilga.gov. Members of the public who desire to make a request for a copy of any of the Administrative Rules of the Office of the Treasurer can make that request in writing to the following:

Rules Coordinator

Illinois State House, Room 219

Springfield, Illinois 62706

History

Source: Amended at 45 Ill. Reg. 15095, effective November 10, 2021

2 Ill. Adm. Code 650.305 Introduction

Pursuant to Section 5-15(a)(3) of the IAPA, the Treasurer promulgates the table of contents in Section 650.310 to aid the public in finding and using the Administrative Rules of the Office of the Treasurer.

2 Ill. Adm. Code 650.310 Administrative Rules - Table of Contents

The Administrative Rules of the Office of the Treasurer are as follows:

Achieving a Better Life Experience (ABLE)

Account Program ........................................................................ 74 Ill. Adm. Code 722

Access to Records of the Office of the

Illinois State Treasurer ............................................................... 2 Ill. Adm. Code 651

Americans With Disabilities Act

Grievance Procedure .................................................................. 4 Ill. Adm. Code 350

Banking and Automated Teller Machine Services ..................... 74 Ill. Adm. Code 600

Capital Crimes Litigation Trust Fund ........................................ 74 Ill. Adm. Code 725

Classification and Pay ................................................................ 80 Ill. Adm. Code 610

College Savings Pool .................................................................. 23 Ill. Adm. Code 2500

Conditions of Employment ......................................................... 80 Ill. Adm. Code 630

Disbursement of Funds – Special Handling ............................... 74 Ill. Adm. Code 710

E-Pay Program ............................................................................ 74 Ill. Adm. Code 735

General Provisions ...................................................................... 80 Ill. Adm. Code 640

Hospital Basic Services Preservation Act .................................. 74 Ill. Adm. Code 755

Illinois Public Treasurers' Investment Pool

for Public Treasurers in the State of Illinois ............................... 74 Ill. Adm. Code 740

Illinois State Treasurer and Office of Banks

and Real Estate Joint Rules Governing the

Uniform Disposition of Unclaimed Property ............................. 74 Ill. Adm. Code 761

Joint Rules of the Treasurer and

Comptroller: Extensions of Time for

the Deposit of Funds into the State Treasury ............................. 74 Ill. Adm. Code 700

Merit and Fitness ........................................................................ 80 Ill. Adm. Code 620

Public Information, Rulemaking and Organization ................... 2 Ill. Adm. Code 650

Procurement ................................................................................ 44 Ill. Adm. Code 1400

Revised Uniform Unclaimed Property Act ................................ 74 Ill. Adm. Code 760

Rules for Charitable Trust Stabilization Committee .................. 74 Ill. Adm. Code 650

Rules of Practice in Administrative Hearings ............................ 74 Ill. Adm. Code 730

Secure Choice Savings Program ................................................ 74 Ill. Adm. Code 721

Technology Development Account (TDA) Program ................. 74 Ill. Adm. Code 719

Transfers Between Accounts Within a Fund Held

By the State Treasurer ................................................................ 74 Ill. Adm. Code 275

History

Source: Amended at 48 Ill. Reg. 13846, effective August 29, 2024

Chapter VII Treasurer

Part 650 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 650.405 Introduction

Pursuant to Section 5-15(a)(4) of the IAPA, the Treasurer promulgates this Subpart setting forth the Office of the Treasurer's rulemaking procedures.

2 Ill. Adm. Code 650.410 Rulemaking Procedures

a) Administrative rulemaking may be initiated in three ways:

Rulemaking required by legislative Act, judicial decree or Executive Order of the State Treasurer, or reflecting other changes in administrative policies;
Rulemaking initiated by recognition of a necessary rule by the audit or administrative functions of the Office of the Treasurer; or
A request from the public or other third party for the Office of the Treasurer to undertake rulemaking in a particular area.

b) Once initiated, all rulemaking is referred to the General Counsel, or their designee, for the purpose of analyzing and, if necessary, drafting a rulemaking.

c) After a rulemaking has been drafted, the draft is circulated within the Office of the Treasurer for comment.

d) Comments are received and analyzed and, if necessary, the rulemaking is revised.

e) The rulemaking is then formally submitted to the Secretary of the State's Index Department and published, processed, evaluated, revised and adopted pursuant to the requirements of the IAPA.

History

Source: Amended at 48 Ill. Reg. 13846, effective August 29, 2024

2 Ill. Adm. Code 650.APPENDIX A Organizational Chart

TREASURER

Chief of Staff

Administrative

Financial Products

Banking

Investments

Unclaimed Property

Legal

History

Source: Amended at 48 Ill. Reg. 13846, effective August 29, 2024

2 Ill. Adm. Code 650.APPENDIX B Chart of Rulemaking Procedures

Chapter VII State Treasurer

Part 651 Access to Records of the Office of the Illinois State Treasurer

2 Ill. Adm. Code 651.110 Summary and Purpose

a) This Part states the policy of Office of the Illinois State Treasurer (Office of the Treasurer) for making its records available for reasonable public inspection while, at the same time, protecting legitimate interests in confidentiality.

b) This Part:

Establishes the following classifications for records in the Office of the Treasurer's possession:

A) Records that shall be disclosed; and

B) Records that shall be withheld from disclosure.

Contains the procedures by which requesters may obtain records in the Office of the Treasurer's possession; and
Contains the procedures for claiming and determining that records submitted to the Office of the Treasurer are exempt from disclosure.

2 Ill. Adm. Code 651.120 Definitions

Terms not defined in this Section shall have the same meaning as in the Freedom of Information Act [5 ILCS 140]. The following definitions are applicable for purposes of this Part:

"Act" means State Treasurer Act [15 ILCS 505].

to access and disseminate information concerning news and current or passing events;

for articles of opinion or features of interest to the public; or

for the purpose of academic, scientific, or public research or education. (Section 2(c-10) of FOIA)

"FOIA" means the Freedom of Information Act [5 ILCS 140].

"Freedom of Information Officer" or "FOIA Officer" means an individual or individuals responsible for receiving and responding to requests for public records.

"Office of the Treasurer" means the Office of the Illinois State Treasurer as established by the Act.

"Person" means any individual, corporation, partnership, firm, organization or association, acting individually or as a group. (Section 2(b) of FOIA)

"Public Access Counselor" means an individual appointed to that office by the Attorney General under Section 7 of the Attorney General Act [15 ILCS 205].

"Recurrent requester" as used in Section 3.2 of FOIA or Section 651.340, means a person that, in the 12 months immediately preceding the request, has submitted to the Office of the Treasurer:

a minimum of 50 requests for records;

a minimum of 15 requests for records within a 30-day period; or

a minimum of 7 requests for records within a 7-day period.

For purposes of this definition, requests made by news media and non-profit, scientific, or academic organizations shall not be considered in calculating the number of requests made in the time periods in this definition when the principal purpose of the requests is:

to access and disseminate information concerning news and current or passing events;

for articles of opinion or features of interest to the public; or

for the purpose of academic, scientific, or public research or education.

For the purposes of this definition, "request" means a written document (or oral request, if the Office of the Treasurer chooses to honor oral requests) that is submitted to the Office of the Treasurer via personal delivery, mail, telefax, electronic mail, or other means available to the Office of the Treasurer and that identifies the particular public record the requester seeks. One request may identify multiple records to be inspected or copied. (Section 2(g) of FOIA)

"Requester" is any person who has submitted to the Office of the Treasurer a written request, electronically or on paper, for records.

"Treasurer" means the Illinois State Treasurer.

"Voluminous request" means a request that:

includes more than 5 individual requests for more than 5 different categories of records or a combination of individual requests that total requests for more than 5 different categories of records in a period of 20 business days; or

requires the compilation of more than 500 letter or legal-sized pages of public records unless a single requested record exceeds 500 pages.

"Single requested record" may include, but is not limited to, one report, form, e-mail, letter, memorandum, book, map, microfilm, tape, or recording.

"Voluminous request" does not include a request made by news media and non-profit, scientific, or academic organizations if the principal purpose of the request is:

to access and disseminate information concerning news and current or passing events;

for articles of opinion or features of interest to the public; or

for the purpose of academic, scientific, or public research or education.

For the purposes of this definition, "request" means a written document, or oral request, if the Office of the Treasurer chooses to honor oral requests, that is submitted to the Office of the Treasurer via personal delivery, mail, telefax, electronic mail, or other means available to the Office of the Treasurer and that identifies the particular public record or records the requester seeks. One request may identify multiple individual records to be inspected or copied. (Section 2(h) of FOIA)

History

Source: Amended at 46 Ill. Reg. 1635, effective January 7, 2022

Chapter VII State Treasurer

Part 651 Access to Records of the Office of the Illinois State Treasurer

2 Ill. Adm. Code 651.210 Records That Will Be Disclosed

Following a request meeting the requirements of this Part, the Office of the Treasurer shall disclose to the requester all records requested except that it shall not disclose certain records as provided in Section 651.220 or 651.230. Records covered under this Section shall include, but are not limited to:

a) Records of funds. All records relating to the obligation, receipt and use of public funds of the Office of the Treasurer are records subject to inspection and copying by the public. (Section 2.5 of FOIA)

b) Payrolls. Certified payroll records submitted to the Office of the Treasurer under Section 5(a)(2) of the Prevailing Wage Act [820 ILCS 130] are records subject to inspection and copying in accordance with the provisions of FOIA; except that contractors' and employees' addresses, telephone numbers, and Social Security numbers will be redacted by the Office of the Treasurer prior to disclosure. (Section 2.10 of FOIA)

c) Criminal history records. The following documents maintained by the Office of the Treasurer pertaining to criminal history record information are records subject to inspection and copying by the public pursuant to FOIA:

Court records that are public;
Records that are otherwise available under State or local law; and
Records in which the requesting party is the individual identified, except as provided under Section 7(1)(d)(vi) of FOIA. (Section 2.15(b) of FOIA)

d) Settlement agreements. All settlement agreements entered into by or on behalf of the Office of the Treasurer are records subject to inspection and copying by the public, provided that information exempt from disclosure under Section 7 of FOIA or Section 651.220 or 651.230 of this Part may be redacted. (Section 2.20 of FOIA)

History

Source: Amended at 46 Ill. Reg. 1635, effective January 7, 2022

2 Ill. Adm. Code 651.220 Records That May Be Withheld from Disclosure

When a request is made to inspect or copy a record that contains information that is otherwise exempt from disclosure under Section 7 of FOIA, but also contains information that is not exempt from disclosure, the Office of the Treasurer shall make the remaining information available for inspection and copying. (Section 7(1) of FOIA)

a) Records described in Section 7 of FOIA shall be exempt from inspection and copying, which includes the following:

Confidential information obtained by the Office of the Treasurer from a Technology Business, as defined by the Technology Development Act [30 ILCS 265], consisting of trade secrets, commercial or financial information regarding the operation of the Technology Business or the competitive position of the Technology Business.
Information that identifies the purchasers or qualified beneficiaries of any Illinois prepaid tuition contract or any terms or beneficiaries of any Illinois prepaid tuition contract or any terms or provisions of a contract as those terms and provisions relate to a particular purchaser or qualified beneficiary, or discloses any other matter relating to the participation of any purchaser or qualified beneficiary in the Illinois Bright Start program or in any independent plan under which that program is administered.

b) A record that is not in the possession of the Office of the Treasurer but is in the possession of a party with whom the Office of the Treasurer has contracted to perform a governmental function on behalf of the Office of the Treasurer, and that directly relates to the governmental function and is not otherwise exempt under FOIA, shall be considered a record of the Office of the Treasurer for purposes of Subpart C. (Section 7(2) of FOIA)

History

Source: Amended at 46 Ill. Reg. 1635, effective January 7, 2022

2 Ill. Adm. Code 651.230 Statutory Exemptions

Certain records are exempt from inspection and copying under FOIA pursuant to Section 7.5 of FOIA.

History

Source: Amended at 46 Ill. Reg. 1635, effective January 7, 2022

2 Ill. Adm. Code 651.310 Submittal of Requests for Records

a) Any request for public records should be submitted in writing to the FOIA Officer at the Office of the Treasurer.

b) The Office of the Treasurer has one FOIA Officer.

c) Contact information for the FOIA Officer may be found online at https://illinoistreasurer.gov/foia.

d) FOIA requests may be submitted via mail, e-mail, fax, or hand delivery.

Requests via mail or hand delivery, should be addressed and forwarded as follows:

Office of the Illinois State Treasurer

ATTN: FOIA Officer

1 East Old State Capitol Plaza

Springfield, Illinois 62701

E-mailed requests should be sent to FOIA@illinoistreasurer.gov, contain the request in the body of the e-mail, and indicate in the subject line of the e-mail that it contains a FOIA request.
Faxed FOIA requests should be faxed to (217) 785-8554, Attn: FOIA Officer.

History

Source: Amended at 46 Ill. Reg. 1635, effective January 7, 2022

2 Ill. Adm. Code 651.320 Information to Be Provided in Requests for Records

A request for records should include:

a) The complete name, mailing address and telephone number of the requester;

b) As specific a description as possible of the records sought. Requests that the Office of the Treasurer considers unduly burdensome or categorical may be denied. (See Section 3(g) of FOIA and Section 651.420 of this Part.);

c) A statement as to the requested medium and format for the Office of the Treasurer to use in providing the records sought: for example, paper or electronic copies;

d) A statement as to the requested manner for the Office of the Treasurer to use in providing the records sought: for example, inspection at Office of the Treasurer headquarters or providing paper or electronic copies;

e) A statement as to whether the requester needs certified copies of all or any portion of the records, including reference to the specific documents that require certification; and

f) A statement as to whether the request is for a commercial purpose.

History

Source: Amended at 46 Ill. Reg. 1635, effective January 7, 2022

2 Ill. Adm. Code 651.330 Requests for Records for Commercial Purposes

a) It is a violation of FOIA for a person to knowingly obtain a record for a commercial purpose without disclosing that it is for a commercial purpose if requested to do so by the Office of the Treasurer. (Section 3.1(c) of FOIA)

b) The Office of the Treasurer shall respond to a request for records to be used for a commercial purpose within 21 working days after receipt. The response shall:

Provide to the requester an estimate of the time required by the Office of the Treasurer to provide the records requested and an estimate of the fees to be charged, which the Office of the Treasurer may require the person to pay in full before copying the requested documents;
Deny the request pursuant to one or more of the exemptions set out in Section 651.220 or 651.230;
Notify the requester that the request is unduly burdensome and extend an opportunity to the requester to attempt to reduce the request to manageable proportions; or
Provide the records requested. (Section 3.1(a) of FOIA)

c) Unless the records are exempt from disclosure, the Office of the Treasurer shall comply with a request within a reasonable period considering the size and complexity of the request, and giving priority to records requested for non-commercial purposes. (Section 3.1(b) of FOIA)

History

Source: Amended at 46 Ill. Reg. 1635, effective January 7, 2022

2 Ill. Adm. Code 651.340 Recurrent Requesters

a) Notwithstanding any provision of FOIA to the contrary, the Office of the Treasurer shall respond to a request from a recurrent requester, as defined in subsection (g) of Section 2 of FOIA or Section 651.120, within 21 business days after receipt. The response shall:

Provide to the requester an estimate of the time required by the Office of the Treasurer to provide the records requested and an estimate of the fees to be charged, which the Office of the Treasurer may require the person to pay in full before copying the requested documents;
Deny the request pursuant to one or more of the exemptions set out in Sections 7 and 7.5 of FOIA or Section 651.220 or 651.230 of this Part;
Notify the requester that the request is unduly burdensome and extend an opportunity to the requester to attempt to reduce the request to manageable proportions; or
Provide the records requested. (Section 3.2(a) of FOIA)

b) Within 5 business days after receiving a request from a recurrent requester, as defined in subsection (g) of Section 2 of FOIA or Section 651.120, the Office of the Treasurer shall notify the requester:

that the Office of the Treasurer is treating the request as a request under subsection (g) of Section 2 of FOIA or Section 651.120;
of the reasons why the Office of the Treasurer is treating the request as a request under subsection (g) of Section 2 of FOIA or Section 651.120; and
that the Office of the Treasurer will send an initial response within 21 business days after receipt in accordance with subsection (a) of Section 3.2 of FOIA or Section 651.340. The public body shall also notify the requester of the proposed responses that can be asserted pursuant to subsection (a) of Section 3.2 of FOIA or Section 651.340.

History

Source: Added at 46 Ill. Reg. 1635, effective January 7, 2022

2 Ill. Adm. Code 651.350 Voluminous Requests

a) Notwithstanding any provision of FOIA to the contrary, the Office of the Treasurer shall respond to a voluminous request within 5 business days after receipt. The response shall notify the requester:

that the Office of the Treasurer is treating the request as a voluminous request;
the reasons why the Office of the Treasurer is treating the request as a voluminous request;
that the requester must respond to the Office of the Treasurer within 10 business days after the Office of the Treasurer’s response was sent and specify whether the requester would like to amend the request in such a way that the Office of the Treasurer will no longer treat the request as a voluminous request;
that if the requester does not respond within 10 business days or if the request continues to be a voluminous request following the requester's response, the Office of the Treasurer will respond to the request and assess any fees the Office of the Treasurer charges pursuant to Section 651.520;
that the Office of the Treasurer has 5 business days after receipt of the requester's response or 5 business days from the last day for the requester to amend his or her request, whichever is sooner, to respond to the request;
that the Office of the Treasurer may request an additional 10 business days to comply with the request;
of the requester's right to review of the Office of the Treasurer’s determination by the Public Access Counselor and provide the address and phone number for the Public Access Counselor;
that if the requester fails to accept or collect the responsive records, the Office of the Treasurer may still charge the requester for its response pursuant to Section 6 of the Act and Section 651.520 of this Part and the requester's failure to pay will be considered a debt due and owing to the Office of the Treasurer and may be collected in accordance with applicable law. (Section 3.6(a) of FOIA)

b) The Office of the Treasurer shall provide a person making a voluminous request 10 business days from the date the Office of the Treasurer’s response pursuant to subsection (a) is sent to amend the request in such a way that the Office of the Treasurer will no longer treat the request as a voluminous request.

c) If a request continues to be a voluminous request following the requester's response under subsection (b) of Section 3.6(b) of the Act or the requester fails to respond, the Office of the Treasurer shall respond within the earlier of 5 business days after it receives the response from the requester or 5 business days after the final day for the requester to respond to the Office of the Treasurer’s notification under this subsection. The response shall:

Provide an estimate of the fees to be charged, which the Office of the Treasurer may require the person to pay in full before copying the requested documents;
Deny the request pursuant to one or more of the exemptions set out in Sections 7 and 7.5 of FOIA or this Part;
Notify the requester that the request is unduly burdensome and extend an opportunity to the requester to attempt to reduce the request to manageable proportions; or
Provide the records requested.

d) The time for response by the Office of the Treasurer under subsection (c) may be extended by the Office of the Treasurer for not more than 10 business days from the final day for the requester to respond to the Office of the Treasurer’s notification under subsection (c) of this Section for any of the reasons provided in subsection (e) of Section 3 of FOIA or Section 651.410(b). The requester and the Office of the Treasurer may agree in writing to extend the time for compliance for a period to be determined by the parties. If the requester and the Office of the Treasurer agree to extend the period for compliance, a failure by the Office of the Treasurer to comply with any previous deadlines shall not be treated as a denial of the request for the records.

e) If a requester does not pay a fee charged pursuant to Section 651.520 for a voluminous request, the debt shall be considered a debt due and owing to the Office of the Treasurer and may be collected in accordance with applicable law. This fee may be charged by the Office of the Treasurer even if the requester fails to accept or collect records the Office of the Treasurer has prepared in response to a voluminous request. (Section 3.6(e) of FOIA)

History

Source: Added at 46 Ill. Reg. 1635, effective January 7, 2022

2 Ill. Adm. Code 651.410 Timeline for Response

a) Except as stated in subsection (b) or (c), the Office of the Treasurer will respond to any written request for records within 5 business days after its receipt of the request. Failure to comply with a written request, extend the time for response, or deny a request within 5 business days after its receipt shall be considered a denial of the request. If the Office of the Treasurer fails to respond to a request within the requisite periods in this subsection (a) but thereafter provides the requester with copies of the requested records, it will not impose a fee for such copies. If the Office of the Treasurer fails to respond to a request received, it will not treat the request as unduly burdensome as provided under Section 651.420. (Section 3(d) of FOIA) A written request from the Office of the Treasurer to provide additional information shall be considered a response to the FOIA request.

b) The time limits prescribed in subsection (a) may be extended for not more than 5 business days from the original due date for any of the following reasons:

The requested records are stored in whole or in part at locations other than the office having charge of the requested records;
The request requires the collection of a substantial number of specified records;
The request is couched in categorical terms and requires an extensive search for the records responsive to it;
The requested records have not been located in the course of routine search and additional efforts are being made to locate them;
The requested records require examination and evaluation by personnel having the necessary competence and discretion to determine if they are exempt from disclosure under Section 7 or 7.5 of FOIA or should be revealed only with appropriate deletions;
The request for records cannot be complied with by the Office of the Treasurer within the time limits prescribed by subsection (a) without unduly burdening or interfering with the operations of the Office of the Treasurer; or
There is a need for consultation, which shall be conducted with all practicable speed, with another public body or among two or more components of a public body having a substantial interest in the determination or in the subject matter of the request. (Section 3(e) of FOIA)

c) The person making a request and the Office of the Treasurer may agree in writing to extend the time for compliance for a period to be determined by the parties. If the requester and the Office of the Treasurer agree to extend the period for compliance, a failure by the Office of the Treasurer to comply with any previous deadlines shall not be treated as a denial of the request for the records. (Section 3(e) of FOIA)

d) When additional time is required for any of the reasons set forth in subsection (b), the Office of the Treasurer will, within 5 business days after receipt of the request, notify the person making the request of the reasons for the extension and the date by which the response will be forthcoming. Failure to respond within the time permitted for extension shall be considered a denial of the request. If the Office of the Treasurer fails to respond to a request within the time permitted for extension but thereafter provides the requester with copies of the requested public records, it may not impose a fee for those copies. If the Office of the Treasurer issues an extension and subsequently fails to respond to the request, it will not treat the request as unduly burdensome under Section 651.420. (Section 3(f) of FOIA)

History

Source: Amended at 46 Ill. Reg. 1635, effective January 7, 2022

2 Ill. Adm. Code 651.420 Requests for Records That the Office of the Treasurer Considers Unduly Burdensome

a) The Office of the Treasurer will fulfill requests calling for all records falling within a category unless compliance with the request would unduly burden the Office of the Treasurer, there is no way to narrow the request, and the burden on the Office of the Treasurer outweighs the public interest in the information. Before invoking this exemption, the Office of the Treasurer will extend to the requester an opportunity to confer with it in an attempt to reduce the request to manageable proportions. (Section 3(g) of FOIA) The amended request must be in writing.

b) If the Office of the Treasurer determines that a request is unduly burdensome, it shall do so in writing, specifying the reasons why it would be unduly burdensome and the extent to which compliance will so burden the operations of the Office of the Treasurer. Such a response shall be treated as a denial of the request for information. (Section 3(g) of FOIA)

2 Ill. Adm. Code 651.430 Requests for Records That Require Electronic Retrieval

a) A request for records that requires electronic retrieval will be treated the same as any other request for records, with the same timeline and extensions as allowed for other records.

b) The Office of the Treasurer will retrieve and provide electronic records only in a format and medium that is available to the Office of the Treasurer.

2 Ill. Adm. Code 651.440 Denials of Requests for Records

a) The Office of the Treasurer will deny requests for records when:

Compliance with the request would unduly burden the Office of the Treasurer, as determined pursuant to Section 651.420, and the requester has not reduced the request to manageable proportions; or
The records are exempt from disclosure pursuant to Section 7 or 7.5 of FOIA or Section 651.220 or 651.230 of this Part.

b) The denial of a request for records must be in writing.

The notification shall include a description of the records denied; the reason for the denial, including a detailed factual basis for the application of any exemption claimed; and the names and titles or positions of each person responsible for the denial (Section 9(a) of FOIA);
Each notice of denial shall also inform such person of the right to review by the Public Access Counselor and provide the address and phone number for the Public Access Counselor (Section 9(a) of FOIA); and
When a request for records is denied on the grounds that the records are exempt under Section 7 or 7.5 of FOIA, the notice of denial shall specify the exemption claimed to authorize the denial and the specific reasons for the denial, including a detailed factual basis and a citation to the supporting legal authority (Section 9(b) of FOIA).

c) A requester may treat the Office of the Treasurer's failure to respond to a request for records within 5 business days after receipt of the written request as a denial for purposes of the right to review by the Public Access Counselor.

d) If the Office of the Treasurer has given written notice pursuant to Section 651.410(d), failure to respond to a written request within the time permitted for extension may be treated as a denial for purposes of the right to review by the Public Access Counselor.

e) Any person making a request for records shall be deemed to have exhausted his or her administrative remedies with respect to that request if the Office of the Treasurer fails to act within the time periods provided in Section 651.410. (Section 9(c) of FOIA)

History

Source: Amended at 46 Ill. Reg. 1635, effective January 7, 2022

2 Ill. Adm. Code 651.450 Requests for Review of Denials - Public Access Counselor

a) A person whose request to inspect or copy a record is denied by the Office of the Treasurer may file a request for review with the Public Access Counselor established in the Office of the Attorney General not later than 60 days after the date of the final denial. (Section 9.5(a) of FOIA)

b) A person whose request to inspect or copy a public record is made for a commercial purpose as defined in subsection (c-10) of Section 2 of FOIA or Section 651.120 may not file a request for review with the Public Access Counselor. A person whose request to inspect or copy a public record was treated by the public body as a request for a commercial purpose under Section 3.1 of FOIA or Section 651.330 may file a request for review with the Public Access Counselor for the limited purpose of reviewing whether the public body properly determined that the request was made for a commercial purpose. (Section 9.5(b) of FOIA)

c) Within 7 business days after the Office of the Treasurer receives a request for review from the Public Access Counselor, the Office of the Treasurer shall provide copies of records requested and shall otherwise fully cooperate with the Public Access Counselor. (Section 9.5(c) of FOIA)

d) Within 7 business days after it receives a copy of a request for review and request for production of records from the Public Access Counselor, the Office of the Treasurer may, but is not required to, answer the allegations of the request for review. The answer may take the form of a letter, brief, or memorandum. The Public Access Counselor shall forward a copy of the answer to the person submitting the request for review, with any alleged confidential information to which the request pertains redacted from the copy. (Section 9.5(d) of FOIA)

e) The requester may, but is not required to, respond in writing to the answer within 7 business days and shall provide a copy of the response to the Office of the Treasurer. (Section 9.5(d) of FOIA)

f) In addition to the request for review, and the answer and response thereto, if any, a requester or the Office of the Treasurer may furnish affidavits or records concerning any matter germane to the review. (Section 9.5(e) of FOIA)

g) A binding opinion from the Attorney General shall be binding upon both the requester and the Office of the Treasurer, subject to administrative review under Section 651.470. (Section 9.5(f) of FOIA)

i) Upon receipt of a binding opinion concluding that a violation of FOIA has occurred, the Office of the Treasurer shall either take necessary action immediately to comply with the directive of the opinion or shall initiate administrative review under Section 651.470. If the opinion concludes that no violation of FOIA has occurred, the requester may initiate administrative review under Section 651.470. (Section 9.5(f) of FOIA)

j) If the Office of the Treasurer discloses records in accordance with an opinion of the Attorney General, the Office of the Treasurer is immune from all liabilities by reason thereof and shall not be liable for penalties under FOIA. (Section 9.5(f) of FOIA)

k) If the requester files suit under Section 651.460 with respect to the same denial that is the subject of a pending request for review, the requester shall notify the Public Access Counselor, and the Public Access Counselor shall so notify the Office of the Treasurer. (Section 9.5(g) of FOIA)

l) The Attorney General may also issue advisory opinions to the Office of the Treasurer regarding compliance with FOIA. A review may be initiated upon receipt of a written request from the Treasurer or the Office of the Treasurer's General Counsel, which shall contain sufficient accurate facts from which a determination can be made. The Public Access Counselor may request additional information from the Office of the Treasurer in order to assist in the review. If the Office of the Treasurer relies in good faith on an advisory opinion of the Attorney General in responding to a request, the Office of the Treasurer is not liable for penalties under FOIA, so long as the facts upon which the opinion is based have been fully and fairly disclosed to the Public Access Counselor. (Section 9.5(h) of FOIA)

m) A person whose request to inspect or copy a public record was treated by the Office of the Treasurer as a voluminous request under Section 3.6 of FOIA or Section 651.350 of this Part may file a request for review with the Public Access Counselor for the purpose of reviewing whether the public body properly determined that the request was a voluminous request. (Section 9.5(b-5) of FOIA)

History

Source: Amended at 46 Ill. Reg. 1635, effective January 7, 2022

2 Ill. Adm. Code 651.460 Circuit Court Review

2 Ill. Adm. Code 651.470 Administrative Review

A binding opinion issued by the Attorney General shall be considered a final decision of an administrative agency, for purposes of administrative review under the Administrative Review Law [735 ILCS 5/Art. III]. An action for administrative review of a binding opinion of the Attorney General shall be commenced in Cook County or Sangamon County. An advisory opinion issued to the Office of the Treasurer shall not be considered a final decision of the Attorney General for purposes of this Section. (Section 11.5 of FOIA)

2 Ill. Adm. Code 651.480 Records Maintained Online

a) Notwithstanding any provision of FOIA or this Part to the contrary, the Office of the Treasurer is not required to copy a public record that is published on the Office of the Treasurer’s website. The Office of the Treasurer shall notify the requester that the public record is available online and direct the requester to the website where the record can be reasonably accessed. (Section 8.5(a) of FOIA)

b) If the person requesting the public record is unable to reasonably access the record online after being directed to the website pursuant to Section 8.5(2) of FOIA, the requester may re-submit his or her request for the record stating his or her inability to reasonably access the record online, and the Office of the Treasurer shall make the requested record available for inspection or copying as provided in Section 3 of FOIA. (Section 8.5(b) of FOIA)

History

Source: Added at 46 Ill. Reg. 1635, effective January 7, 2022

Chapter VII State Treasurer

Part 651 Access to Records of the Office of the Illinois State Treasurer

2 Ill. Adm. Code 651.503 General Materials Available from the Freedom of Information Officer

The Freedom of Information Officer shall make available to the public at no charge the following materials:

a) A brief description of the organizational structure and budget of the Office of the State Treasurer;

b) A brief description of the means for requesting information and public records; and

c) A list of types and categories of public records maintained by the Office of the State Treasurer.

2 Ill. Adm. Code 651.510 Inspection of Records

a) The Office of the Treasurer may make available records for personal inspection at the Office of the Treasurer's headquarters located at One East Old State Capitol Plaza, Springfield, Illinois 62701, or at another location agreed to by both the Office of the Treasurer and the requester. No original record shall be removed from State-controlled premises except under constant supervision of the agency responsible for maintaining the record. The Office of the Treasurer may provide records in duplicate forms, including, but not limited to, paper copies, data processing printouts, videotape, microfilm, audio tape, reel to reel microfilm, photographs, computer disks and diazo.

b) When a person requests a copy of a record maintained in an electronic format, the Office of the Treasurer shall furnish it in the electronic format specified by the requester, if feasible. If it is not feasible to furnish the records in the specified electronic format, then the Office of the Treasurer shall furnish it in the format in which it is maintained by the Office of the Treasurer, or in paper format at the option of the requester. (Section 6(a) of FOIA)

c) A requester may inspect records by appointment only, scheduled subject to space availability. The Office of the Treasurer will schedule inspection appointments to take place during normal business hours, which are 8:30 a.m. to 5:00 p.m. Monday through Friday, exclusive of State holidays. If the requester must cancel the viewing appointment, the requester shall so inform the Office of the Treasurer as soon as possible before the appointment.

d) In order to maintain routine Office of the Treasurer operations, the requester may be asked to leave the inspection area for a specified period of time.

e) The requester will have access only to the designated inspection area.

f) Requesters shall not be permitted to take briefcases, folders or similar materials into the room where the inspection takes place. An Office of the Treasurer employee may be present during the inspection.

g) The requester shall segregate and identify the documents to be copied during the course of the inspection.

History

Source: Amended at 46 Ill. Reg. 1635, effective January 7, 2022

2 Ill. Adm. Code 651.520 Copying of Records; Fees

a) In accordance with Section 651.530, unless a fee is otherwise fixed by statute, the Office of the Treasurer will provide copies of records and certifications of records in accordance with the fee schedule set forth in Appendix A.

b) In calculating its actual cost for reproducing records or for the use of the equipment of the Office of the Treasurer to reproduce records, the Office of the Treasurer will not include the costs of any search for and review of the records or other personnel costs associated with reproducing the records, except for commercial requests as provided in Section 6(f) of FOIA or Section 651.520(f). (Section 6(b) of FOIA)

c) In order to expedite the copying of records that the Office of the Treasurer cannot copy, due to the volume of the request or the operational needs of the Office of the Treasurer, in the timelines established in Section 651. 410, the requester may provide, at the requester's expense, the copy machine, all necessary materials, and the labor to copy the public records at the Office of the Treasurer headquarters in Section 651. 510, or at another location agreed to by both the Office of the Treasurer and the requester. No original record shall be removed from State-controlled premises except under constant supervision of the agency responsible for maintaining the record.

d) Copies of records will be provided to the requester only upon payment of any fees due. The Office of the Treasurer may charge the requester for the actual cost of purchasing the recording medium, whether disc, diskette, tape, or other medium, but the Office of the Treasurer will not charge the requester for the costs of any search for and review of the records or other personnel costs associated with reproducing the records, except for commercial requests as provided in Section 6(f) of FOIA or Section 651.520(f). (Section 6(a) of FOIA) Payment must be by check or money order sent to the Office of the Treasurer, payable to "Treasurer, State of Illinois".

e) If a contractor is used to inspect or copy records, the following procedures shall apply:

The requester, rather than the Office of the Treasurer, must contract with the contractor;
The requester is responsible for all fees charged by the contractor;
The requester must notify the Office of the Treasurer of the contractor to be used prior to the scheduled on-site inspection or copying;
Only Office of the Treasurer personnel may provide records to the contractor;
The Office of the Treasurer must have verification that the requester has paid the Office of the Treasurer, if payment is due, for the copying of the records before providing the records to the contractor; and
The requester must provide to the Office of the Treasurer the contractor's written agreement to hold the records secure and to copy the records only for the purpose stated by the requester.

f) The Office of the Treasurer may charge up to $10 for each hour spent by personnel in searching for and retrieving a requested record or examining the record for necessary redactions. No fees shall be charged for the first 8 hours spent by personnel in searching for or retrieving a requested record. The Office of the Treasurer may charge the actual cost of retrieving and transporting public records from an off-site storage facility when the public records are maintained by a third-party storage company under contract with the Office of the Treasurer. If the Office of the Treasurer imposes a fee pursuant to Section 6(f) of FOIA or Section 651.520(f), it must provide the requester with an accounting of all fees, costs, and personnel hours in connection with the request for public records. The provisions of this subsection (f) apply only to commercial requests. (Section 6(f) of FOIA)

g) If a voluminous request is for electronic records and those records are not in a portable document format (PDF), the Office of the Treasurer may charge up to $20 for not more than 2 megabytes of data, up to $40 for more than 2 but not more than 4 megabytes of data, and up to $100 for more than 4 megabytes of data. If a voluminous request is for electronic records and those records are in a portable document format, the Office of the Treasurer may charge up to $20 for not more than 80 megabytes of data, up to $40 for more than 80 megabytes but not more than 160 megabytes of data, and up to $100 for more than 160 megabytes of data. If the responsive electronic records are in both a portable document format and not in a portable document format, the Office of the Treasurer may separate the fees and charge the requester under both fee scales.

If the Office of the Treasurer imposes a fee pursuant to this subsection (g), it must provide the requester with an accounting of all fees, costs, and personnel hours in connection with the request for public records. (Section 6(a-5) of FOIA)

History

Source: Amended at 46 Ill. Reg. 1635, effective January 7, 2022

2 Ill. Adm. Code 651.530 Reduction and Waiver of Fees

a) Fees may be reduced or waived by the Office of the Treasurer if the requester states the specific purpose for the request and indicates that a waiver or reduction of the fee is in the public interest. In making this determination, the Office of the Treasurer will consider the following:

Whether the principal purpose of the request is to disseminate information regarding the health, safety, welfare or legal rights of the general public; and
Whether the principal purpose of the request is personal or commercial benefit. For purposes of this subsection (a), "commercial benefit" shall not apply to requests made by news media when the principal purpose of the request is to access and disseminate information regarding the health, safety, welfare or legal rights of the general public. (Section 6(c) of FOIA)

b) The Office of the Treasurer will provide copies of records without charge to federal, State and municipal agencies, Constitutional officers and members of the General Assembly, and not-for-profit organizations providing evidence of good standing with the Secretary of State's Office.

2 Ill. Adm. Code 651.APPENDIX A Fee Schedule for Duplication and Certification of Records

TYPE OF DUPLICATION

FEE (PER COPY)

Paper copy from original, up to and including 50 copies of black and white, letter or legal sized copies

No charge

Paper copy from original, in excess of 50 copies of black and white, letter or legal sized copies

$.15/page

Paper copy from microfilm original

$.15/page

Microfilm diazo from original

$.50/diazo

VHS video copy of tape

Actual cost of the reproduction

Audio tape copy of tape

Actual cost of the reproduction

CD ROM disk

Actual cost of the reproduction

Photograph from negative

Actual cost of the reproduction

Blueprints/oversized prints

Actual cost of the reproduction

Paper copies in color or in a size other than letter or legal

Actual cost of the reproduction

Certification fee

$1.00/record

Chapter I Department of Agriculture

Part 700 Organizational Chart, Description, Rulemaking Procedure, and Programs

2 Ill. Adm. Code 700.10 Scope of the Department of Agriculture

a) The Department of Agriculture administers programs which provide assistance to farmers, agricultural and related businesses and associations, regulates industries that serve agriculture, operates a soil and agriculture land protection program, administers animal welfare and disease control programs, administers programs to insure consumer protection in the areas of wholesome and properly identified meat and poultry and meat and poultry products, administers programs designed to protect the public health, safety and welfare and to assure the Illinois citizen that all weighing and measuring devices and labels on prepackaged consumer products, feed, seeds and fertilizers are accurate. The Department administers grant funds in accordance with statutory authority and budgetary provisions and operates the Illinois State Fair and the DuQuoin State Fair and manages both fairgrounds. The Department is separated into six divisions and the Office of the Assistant Director.

b) Administrative functions reporting directly to the Director are:

Executive and staff assistants perform duties as requested by the Director.
The auditing staff audits and reports on fiscal matters, as well as program functions.
The public information section issues news releases, prepares radio programs and arranges press coverage.
The Comptroller's Office processes payrolls, vouchers for expenses incurred and items purchased, and contracts; central deposit of receipts; administers the State's insurance, rural rehabilitation funds, and vehicle accident insurance; manages the inventory of State property; prepares Federal grant applications; and submits and administers the Department's annual budget.
The Bureau of Personnel advises on personnel-related activities and policies and assures all such procedures are within the parameters of the Personnel Code, Personnel Rules, Classification Plan, Pay Plan, and Collective Bargaining Unit provisions. The Bureau administers the Department's affirmative action, worker's compensation, and employee assistance programs.
The legal staff provides counsel to the Department on all legal matters.
The legislative staff is responsible for the preparation and presentation of the Department's legislative program and for advising the Governor about bills that affect agriculture.
The rulemaking staff prepares and adopts rules in accordance with the procedures and requirements of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1001-1 et seq.) and maintains the official rules of the Department as promulgated under the statutory authority of the Department.

c) Office of the Director:

Department of Agriculture, Agriculture Building, State Fairgrounds, Post Office Box 19281, Springfield, 62794-9281; Phone 217/782-2172; FAX 217/785-4505.
Comptroller's Offices; Phone 217/782-5687.
Bureau of Personnel; Phone 217/782-2172.

History

Source: Amended at 16 Ill. Reg. 3893, effective February 28, 1992

2 Ill. Adm. Code 700.20 Office of the Assistant Director

a) The Office of the Assistant Director support staff serve all branches of the Department. Functions of the Office include:

The support staff performs a variety of support functions. They carry out research projects on problems facing the Department or any sector of the agricultural community. Internal management programs are administered through this office, such as, training programs for Department personnel.
The Bureau of Computer and Printing Services provides data processing, word processing, printing support services, and mail room shipping and receiving for the entire Department.

b) Address and phone numbers for the Office of Assistant Director:

Assistant Director, Department of Agriculture, Agriculture Building, State Fairgrounds, Post Office Box 19281, Springfield, 62794-9281; Phone 217/782-2172; FAX 217/785-4505.
Computer and Printing Services; Phone 217/785-5705.

History

Source: Amended at 16 Ill. Reg. 3893, effective February 28, 1992

2 Ill. Adm. Code 700.30 Division of Animal Industries

a) The Division of Animal Industries is separated into four bureaus:

The Bureau of Animal Disease Laboratory--Centralia, primarily through the practicing veterinarian, provides assistance to livestock and companion animal owners experiencing problems relative to animal diseases. Toxicology services are also offered to the general public and local and state government entities. It also provides support for animal disease control and eradication programs and animal welfare programs.
The Bureau of Animal Disease Laboratory--Galesburg, primarily through the practicing veterinarian, provides assistance to livestock and companion animal owners experiencing problems relative to animal diseases. It also provides support for animal disease control and eradication programs and animal welfare programs.
The Bureau of Animal Health is responsible for programs related to the movement of livestock, and control or eradication of cattle scabies, swine and bovine brucellosis, bovine tuberculosis, equine infectious anemia, equine viral encephalitides, pullorum-typhoid, mycoplasma gallisepticum, Salmonella enteritidis, mycoplasma synoviae in poultry, pseudorabies and a number of other animal diseases when occurrence of a disease warrants regulatory action. Services include registration of slaughter livestock buyers and brokers, and the licensing of bull lessors, feeder swine dealers, livestock dealers, and livestock auction markets.
The Bureau of Animal Welfare is responsible for regulating the retail companion animal industry including animal control and animal welfare. It also administers programs relative to the humane care of animals, dead animal disposal, refrigerated warehouses, the registration of brands, and the sale and use of horse meat.

b) In addition to the four bureaus, the Division, in cooperation with the United States Department of Agriculture, operates the State-Federal Serology Laboratory in Springfield. The principal activity of this laboratory is the testing of blood and milk for specific disease antibodies.

c) The Apiary Section is concerned with controlling bee diseases and makes periodic inspections of bee colonies.

d) Addresses and phone numbers for the Division of Animal Industries:

Superintendent, Division of Animal Industries, Ariculture Building, State Fairgrounds, Post Office Box 19281, Springfield, 62794-9281; Phone 217/782-4944.
Laboratory Manager, Bureau of Animal Disease Laboratory--Centralia, Division of Animal Industries, Shattuc Road, Centralia, 62801-9284; Phone 618/532-6701.
Veterinarian Chief, Bureau of Animal Disease Laboratory--Galesburg, Division of Animal Industries, 2100 South Lake Storey Road P.O. Box 2110, Galesburg, 61402-2100; Phone 309/344-2451.
Veterinarian Chief, Bureau of Animal Health, Division of Animal Industries, Agriculture Building, State Fairgrounds, Post Office Box 19281, Springfield, 62794-9281; Phone 217/782-4944.
Veterinarian Chief, Bureau of Animal Welfare, Division of Animal Industries, Agriculture Building, State Fairgrounds, Post Office Box 19281, Springfield, 62794-9281; Phone 217/782-6657.
Supervisor, State-Federal Serology Laboratory, Division of Animal Industries, Agriculture Building, State Fairgrounds, Post Office Box 19241, Springfield, 62794-9241; Phone 217/782-4790.

e) Branch Offices:

Bureau of Animal Welfare, Room 20, 1010 Jorie Blvd., Oak Brook, 60521; Phone 708/990-8258.
Meats Chemistry Laboratory, Shattuc Road Centralia, 62801-9284; Phone 618/532-6701.

History

Source: Amended at 16 Ill. Reg. 3893, effective February 28, 1992

2 Ill. Adm. Code 700.35 Division of Consumer Services

a) The Division of Consumer Services is separated into two bureaus:

The Bureau of Meat and Poultry Inspection licenses and inspects all establishments throughout the State that slaughter and process meat or poultry and meat and poultry products for intrastate sale. The Bureau also inspects federally licensed establishments under the Talmadge-Aiken Act for interstate shipment of meat and poultry and meat and poultry products. The compliance and enforcement section is responsible for investigating establishments, premises, vehicles, and products subject to Illinois laws and rules pertaining to animal health, livestock disease control, and the slaughter, processing and identification of meat and poultry and meat and poultry products and initiating court or administrative action when violations of Illinois laws or rules are documented. On special assignment, personnel perform internal investigations relative to activities of department personnel.
The Bureau of Weights and Measures is responsible for a wide range of programs designed to protect Illinois citizens. The Bureau provides for inspection of weighing and measuring devices. The Bureau contains a metrology lab which maintains the State of Illinois standards against which all weighing and measuring devices in the State must be calibrated. Sampling and analysis of motor fuels are made in accordance with the Motor Fuel and Petroleum Standards Act. Produce and prepack inspections are conducted to determine whether the label on the packaged item and the contents are in agreement or whether the advertised grade and weight of the product are correct. The Bureau inspects and licenses egg producers and egg breaking establishments as well as licenses merchants dealing in fresh fruits and vegetables.

b) Addresses and phone number of the Division of Consumer Services:

Superintendent, Division of Consumer Services, Department of Agriculture, Agriculture Building, State Fairgrounds, Post Office Box 19281, Springfield, 62794-9281; Phone 217/782-3817.
Veterinarian Chief, Bureau of Meat and Poultry Inspection; Phone 217/782-6684.
Bureau Chief, Bureau of Weights and Measures; Phone 217/782-3817.

c) Branch Offices:

Region I, Bureau of Meat and Poultry Inspection, 1010 Jorie Boulevard, Room 20, Oak Brook, 60521; Phone 708/990-8259.
Region II, Bureau of Meat and Poultry Inspection, 2022 Sycamore Road, Suite C, DeKalb, 60115; Phone 815/756-8579.
Region III, Bureau of Meat and Poultry Inspection, 2100 South Lake Storey Road, P.O. Box 2110X, Galesburg, 61402-2100; Phone 309/344-1925.
Region IV, Bureau of Meat and Poultry Inspection, Agriculture Building, State Fairgrounds, P.O. Box 19281, Springfield, 62794-9281; Phone 217/785-4753.
Region V, Bureau of Meat and Poultry Inspection, Shattuc Road, Centralia, 62801-9284; Phone 618/532-6705.

History

Source: Added at 16 Ill. Reg. 3893, effective February 28, 1992

2 Ill. Adm. Code 700.40 Division of Marketing and Promotion

a) The Division of Marketing and Promotion is comprised of four bureaus.

The Bureau of Market Development and Information consists of two sections:

A) The Market News Section includes the Illinois Federal-State Livestock Market News Service, the Federal-State Grain Market News Service, and transportation assistance to market agricultural products. Daily, weekly and monthly "Market News" reports are issued.

B) The Market Service Section develops new marketing opportunities and conducts research aimed at increasing the profitability of agribusinesses. This section administers domestic market development and commodity promotional programs which are designed to assist both buyers and sellers of Illinois agricultural products in increasing their markets and in enhancing the image of Illinois agriculture. The Feeder Pig Grading Program is implemented by this Section under cooperative agreement with the United States Department of Agriculture. This Section implements various industry development campaigns in an effort to attract new companies or expand existing companies.

The Bureau of Agricultural Statistics is a cooperative effort with the National Agricultural Statistics Service of the United States Department of Agriculture and is responsible for the collection and distribution of basic agricultural statistics for Illinois.

A) Weekly reports issued: Weather and crop reports (April through November).

B) Monthly reports on: Agricultural prices; field crop yields and production forecasts during the growing season; milk production; livestock slaughtered; and apple and peach production forecasts during the growing season.

C) Quarterly releases on: Cattle on feed; grain stocks; hog inventory and pig crop; egg production; farm labor; and wage rates.

D) Annual or semi-annual reports issued cover: Cattle inventory and calf crop; commercial fertilizer sales; poultry inventory; manufactured dairy products; timber prices; prospective plantings (planted and acreage for harvest); and processing and major fresh market vegetable production.

E) "Annual Summary of Illinois Agricultural Statistics" includes all regularly published series of State estimates and estimates by counties, information on farm numbers, crop acreages, land utilization, livestock numbers, and cash receipts for crops and livestock by county.

F) Special releases are also issued from time to time. A list of reports published by this Bureau and their content is available on request.

The Bureau of International Marketing conducts promotional activities and programs within the state and in foreign markets to increase sales of Illinois food and agricultural products worldwide.

A) It operates the Illinois Agricultural Trade Referral Service, a computerized system developed in conjunction with the Agricultural Marketing Service of the United States Department of Agriculture.

B) It publishes the annual "Illinois Food Guide" and "Illinois Agribusiness Guide."

C) It carries on an active schedule of international marketing activities.

D) It provides international business consulting services to client companies.

The Bureau of Food Marketing and Promotional Events develops and implements programs which assist Illinois food companies to market and promote their products nationwide. These programs and events include:

A) Coordination of trade shows and exhibits which help Illinois companies to introduce their product lines to food buyers.

B) Organization of in-store promotions, menu promotions, and other promotional activities which encourage Illinois consumers to purchase Illinois produced products.

C) Coordination of the Illinois Product Evaluation program, a market research program which assists Illinois food companies to obtain valuable consumer feedback about their product lines.

D) Publication and distribution of a variety of special guides and directories which educate consumers and food buyers on specific aspects of the illinois food industry.

E) Organization of awareness programs which educate consumers about food safety and nutritional issues.

F) In addition, the bureau also develops materials and coordinates events which educate Illinois consumers about the Illinois Department of Agriculture and its services.

b) Addresses and phone numbers for the Division of Marketing and Promotion:

Superintendent, Division of Marketing and Promotion, Department of Agriculture, Agriculture Building, State Fairgrounds, Post Office Box 19281, Springfield, 62794-9281; Phone 217/782-6675.
Bureau of Agricultural Statistics; Phone 217/492-4295.
Bureau of Market Development and Information; Phone 217/782-6675.
Bureau of International Marketing; Phone 217/782-6675.
Bureau of Food Marketing and Promotional Events; Phone 217/782-6675.

c) Branch Offices: Market News Branch, National Stockyards, National City, 62071; Phone 618/271-6658.

d) Overseas Offices:

BRUSSELS, State of Illinois European Office, Illinois Department of Agriculture, 28-30 Boulevard de la Cambre, BTE 2, 1050 Brussels, Belgium; Phone 011.32.2.646.57.30.
State of Illinois Canadian Office, 123 Front Street W., Suite 900, Toronto, Ontario M5I 2M2, Canada; Phone 416/365-9888.
HONG KONG, Illinois Far East Office, Illinois Department of Agriculture, 1305 Sincere Building, 173 Des Voeux Road (Central), Hong Kong; Phone 011.852.5.451099.
Officina Del Estado De Illinois, Paseo de la Reforma No. 450-Piso 4, 06600 Mexico, D.F.; Phone 011.525.208.4185 or 208.2058; Fax 011.525.511.2084.
Illinois Department of Agriculture (Soviet Union Office), World Trade Center, 321 N. Clarke Street, Suite 550, Chicago 60610; Phone 312/793-4915.

History

Source: Amended at 16 Ill. Reg. 3893, effective February 28, 1992

2 Ill. Adm. Code 700.50 Division of Agricultural Industry Regulation

a) The Division of Agricultural Industry Regulation is separated into two bureaus:

The Bureau of Agricultural Products Inspection provides regulation and consumer protection pertaining to animal feeds, fertilizers, soil amendments, seeds, and anhydrous ammonia products. The Bureau maintains registrations of products and facilities associated with these agricultural products. Required labeling information is reviewed for each product to assure that guarantees and product identity are truthfully labeled for the consumer. Samples for these products are obtained by inspectors from various sources and analyzed to assure that stated guarantees are met. The Bureau contains a chemistry laboratory and a seed laboratory which provide laboratory support to the Bureau's activities. The chemistry laboratory analyzes samples of products to assure that legal requirements are maintained and that guarantees to the consumer are correct. The seed laboratory conducts tests on official seed samples submitted by field staff and performs consumer service seed testing for the public.
The Bureau of Warehouses licenses and regulates grain dealers, grain warehousemen, personal property warehousemen, agricultural cooperatives and speciality farm product buyers. The Bureau's duties include protecting consumers, which include farmers, bankers, urban landlords, and the United States Department of Agriculture who store grain in warehouses or who sell grain to grain dealers in the normal course of business. The Illinois Grain Insurance fund offers protection to consumers who have grain stored in warehouses equal to 100% of the value of the grain. In the event that consumers have sold grain to grain dealers and have not received payment, the Illinois Grain Insurance fund affords coverage equal to 85% up to a maximum of $100,000 to individual claimants. The Personal Property Warehouse Act requires the Department to license and regulate warehousemen who store personal property for hire. These warehouses include household goods warehouses and commercial distribution warehouses. The bulk of these warehouses are in the Chicago metropolitan area. The Speciality Farm Product buyers Act is aided at identifying the specialty farm product buyers. The Bureau performs grain warehouse and grain dealer examinations under a cooperative agreement with the United States Department of Agriculture.

b) Addresses and phone numbers for the Division of Agricultural Industry Regulation:

Superintendent, Division of Agricultural Industry Regulation, Department of Agriculture, Agriculture Building, State Fairgrounds, Post Office Box 19281, Springfield, 62794-9281; Phone 217/782-3629.
Bureau of Agricultural Products Inspection; Phone 217/782-3817.
Bureau of Warehouses; Phone 217/782-2895.

History

Source: Amended at 16 Ill. Reg. 3893 effective February 28, 1992

2 Ill. Adm. Code 700.60 Division of Fairs and Horse Racing

a) The Division of Fairs and Horse Racing is responsible for the operation of the State Fairs as a showcase for the nation and world to view Illinois agriculture, as a place for industrial, cultural, educational, trade and scientific exhibits, for the promotion of horse racing and other competitive sports, and for the entertainment and enjoyment of the people of the State of Illinois. The Division is also responsible for promoting the general use of the Fairgrounds and the facilities located on the Fairgrounds year around.

Illinois State Fair--schedules and coordinates non-fair activities on the fairground; arranges space rental for Fair and non-fair events; supervises competitive events during the Illinois State Fair and is responsible for the payment of premiums for those events; responsible for providing entertainment at the Illinois State Fair, including Grandstand, free stages and special events; and contracts for and supervises contractual activities providing services to the Fair, including but not limited to, admission and parking. Publicity and promotion for the Illinois State Fair is initiated in this section.
The Bureau of County Fairs administers funds to county fairs, expositions, 4-H Clubs and Vocational Agricultural Section Fairs according to statutory authority. Each year a "Recapitulation of the Reports of the Fairs" is compiled and published. Also published is a list of fair dates each season, with the names and addresses of the fair secretaries.
The Bureau of Horse Racing is responsible for administering a program designed to increase the quality and number of standardbred and thoroughbred race horses in the state. Annual reports are issued on the yearly foal registration and on the registration of qualified stallions.
Bureau of DuQuoin State Fair--schedules and coordinates non-fair activities on the fairgrounds; arranges space rental for fair and non-fair events; supervises competitive events during the DuQuoin State Fair and is responsible for the payment of premiums for those events; responsible for providing entertainment at the DuQuoin State Fair, including grandstand, free stages and special events; and contracts for and supervises contractual activities providing services to the fair, including but not limited to, admission and parking. Publicity and promotion for the DuQuoin State Fair is initiated in this bureau.
The Bureau of Buildings and Grounds is responsible for the management and maintenance of all buildings and grounds, equipment and security under the control of the Department.

b) Address and phone number for the Division of Fairs and Horse Racing:

Superintendent, Division of Fairs and Horse Racing, Department of Agriculture, Emmerson Building, State Fairgrounds, Springfield, 62706; Phone 217/782-6661.
Illinois State Fair; Phone 217/782-6661.
Bureau of County Fairs; Phone 217/782-7411.
Bureau of DuQuoin State Fair, Box 408, DuQuoin, 62832; Phone 618/542-9373.
Bureau of Horse Racing; Phone 217/782-4504.
Bureau of Buildings and Grounds; Phone 217/782-0789 (Springfield) and 618/542-9797 (DuQuoin).

History

Source: Amended at 16 Ill. Reg. 3893, effective February 28, 1992

2 Ill. Adm. Code 700.70 Division of Natural Resources

a) The Division of Natural Resources is separated into three bureaus:

The Bureau of Environmental Programs regularly surveys for infestations of plant pests and plant diseases and establishes quarantines, cooperates with county weed commissioners to institute weed control programs, inspects and licenses nurseries, inspects horticulture to insure plant health and control diseases, and registers economic poisons. The Departments of Agriculture and Public Health, each in its jurisdictional area, license and certify persons in Illinois who handle and apply pesticides. Custom public pesticide applicators are certified and/or licensed, and the pesticide program is administered in accordance with State Federal statutory authority and the Illinois State Plan for Certification of Pesticide Applicators as approved by the Federal Environmental Protection Agency. The Bureau administers the agrichemical facility containment and groundwater program and provides pesticide laboratory services in support of these and other bureau administered programs.
The Bureau of Farmland Protection is responsible for administering the State of Illinois' Farmland Protection Program and the Department's Mined Lands Reclamation Program. The Bureau analyzes proposed state capital development projects for compliance with the Farmland Preservation Act (Ill. Rev. Stat. 1989, ch. 5, par. 1301 et seq.) to protect Illinois' finite agricultural land base from unnecessary conversion and degradation. In accordance with the Act, the named ten state agencies were required to adopt agricultural land preservation policies and should plan and implement their projects in a manner which will generate the least amount of adverse impacts upon Illinois' agricultural environment. The Bureau conducts public informational meetings to inform the general public of the importance of farmland protection and provides technical assistance to landowners and local units of government in the formation of farmland protection programs at the local level. Additionally, the Bureau works jointly with the Illinois Department of Mines and Minerals in the implementation of the State's Surface Mine Reclamation Program. Pursuant to an interagency agreement, the Bureau reviews mining permit applications and performs on-site mine inspections to monitor reclamation success. The Bureau assists Mines and Minerals in developing soil restoration standards and formulated the Agricultural Lands Productivity Formula to determine if in fact reclaimed prime farmland has been restored to premining capabilities. The Bureau samples field crops on reclaimed land to ascertain productivity levels for bond release.
The Bureau of Soil Conservation has responsibility for all State soil erosion control program activities and provides education, technical and financial assistance to the 98 Illinois Soil and Water Conservation Districts. The major activities for the State's soil erosion programs involves: coordinating a State Erosion and Sediment Control Program, administering a soil conservation cost-share program, administering grants to Districts for office operations and staff salaries, providing public presentations on benefits of soil conservation, assisting private and public organizations and agencies in the development of soil erosion and water quality programs, working with the United States Soil Conservation Service and various state and federal agencies in developing and implementing effective land treatment programs to protect existing soil and water resources, and representing the State in all matters arising from the provisions of the Soil and Water Conservation Districts Act.

A) Providing assistance to the 98 Illinois Soil and Water Conservation Districts involves: assisting the district directors in carrying out their duties and programs; providing guidance to districts in the management of district personnel; evaluating districts' proposed budgets and special project proposals; providing training sessions and exchanges of ideas between districts; establishing rules and procedures for district referendums and hearings; supervising district director elections; and considering, reviewing, and expressing opinions on any rules, regulations, ordinances, or other actions of district directors.

B) In addition to soil and water conservation programs, the Bureau administers the Water Use Act of 1983, the modern soil survey program, and the Sustainable Agriculture program. The Water Use Act of 1983 authorizes the Department to better manage and, in four counties, restrict groundwater withdrawals. The modern soil survey program is a state, federal and local cost-share program for mapping of all soils of the state by county. The Sustainable Agriculture program encourages practices that result in environmentally safe and profitable agricultural production.

b) Address and phone number of the Division of Natural Resources:

Superintendent, Division of Natural Resources, Department of Agriculture, Agriculture Building, State Fairgrounds, Post Office Box 19281, Springfield, 62794-9281; Phone 217/782-6297.
Bureau of Environmental Programs; Phone 785-2427.
Bureau of Farmland Protection; Phone 782-6297.
Bureau of Soil Conservation; Phone 782-6297.

c) Branch Office:

Bureau of Environmental Programs, 1010 Jorie Boulevard, Oak Brook, Illinois 60521; Phone 312/990-8256.

History

Source: Amended at 16 Ill. Reg. 3893, effective February 28, 1992

2 Ill. Adm. Code 700.80 Statutorily Established Advisory Boards and Committees

a) The following boards are statutorily established in the Department of Agriculture:

Board of Agricultural Advisors is established and its membership stated in Section 6.01 of The Civil Administrative Code of Illinois (Ill. Rev. Stat. 1987, ch. 127, par. 6.01) for the purpose of advising the Department on agricultural-related matters.
Advisory Board of Livestock Commissioners is established and its membership and duties listed in Section 6.01 of The Civil Administrative Code of Illinois (Ill. Rev. Stat. 1987, ch. 127, par. 6.01).
Agricultural Export Advisory Committee, in cooperation with the Department of Commerce and Community Affairs, is established in Section 6.01a of The Civil Administrative Code of Illinois (Ill. Rev. Stat. 1987, ch. 127, par. 6.01a). This board promotes the exporting of agricultural products.
Soil and Water Conservation Districts Advisory Board is established and its membership stated in Section 4 of the Soil and Water Conservation Districts Act (Ill. Rev. Stat. 1987, ch. 5, par. 109). This board advises the Department in establishing policy for administering the Act.
Interagency Committee on Pesticides is established, its duties enumerated, and its membership stated in Section 19 of the Illinois Pesticide Act of 1979 (Ill. Rev. Stat. 1987, ch. 5, par. 819).
The Swine Disease Control Committee is established and its membership stated in Section 2 of "An Act in relation to research upon the cause, transmission, treatment and control of transmissible gastroenteritis and other diseases of swine and livestock and make an appropriation therefor" (Ill. Rev. Stat. 1987, ch. 8, par. 204). The purpose of this committee is to keep the industry informed of livestock research projects, cooperative programs with the U.S. Government and to give the Department advice on problems in the livestock disease area.
Cattle Disease Research Committee is established and its membership stated in Section 2 of "An Act in relation to research upon the cause, transmission, treatment and control of transmissible gastroenteritis and other diseases of swine and livestock and make an appropriation therefor" (Ill. Rev. Stat. 1987, ch. 8, par. 204). The purpose of this committee is to keep the industry informed of livestock research projects, cooperative programs with the U.S. Government and to give the Department advice on problems in the livestock disease area.
Illinois Thoroughbred Breeders Fund Advisory Board is established and its membership listed in Section 30 of the Illinois Horse Racing Act of 1975 (Ill. Rev. Stat. 1987, ch. 8, par. 37-30). This board offers advice and assistance to the Department in the administration of the thoroughbred horse breeding and racing program.
Illinois Standardbred Breeders Fund Advisory Board is established and its membership listed in Section 31 of the Illinois Horse Racing Act of 1975 (Ill. Rev. Stat. 1987, ch. 8, par. 37-31). This board offers advice and assistance to the Department in the administration of the standardbred horse breeding and racing program.
Board of State Fair Advisors is established and its membership listed in Section 8 of the State Fair Act (Ill. Rev. Stat. 1987, ch. 127, par. 1708). The purpose of this board is to advise the Department on matters concerning the State Fairs.
The Aquaculture Industry Advisory Committee is established and its membership and duties are listed in Section 6 of The Aquaculture Development Act (Ill. Rev. Stat. 1987, ch. 5, par. 2306).
The Pseudorabies Advisory Committee is established and its membership is listed in Section 5.1 of the Illinois Pseudorabies Control Act (Ill. Rev. Stat. 1987, ch. 8, par. 805.1). This committee will advise the Director on the pseudorabies control program.
A Technical Committee (Pseudorabies) is established and its membership and duties are listed in Section 5.1 of the Illinois Pseudorabies Control Act (Ill. Rev. Stat. 1987, ch. 8, par. 805.1).
A Pseudorabies Depopulation Board is established and its membership and duties are listed in Section 5.1 of the Illinois Pseudorabies Control Act (Ill. Rev. Stat. 1987, ch. 8, par. 805.1).
A Fertilizer Research and Education Council is established and its membership and duties are listed in Section 6a of the Illinois Fertilizer Act of 1961 (Ill. Rev. Stat. 1987, ch. 5, par. 55.6a, as amended by P.A. 86-232, effective August 15, 1989).

b) Persons desiring to contact an advisory board or committee may do so by writing to the board or committee, c/o Illinois Department of Agriculture, Agriculture Building, State Fairgrounds, Post Office Box 19281, Springfield, 62794-9281.

History

Source: Amended at 14 Ill. Reg. 584, effective December 27, 1989

2 Ill. Adm. Code 700.100 Illinois Department of Agriculture Organization Chart

History

Source: Amended at 16 Ill. Reg. 3893, effective February 28, 1992

2 Ill. Adm. Code 700.110 Information About Programs, Activities, Laws and Rules

a) A person may obtain information concerning the Department's programs, activities, laws and rules and regulations by writing or calling the offices of the Director or the offices of the Superintendents of the various divisions charged with the enforcement of a specific law or program. The addresses and telephone numbers are listed in Subpart A of the rules of this Part.

b) Freedom of information requests for access to or copies of Department records shall be submitted in accordance with The Freedom of Information Act (Ill. Rev. Stat. 1985, ch. 116, par. 201 et seq.) and the Freedom of Information rules (2 Ill. Adm. Code 701).

History

Source: Amended at 10 Ill. Reg. 13168, effective July 25, 1986

2 Ill. Adm. Code 700.120 Information on Employment

A person may obtain information on employment opportunities with the Department of Agriculture by writing or calling the Personnel Office, Department of Agriculture, State Fairgrounds, Springfield, Illinois 62794-9281; Phone 217/782-2172.

History

Source: Amended at 10 Ill. Reg. 13168, effective July 25, 1986

2 Ill. Adm. Code 700.130 Code Indicating Administrative Enforcement

Administrative enforcement for acts administered by the Department of Agriculture as listed in Section 700.140 is indicated according to organizational functions as follows:

a) "CS" means the Division of Consumer Services.

b) "AIR" means the Division of Agricultural Industry Regulation.

c) "MKT" means the Division of Marketing and Promotion.

d) "AI" means the Division of Animal Industries.

e) "FHR" means the Division of Fairs and Horse Racing.

f) "NR" means the Division of Natural Resources.

g) "OC" means the Office of the Director.

History

Source: Amended at 16 Ill. Reg. 3893, effective February 28, 1992

2 Ill. Adm. Code 700.140 Statutes Administered by the Department of Agriculture

Statutes administered by the Department of Agriculture are as follows:

Statute

Ill. Rev. Stat. Chapter – Paragraph (et seq.)

Administered By

AN ACT concerning use of State funds to strengthen the production agriculture programs in Illinois

2551

Agricultural Cooperative Act

440

AIR

Agricultural Fairs Act

651

FHR

Agricultural Foreign Investment Disclosure Act

601

MKT

Agricultural Statistics Act

90b

MKT

Animal Control Act

351

Animal Research and Production Facilities Protection Act

751

Animal Welfare Act

301

Animals Intended for Food Act

106

Apple and Peach Marketing Act

351

MKT

Aquaculture Development Act

2301

MKT

Bees and Apiary Act

124

Bovine Brucellosis Eradication Act

134

Bovine Tuberculosis Eradication Act

Civil Administrative Code of Illinois, The

127

(Creation of the Department)

(Powers of the Department)

(Trust Funds)

40.7

(Centennial Farm Sign Program)

40.7

MKT

Commission Merchants Regulation Act

111

101

Control of Bird Pests, Rodents and Predatory Animals Act

231

Dairy Statistics Act

90i

MKT

Egg Market Development Act

501

MKT

Farmland Preservation Act

1301

Feeding of Garbage to Swine Act

211

Food, Drug and Cosmetic Act (as it

AIR AND

pertains to the Department of Agriculture)

56½

501

Freedom of Information Act, The

116

201

Gastroenteritis and Other Diseases of Swine and Livestock Act

203

Genetically Engineered Organisms (notification and review of the release into the environment)

111½

7601

Grain Dealers Act

111

301

AIR

Hatcheries, Poultry Flocks and the Produce Thereof Law

131

Horse Meat Act

56½

240

AI & CS

Humane Care for Animals Act

701

AI & CS

Humane Slaughter of Livestock Act

229.51

Illinois Brand Act

33.61

Illinois Conservation Enhancement Act

2401-1

Illinois Commercial Feed Act of 1961

56½

66.1

AIR

Illinois Corn Marketing Act

701

MKT

Illinois Dead Animal Disposal Act

149.1

Illinois Diseased Animals Act

168

Illinois Egg and Egg Product Act

56½

55-1

Illinois Equine Infectious Anemia Control Act

951

Illinois Feeder Swine Dealer Licensing Act

111

201

Illinois Fertilizer Act of 1961

55.1

AIR & NR

Illinois Grain Insurance Act, The

114

701

AIR

Illinois Grain Quality Program Act of 1988

2451

MKT

Illinois Horse Racing Act of 1975

37-1

FHR

Illinois Noxious Weed Law

951

Illinois Pesticide Act of 1979

801

Illinois Pseudorabies Control Act

801

Illinois Refrigerated Warehouse Act

56½

79.1

AI & CS

Illinois Seed Law

401

AIR

Illinois Sheep and Wool Production Development and Marketing Act

1501

MKT

Illinois Swine Brucellosis Eradication Act

148f

Illinois Swine Disease Control and Eradication Act

501

Illinois Trichinosis Control Act

1801

Insect Pest and Plant Disease Act

Inspection and Standardization

AIR, MKT

of Farm Products Act

and IA

Laboratories Act

105.11

Lawn Care Products Application and Notice Act

851

Livestock Auction Markets Law

121½

208

Livestock Dealers Licensing Act

111

401

Marketing Fresh Fruits and Vegetables Act

139

Meat and Poultry Inspection Act

56½

301

Motor Fuel Standards Act

1701

Ownership of Agricultural Land by Certain Corporations, Partnerships and Trusts

2101

MKT

Personal Property Warehouse Act

111⅔

119

AIR

Pest Control Compact

281

Public Grain Warehouse and Warehouse Receipts Act

114

214.1

AIR

Rural Rehabilitation Act

127

42a3

Sale of Meat and Meat Products Act (Kosher Meat Act)

56½

288.1

Sanitary Inspection Act (insofar as it relates to establishments defined in Para. (e) of Section 2 of "The Meat and Poultry Inspection Act")

56½

Seed Arbitration Act

P.A. 87-186

AIR

Slaughter Livestock Buyer Act

111

501

Soil Amendments Act

P.A. 87-394

AIR

Soil and Water Conservation Districts Act

106

Soil Conservation and Domestic Allotment Act

138a

Soybean Marketing Program Law

551

MKT

Specialty Farm Product Buyers Act

P.A. 87-171

AIR

State Fair Act

127

1701

FHR

Sustainable Agricultural Act

2651

Water Use Act of 1983

1601

Weights and Measures Act

147

101

History

Source: Amended at 16 Ill. Reg. 3893, effective February 28, 1992

2 Ill. Adm. Code 700.150 Rules and Regulations Promulgated by the Department of Agriculture

Rules have been adopted by the Department of Agriculture and filed in accordance with the Illinois Administrative Procedure Act as follows:

Ill. Administrative Code

Rules Relating To:

Title

−

Part

Administrative Rules (Formal Administrative Hearings; Contested Cases; Petitions; Administrative Procedures)

Agrichemical Facilities

255

Agricultural Foreign Investment Disclosure Act

800

Anhydrous Ammonia, Low Pressure Nitrogen Solutions, Equipment, Containers and Storage Facilities

215

Animal Control Act

Animal Diagnostic Laboratory Act

110

Animal Welfare Act

Bees and Apiary Act

Bovine Brucellosis

Bovine Tuberculosis Eradication Act, Illinois

Civil Administrative Code

(Collection and Control of Surety Bonds, Certificates of Deposits, and Grain and Other Assets)

Commercial Feed Act, Illinois

200

Dead Animal Disposal Act, Illinois

Department of Agriculture (Organizational Chart, Description, Rulemaking Procedure, and Programs)

700

Definitions (for various acts)

Diseased Animals

Egg and Egg Products Act, Illinois

Fairs Operating Under the Agricultural Fairs Act

260

Farmland Preservation Act

700

Feeder Swine Dealer Licensing Act

210

Freedom of Information Act

701

Grain Dealers Act

215

Hatcheries, Poultry Flocks and Produce Thereof

Horsemeat

Humane Care for Animals Act

Humane Slaughter of Livestock Act

Illinois Fertilizer Act of 1961

210

Illinois Grain Insurance Act

285

Illinois Noxious Weed Law

220

Illinois Pesticide Act of 1979

250

Illinois Pseudorabies Control Act

115

Illinois Seed Law

230

Illinois State Fair and DuQuoin State Fair, Non-Fair Space Rental and the General Operation of the State Fairgrounds

270

Insect Pest and Plant Disease Act

240

Livestock Auction Markets

Livestock Dealers Licensing Act

220

Marketing Center (Livestock)

Meat and Poultry Inspection Act

125

Motor Fuel Standards Act

850

Public Grain Warehouse and Warehouse Receipts Act

505

Refrigerated Warehouses Act

515

Soil and Water Conservation Districts Act

650

Standardbred and Thoroughbred Horse Breeding and Racing Programs, Illinois

290

Standardization of Agricultural Products (Grading of Meat and Poultry; Feeder Pig Grading Program; Inspection and Grading of Fresh Fruits and Vegetables)

Swine Brucellosis

100

Swine Disease Control and Eradication Act

105

Water Use Act

675

Weights and Measures Act

600

History

Source: Amended at 15 Ill. Reg. 6105, effective April 16, 1991

2 Ill. Adm. Code 700.160 General, Emergency, and Peremptory Rules; Internal Rules (agency's Organization, Description and Rulemaking Procedures)

a) The issuance, amendment or revocation of any rule shall be initiated by filing a notice in the Illinois Register in accordance with the procedure set forth in Section 5-40 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-40).

b) Emergency and peremptory rulemaking shall be in accordance with the procedure set forth in Sections 5-45 and 5-50 of the Illinois Administrative Procedure Act.

c) Section 5-15 of the Illinois Administrative Procedure Act requires each agency to maintain a description and organization chart, information on the agency's programs, a listing of the agency's rules, and a description of the rulemaking process. The rules required by this Section may be adopted, amended, or repealed by filing a certified copy with the Secretary of State as provided by paragraphs (a) and (b) of Section 5-65 and may become effective immediately (quoted from Section 5-15 of the Illinois Administrative Procedure Act).

History

Source: Amended at 10 Ill. Reg. 13168, effective July 25, 1986

2 Ill. Adm. Code 700.170 Public Participation and Comments

a) Except for emergency, peremptory or rules required by Section 5-15 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, pars. 1005-15, 1005-45, and 1005-50) the Director shall utilize one of the following procedures in seeking public comments when proposing rules, amendments or repealers:

A public hearing before the Director or his/her authorized representative.
A public hearing before a departmental or statutorily established advisory board or committee.
A written comment period (no public hearing is held).

b) The Director may propose alternative rules or proposals in order to obtain comments on the different proposals.

History

Source: Amended at 10 Ill. Reg. 13168, effective July 25, 1986

2 Ill. Adm. Code 700.180 Consideration of Rules by Advisory Boards

a) The Director may publish in the Illinois Register any rulemaking proposal prior to notifying members of an advisory board or committee who are statutorily mandated to approve such rules prior to their adoption.

b) If a departmental or statutorily established advisory board or committee is to consider a rulemaking proposal, the notice of proposed rulemaking published in the Illinois Register will so state and give the date, time and place where the board or committee will consider the proposal.

c) The Department may conduct a public hearing on the proposal to be held concurrently with a public meeting of a statutorily established or a departmental advisory board or committee.

d) Any rulemaking proposal relative to pesticides and the application thereof shall be submitted to and be approved by the Interagency Committee on Pesticides. Any rulemaking proposal recommended by the Interagency Committee on Pesticides shall be submitted to the Department of Agriculture within 10 days of the date the proposal is adopted. As soon as is reasonably possible following receipt of the proposal, the Department shall initiate the rulemaking process in accordance with the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-40, 1005-45 or 1005-50).

e) Any rulemaking proposal pertaining to the prevention, elimination and control of diseases of domestic animals and poultry shall be submitted to and be approved by the Advisory Board of Livestock Commissioners. Any rulemaking proposal recommended by the Advisory Board of Livestock Commissioners shall be submitted to the Department of Agriculture within 5 days of the date the proposal is adopted. As soon as is reasonably possible following receipt of the proposal, the Department shall initiate the rulemaking process in accordance with the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-40, 1005-45 or 1005-50).

f) A departmental advisory board or committee or a statutorily established advisory board or committee shall submit to the Department its rulemaking recommendation within 10 days of the date the proposal is adopted. As soon as is reasonably possible following receipt of the proposal, the Department shall initiate the rulemaking process in accordance with the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-40, 1005-45 or 1005-50).

History

Source: Amended at 10 Ill. Reg. 13168, effective July 25, 1986

2 Ill. Adm. Code 700.190 Public Comment Period; Submission of Written Comments; Extending the Public Comment Period

a) Written comments on any rulemaking proposal shall be considered as submitted on the date on which they are postmarked, or if delivered in person during regular business hours (8 a.m. to 5 p.m.), on the date on which they are so delivered.

b) All comments shall be mailed or delivered in person in accordance with the notice published in the Illinois Register. The Department will request mailed comments to be postmarked several days in advance of a public hearing in order to guarantee their receipt for discussion at the public hearing.

c) The submission of comments shall not mean or imply that it contains reasonable grounds for the action requested or that the action requested is in accordance with law.

d) Any person may request the Director or his/her authorized representative to extend the time period for submitting comments on any rulemaking proposal by making a written or oral request prior to the conclusion of the public comment period on the proposal stating the reasons for the request. The Director or his/her authorized representative may extend the public comment period for a period of time not to exceed 14 days. An extension of the time period shall be granted for a person to obtain documents supporting his/her position on the proposal and transmit such documents to the Department. An extension of time to comment shall be limited to the person who has made and justified such a request. The Director or his/her authorized representative may extend the public comment period on any rulemaking proposal if due to unforeseen developments (weather conditions) the public was unable to testify at a public hearing.

e) The public comment period shall commence and expire in accordance with the provisions of Section 5-40 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-40).

History

Source: Amended at 10 Ill. Reg. 13168, effective July 25, 1986

2 Ill. Adm. Code 700.200 Public Hearing Procedure

a) The Director or his/her authorized representative shall state at the beginning of the public hearing the manner in which the hearing will be conducted. When an advisory board or committee is present, its members are permitted to ask questions of the public and those testifying. According to the number of people wishing to testify, the time the hearing starts, weather conditions, and other commitments of Department personnel, the hearing officer may set time limits for submitting oral testimony and may request interested persons to register as a proponent or opponent and testify in that order so that persons representing a particular stand on the rule can present their comments sequentially in order to make consideration of the rule easier. The hearing officer shall, upon request, vary the order in which persons will testify for the convenience of witnesses who have time constraints.

b) Any person may submit written comments or suggest changes to any rulemaking proposal to the Director or his/her authorized representative at a public hearing without registering to testify. Such comments shall be signed by the person making the submission or by an attorney or other authorized representative on the person's behalf. Written comments need not be presented in a particular form.

c) The Department shall record the minutes of the public hearing stenographically or by such other means as to adequately insure the preservation of the minutes.

d) Any person requesting time to make an oral presentation of any rulemaking proposal at any public hearing must register prior to the beginning of the hearing. Persons will be called to testify in the order of registration unless the hearing examiner determines the hearing could best expedited by other means as stated in Section 700.200(a). The Director or his/her authorized representative shall ban a person from testifying if such person failed to register for any reason and because of the time of day, weather conditions, or other commitments of Department personnel, the hearing would have to be closed.

e) A person may represent an association, organization or other such group or an individual who is unable to attend a public hearing. The Director or his/her authorized representative shall request such person to present proof indicating that person has authority to represent the association, organization or another individual when Department personnel are not familiar with the person. Proof means a letter, affidavit or verbal verification from an officer of the organization or person being represented.

History

Source: Amended at 10 Ill. Reg. 13168, effective July 25, 1986

2 Ill. Adm. Code 700.210 Director's Decision

Following conclusion of the public comment period, the Director shall review and decide whether to accept any recommendations made by the public. The Director's decision on any rulemaking proposal shall be based upon the administrative record and file on the proposal. If a statute conferring power on the Department requires that rules governing certain matters must be submitted to and be approved by a statutorily established board or committee, the Director's decision on a proposed rule, amendment or repealer will conform with such approval or recommendation (see Section 700.80(a)(2) and (5)). The Director's decision shall be made within a reasonable period of time following the close of the public comment period and notice that will initiate the second review period shall be given to the Joint Committee on Administrative Rules in accordance with Section 5-40 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-40).

History

Source: Amended at 10 Ill. Reg. 13168, effective July 25, 1986

2 Ill. Adm. Code 700.220 Second Review Period; Final Disposition of Rulemaking Proposal

The Department shall provide the Joint Committee on Administrative Rules an opportunity to comment on the rulemaking proposal. This second comment period shall commence and expire in accordance with Section 5-40 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1005-40). As soon as is reasonably possible following the expiration of the second comment period the Director shall file the adopted proposal with the Secretary of State and publish in the Illinois Register a notice of the final disposition regarding the rulemaking in accordance with Sections 5-65 and 5-70 of the Illinois Administrative Procedure Act. If a statement of objection is issued by the Joint Committee on Administrative Rules, the procedures set forth in Section 5-110 or 5-115 of the Illinois Administrative Procedure Act shall apply.

History

Source: Amended at 10 Ill. Reg. 13168, effective July 25, 1986

2 Ill. Adm. Code 700.230 Computing Time

Saturdays, Sundays and legal holidays commenting for the State of Illinois shall be included in computing the time for comenting on a rulemaking proposal, except that when such time expires on a Saturday, Sunday, or legal holiday for the State of Illinois, such period shall be extended to include the next following business day. This rule is applicable for computing all time periods established in these rules.

History

Source: Amended at 10 Ill. Reg. 13168, effective July 25, 1986

2 Ill. Adm. Code 700.240 Interested Person May Request Rulemaking

Any person may request the Department to initiate a rulemaking proposal by submitting his/her request in the form of a petition (see 8 Ill. Adm. Code 1.200). Thirty days from the date of receipt shall be allowed for agency consideration of the request. If the agency decides to initiate the proposal, it shall as soon as is reasonably possible begin the rulemaking process (see Section 700.160).

History

Source: Amended at 10 Ill. Reg. 13168, effective July 25, 1986

2 Ill. Adm. Code 700.300 General Rulemaking Initiated by Department

Illinois Register notice

Public Comment

(comment period as set forth in Section

5-40 of the Illinois Administrative Procedure Act)

Joint Committee on Administrative Rules

(up to 45 days allowed for JCAR review; see Section 700.220)

Secretary of State

(filing of adopted rules and publication in the Illinois Register)

History

Source: Amended at 10 Ill. Reg. 13168, effective July 25, 1986

2 Ill. Adm. Code 700.310 Rulemaking Requested by Advisory Board or Committee

Advisory Board or Committee

(5 or 10 days from date of adoption for transmittal of proposal

to agency; see Section 700.180)

Department of Agriculture

(agency to initiate rulemaking; see Section 700.180)

Illinois Register notice

Public Comment

(comment period as set forth in Section 5-40 of

the Illinois Administrative Procedure Act)

Joint Committee on Administrative Rules

(up to 45 days allowed for review by JCAR; see Section 700.220)

Secretary of State

(filing of adopted rules and publication in the Illinois Register)

History

Source: Amended at 10 Ill. Reg. 13168, effective July 25, 1986

2 Ill. Adm. Code 700.320 Emergency or Peremptory Rulemaking by Department

Department of Agriculture

Illinois Register notice

(see Section 700.160; notice that emergency or peremptory rules

have been filed with the Secretary of State shall appear

in the Illinois Register)

Secretary of State

(adopted rules are filed; emergency rules are effective for

no longer than 150 days)

Joint Committee on Administrative Rules

(JCAR shall review emergency and peremptory rulemaking in accordance

with their authority under the Illinois Administrative Procedure Act

(Ill. Rev. Stat. 1991, ch. 127, par. 1001-1 et seq.)

History

Source: Amended at 10 Ill. Reg. 13168, effective July 25, 1986

2 Ill. Adm. Code 700.APPENDIX A Marketing Program for Illinois Apples and Peaches (repealed)

(Repealed at 24 Ill. Reg. 1564, effective January 12, 2000)

2 Ill. Adm. Code 700.APPENDIX B Marketing Program for Illinois Corn and Corn Products

Agency Note: Section 7 of the "Illinois Corn Marketing Act" [505 ILCS 40/7] requires any corn marketing program that is approved by Illinois corn producers through referendum to be filed by the Department of Agriculture as provided in Section 5-65 of the "Illinois Administrative Procedure Act" [5 ILCS 100/5-65]. The filing of the adopted program is exempt from the rulemaking requirements of Sections 5-35 and 5-40 of the Illinois Administrative Procedure Act and the program is exempt from review under Sections 5-100, 5-105, 5-110, 5-120, 5-125 and 5-130 of the Illinois Administrative Procedure Act. On December 29, 1982, a Marketing Program for Illinois Corn and Corn Products was approved through referendum.

ARTICLE I

PURPOSE:

This program is developed not to increase production but to enable Illinois corn producers to coordinate more effectively the maintenance and development of markets for corn and corn products; to provide for the needed utilization research; to develop new uses for corn and corn products; and to provide for more efficient and economical markets.

To accomplish this objective, it is essential to provide procedures for the development of new and larger markets for corn; to provide procedures to engage in research directed toward more efficient utilization of corn; to provide procedures to support worldwide market development programs and cooperate with other states, organizations, agencies and persons in market development, market information, and research programs; and to provide procedures to elect an initial producer board and its successors to operate this program.

ARTICLE II

AUTHORITY:

This marketing program for Illinois corn and its procedures is established pursuant to the Illinois Corn Marketing Act [505 ILCS 40].

ARTICLE III

PROGRAM EXTENT:

All producers of corn in Illinois are qualified to participate and all corn sold to a first purchaser is subject to the program.

ARTICLE IV

DEFINITIONS:

Terms used in this marketing program shall be defined in the Act and as follows unless context clearly requires otherwise:

(a) "Act" means the Illinois Corn Marketing Act [505 ILCS 40].

(b) "'Corn' means and includes all kinds of varieties of corn (excluding popcorn and sweet corn) grown in this State and marketed and sold as corn by the producer."1

(c) "'Person' means any natural person, partnership, corporation, society, association, representative or other fiduciary."1

(d) "Producer" means any person engaged in this State in the business of producing and marketing corn and who is effected by this program by virtue of having the first rights of ownership in any corn for which payment is received at the first point of sale.

(e) "'First Purchaser' means any person who resells corn purchased from a producer or offers for sale any product produced from such corn for any purpose."1

(f) "'Market Development' means to engage in research and educational programs directed toward better and more efficient utilization of corn; to provide methods and means for the maintenance of present markets; for the development of new and larger domestic and foreign markets."1

(g) "Corn Marketing Program" means the program established under the authority of the Corn Marketing Act and approved by the corn producers.

(h) "Corn Marketing Board" means the board established by any corn marketing program to administer a corn marketing program.

(i) "'Director' means the Director of the Department of Agriculture of the State of Illinois."1

(j) "'Department' means the Department of Agriculture of the State of Illinois."1

(k) "'Bushel' means 56 pounds of corn by weight."1

(l) "District" means the geographical divisions of the State established pursuant to this marketing program.

(m) "Sale" or "Sold" means a transaction wherein the property in or to corn is transferred from the producer to a first purchaser for consideration.

(n) "Eligible Voter" means one who is defined both as a person and as a producer in this program during the previous 365 days prior to the referendum date.

(o) "Affected Producer" means any person defined as a producer in this program who is subject to the assessment.

(p) "Corn Checkoff Program" means a program defined as a corn marketing program.

¹Quoted from Section 3 of the Illinois Corn Marketing Act [505 ILCS 40/3].

ARTICLE V

CORN MARKETING BOARD:

Section 1. Establishment and Membership.

A corn marketing board is hereby established with powers and duties as authorized pursuant to the Act and this program. The Board shall be comprised of 15 members elected from districts as provided in Section 2 of this Article. The 15 members shall be elected, one from each district.

Section 2. Representative Districts.

For the purpose of nomination and election of members to the Board, the territory of the State of Illinois shall be divided into 15 representative districts as follows:

District I: Boone, McHenry, Lake, DeKalb, Kane, Cook, DuPage, Kendall and Will Counties.

District II: JoDaviess, Stephenson, Winnebago, Carroll and Ogle Counties.

District III: Knox, Henry, Warren, Henderson, Mercer and Rock Island Counties.

District IV: Whiteside, Lee, Bureau, Stark, Marshall and Putnam Counties.

District V: LaSalle, Grundy, Livingston and Kankakee Counties.

District VI: Ford, Iroquois, Champaign and Vermilion Counties.

District VII: Woodford, McLean, DeWitt, Macon, Piatt and Moultrie Counties.

District VIII: Peoria, Tazewell, Fulton, Mason, Cass, Menard and Logan Counties.

District IX: Hancock, McDonough, Adams, Schuyler, Brown and Pike Counties.

District X: Scott, Morgan, Sangamon, Greene, Jersey, Calhoun and Macoupin Counties.

District XI: Christian, Montgomery, Shelby, Fayette and Effingham Counties.

District XII: Douglas, Edgar, Coles, Clark, Cumberland, Jasper and Crawford Counties.

District XIII: Marion, Clay, Richland, Lawrence, Jefferson, Wayne, Edwards, Wabash and White Counties.

District XIV: Madison, Bond, St. Clair, Clinton, Monroe and Washington Counties.

District XV: Randolph, Perry, Jackson, Franklin, Williamson, Hamilton, Saline, Gallatin, Union, Johnson, Pope, Hardin, Alexander, Pulaski and Massac Counties.

Section 3. Board Membership Qualifications.

Board members shall be residents of the State of Illinois, of legal voting age, and be subject to the program. Board members shall be affected producers of corn in this State subject to the assessment and residing in the district in and for which they are nominated and elected. The qualification of members as set forth herein must continue during their term of office or their office shall be declared vacant.

Section 4. Term of Office.

The term of office of a board member shall be three years or until his successor is elected and qualified except for the initial board which shall be provided in Section 5 of this Article.

A term of office shall terminate on July 31st of the year in which the board member's office expires.

A board member can only serve three full consecutive three year terms.

Section 5. Initial Board.

If this program is adopted by corn producers, the Director shall initiate the procedures to elect the initial 15-member board as outlined in this corn marketing program and the Act. The Director shall specify the day on which the election of the initial board will be held. The day on which this election is held, shall be no more than 210 days from the date of close of the referendum on adoption of this corn marketing program.

Board members shall serve three year terms; provided, however, that the initial term of the board members from Districts I, IV, VII, X, and XIII shall expire July 31, 1984; the initial terms of board members from Districts II, V, VIII, XI, and XIV shall expire July 31, 1985; and the initial terms of board members from Districts III, VI, IX, XII, and XV shall expire July 31, 1986.

When the initial term of office expires in a district, an election shall be held as provided in this program and the Act to fill the vacancy.

Section 6. Nominations.

(a) Procedure for nominating candidates for election to the initial board: Any affected producer may become a candidate from his district and have his name placed on the ballot if he files a petition with the Director containing the signatures of 200 or 5 percent, whichever is less, of those eligible voters in his district qualified to vote on the referendum. The petitions to become a candidate for board members must be filed with the Director by a time and date specified by the Director. Petitions for becoming a candidate shall be available at the principal office of the Cooperative Extension Service serving each county and upon request from the Director. Position of candidates' names on the ballot to become a board member shall be determined by lot by drawing by the Director. Candidates shall be notified of the time and place where such drawing shall occur. Voting shall be held at geographically located polling places throughout the district.

(b) Subsequent Years. Procedure for Nominating Candidates to the Board in Subsequent Years: Each district having a vacancy on the board by an expiring term shall hold an election to fill such vacancy. The election shall be held during July of the year in which the vacancy exists. Any affected producer meeting the requirements of Section 3 may become a candidate from his district and have his name placed on the ballot for which a vacancy exists if he files a petition with the Director containing the signatures of 200 or 5 percent, whichever is less, of affected producers from his district.

Petitions to become a candidate for board member must be filed with the Director by May 15th of the year in which the election is to be held in that District. Notification to all affected producers in the district where a vacancy exists shall be published once in the official state newspaper and made available to newspapers of general circulation in that district and to all other news media in that district. Notification shall be given no earlier than March 1 nor later than March 15 in the district where vacancy on the board will occur. Petition for becoming a candidate shall be available at each principal county office of the Cooperative Extension Service in the district where a vacancy exists and upon request from the Director. Position of the candidates' names on the ballot shall be determined by lot by a drawing by the Director. Candidates shall be notified of the time and place where such drawing shall occur. Voting shall be held at geographically located polling places throughout the district.

Section 7.

(a) Election of Initial Board.

Each eligible voter shall be entitled to one vote and shall be entitled to vote for one candidate to be such producer's district representative on the corn marketing board.

The candidate from each district receiving the greatest number of votes in the election shall be the district's representative on the board. In case of a tie, the winner will be determined by drawing. The elected board member will take office immediately after certification of election results. Each eligible voter shall vote at the local Cooperative Extension Service office serving the county in which such eligible voter resides.

(b) Election of Board in Subsequent Years.

The election of board members in districts where a vacancy occurs due to an expiring term shall be conducted by the corn marketing board. Nominations shall be as set forth in Section 6(b) of the program. The elected board member shall take office on August 1 of the year in which such board member is elected.

Section 8. Election Ballot.

The election ballot used in each district will contain only the name(s) of the candidate(s) for its district, with space provided for a write-in candidate. Write-in votes shall be counted only for persons who have filed notarized declarations of intent to be write-in candidates with the Director not later than 5:00 p.m. on the Tuesday immediately preceding the election.

Forms for the declaration of intent to be a write-in candidate shall be supplied by the Director. Such declaration shall specify the office for which the person seeks election as a write-in candidate.

Section 9. Absentee Ballot.

Eligible voters who reside outside the State of Illinois or eligible voters within the State who cannot be physically present at the polls on the day of any board members' election held under this Article may request an absentee ballot. The Director shall provide to any eligible voter an absentee ballot upon request beginning thirty (30) days prior to the initial election of directors and subsequent election of directors where a vacancy exists. Any eligible voter requesting an absentee ballot shall be required to file with the Director an affidavit swearing that such eligible voter is eligible to vote in the election of board members. Such affidavit shall be available upon request from the Director. All absentee ballots and affidavits must be received by the Director at least two (2) working days prior to any election of board members.

Section 10. Elections.

The Director shall appoint election judges for the election of board members.

Section 11. Powers and Duties of the Board.

The board shall have the following powers and duties:

(a) to administer, enforce, direct, and control provisions of this program as its administrative board pursuant to the authority contained in the Act;

(b) to annually establish priorities and to prepare and approve a budget consistent with estimated resources and scope of the marketing program;

(d) to procure and evaluate data and information necessary for the proper administration and operation of marketing program;

(e) to employ personnel and contract for services which are necessary for the proper operation of the marketing program;

(f) to authorize the expenditure of funds and the contracting of expenditures to conduct proper activities of the program;

(g) to provide for an independent audit to be made and be available to all program participants;

(h) to publish annually, upon completion of and at the same time of the audit, an Activities and Financial Report and make available to all affected producers;

(i) to elect a chairman, vice chairman, secretary and treasurer and other such officers as it deems necessary;

(j) to take steps to insure that adequate bonds are maintained and to insure adequate protection of funds;

(k) to confer and cooperate with legally constituted authorities of other states and the United States;

(l) to accept donations, gifts, and other properties to be used for program purposes;

(m) to receive and investigate or cause to be investigated complaints and violations of this program and the Act and to take such action as is necessary within its authority;

(n) to establish accounts in adequately protected financial institutions to receive, hold and disperse program monies;

(o) to approve and recommend desirable amendments to the program;

(p) to establish procedure to refund to a producer any assessment paid by such a producer if he requests such a refund; and

(q) to perform such other duties which may be necessary to proper operation of the board.

Section 12. Limitation of Liability of Board Members and Employees.

Obligations incurred by the board and any other liabilities or claims against the board shall be enforced only against the assets of the board in the same manner as if it were a corporation and no liabilities for the debts or actions of the board shall exist against either the State of Illinois or any subdivision thereof or against any board established pursuant to the Act or the assets thereof or against any member, officer, employee, or agent of the board in his individual capacity. The members of the board, including employees thereof, shall not be held responsible individually in any way whatsoever to any person for errors in judgment, mistakes, or other acts either of commission or omission, as principal, agent, person, or employee except for their own individual acts which result in a violation of any law. No such person or employee shall be held responsible individually for the act or omission of any member of the board. The liability of the members of the board shall be several and not joint and no members shall be liable for the default of any other member.

Section 13. Board Vacancies.

Procedures for filing: Vacancies occurring on the board during an unexpired term of office shall be filled by the board with an appointee who is a qualified producer from the district affected by the vacancy. The appointee shall serve as the district's representation on the board for the unexpired term.

Section 14. Board Compensation.

"All voting members of the corn marketing board are entitled to actual and necessary travel and incidental expenses while attending meetings of the board or while engaged in the performance of official responsibilities as determined by the board."2 Board members are not entitled to any salary or per diem.

²Quoted from Section 11 of the Illinois Corn Marketing Act [505 ILCS 40/11].

ARTICLE VI

REFERENDUMS AND ELECTIONS:

Section 1.

The initial program referendum shall provide for the question of adoption of the program with a place to vote "yes" or "no". The initial program referendum shall be conducted by ballot mailed to producers. A period of 21 days from the date of mailing of the ballot shall be allowed for the return of such ballots. Ballots shall be returned to the Director by mail or by personal delivery by the voting producer at such address as may be designated by the Director. When requested in writing, the Director shall provide a ballot to any producer whose name does not appear on the list of producers maintained by the Agricultural Stabilization and Conservation Service or who for any reason did not receive a ballot. "Reasonable publicity and notification of the referendum date and voting locations shall be provided in trade publications, the public press and the official state newspaper, at least two weeks prior to such referendum date."3

The Agricultural Stabilization and Conservation Service list of producers shall be the official mailing list used for the program referendum.

A corn marketing program or an amendment to a corn marketing program is approved when a majority of the statewide total of those voting in the referendum vote in favor of such program or amendment to a program.

³Quoted from Section 9 of the Illinois Corn Marketing Act [505 ILCS 40/9].

Section 2. Qualification to Vote.

Any person who is defined as a producer in this program shall be entitled to one vote. Such eligible voter shall be required to sign a statement or affidavit declaring that such person is an eligible voter in the program.

An eligible voter who meets the definition of a "producer" in more than one county or on more than one tract of land may only vote once in their own name. If more than one vote is cast, only one vote, cast in the county of residence, will be counted.

A person or business organization which meets the "producer" definition may designate some individual to vote on its behalf. In such cases, the following guidelines apply:

In cases of ASSOCIATIONS, BUSINESSES, COOPERATIVES, UNIVERSITIES, COLLEGES, FOUNDATIONS, or any other business entity, only an officer may cast one vote for this business organization.

PARTNERSHIP, JOINT TENANCY: If ownership of the commodity is held in the partnership name or in joint ownership, only one partner/owner may cast one vote. It is the responsibility of the partnership/joint ownership to decide who will vote.

FIDUCIARY: Only the court-appointed legal representative of a trust, estate, conservatorship, guardianship or other fiduciary relationship may cast one vote for the business held in trust.

LANDLORD AND TENANT: Each may cast one vote if each meets the "producer" definition.

HUSBAND AND WIFE: If the corn is held in joint ownership by both husband and wife, only one spouse may cast one vote. If each meets the "producer" definition as a separate entity, then each may cast one vote.

Section 3. Teller Committee.

The Director shall appoint a teller committee composed of members of the agricultural community to count absentee ballots, canvass and certify results of referendums and elections of district candidates.

ARTICLE VII

PROGRAM:

Section 1. Market Development, Promotion, and Public Relations Programs.

The board, subject to the provisions of this program and the Act, is authorized to contract with or make grants to any qualified organizations, agencies, or persons for any market development and promotion activities, education and public relations programs or market information services which will result in the opening of new markets for corn and corn products, or which will result in the expansion of existing markets. These activities may include, but not be necessarily limited to the following:

(a) Preparation and dissemination of marketing information to include supply information, demand information, quality characteristics, and other facts concerning corn and corn products.

(b) Provide information to foreign feed manufacturers and corn refiners for the purpose of expanding their use of corn and corn products.

(c) Work with U.S. agricultural attaches or any other agency or organization in removing restrictive foreign and domestic regulations or barriers which hinder the free flow of corn or corn products to their ultimate markets.

(d) Participate in trade fairs, exhibitions, food shows, and other such activities for the purpose of developing markets.

(e) The board, subject to the provisions of this program and the Act, is authorized to contract with or make grants to any qualified organizations, agencies, or persons for any needed research or survey studies related to corn and their products which will result in improved efficiency and aid corn producers in maintaining present and any new and larger markets.

Section 2. Educational Program.

The board is authorized to conduct, contract with, or make grants to any qualified organizations, agencies, or individuals for any educational materials and educational programs pertaining to corn and corn products.

The educational program established pursuant to this authority shall emphasize the results of research, market development, and other programs sponsored, supported, or otherwise implemented by or for the board.

ARTICLE VIII

ASSESSMENTS:

Section 1. Assessment Levied.

(a) All assessments made and levied pursuant to the provisions of the Act and the program shall be paid by the respective affected producers who shall be liable therefore as provided by Sections 16 and 17 of the Act.

(b) Such assessments shall be ⅝ cent per bushel on corn produced and sold by such affected producer. After the first five years of operation of the program, the corn marketing board may request the Director to hold a referendum to increase the assessment rate.

(c) Such assessment shall be collected from the affected producers by the first purchaser of corn and such first purchaser shall deduct the full amount of assessment from total monies due the producer and shall account for, report on, and remit to the board all monies collected, except as otherwise provided in this section. Such monies collected shall be remitted quarterly and shall be made by the 15th of the month following the end of each quarter. Such quarters shall end March 31, June 30, September 30, and December 31 of the year in which assessment is due. If remittance of assessment by first purchaser is made by the 15th of the month following the end of the quarter, such first purchaser making remittance shall be entitled to retain two percent (2%) of such remittance due.

(d) Any producer who shall sell, ship, or otherwise dispose of corn to a first purchaser or other person outside the jurisdiction of this marketing program shall forthwith remit to the board the full amount of the assessment due.

(e) The board shall establish regulations and procedures to insure the collection of such assessments as shall be due and payable under this marketing program.

(f) The board shall give reasonable notice to all producers, processors and handlers of all changes in regulations and procedures and any amendments thereto for the collection of the assessment.

ARTICLE IX

RIGHT OF REFUND:

Section 1.

(a) Any affected producer may request that each assessment paid by him be refunded.

(b) A refund shall be payable upon request. Such request shall be made to the board not more than sixty (60) days after the deduction has been made or not more than sixty (60) days after the remittance has been made by the first purchaser. Applications for refund shall be given by the board to each first purchaser when requested and the first purchaser shall make the applications available to any producers.

ARTICLE X

FUNDS:

Section 1.

The board shall deposit all monies collected pursuant to this program in an account as established in Article V of this program. Expenses and disbursements incurred and made pursuant to the Act and this program shall be made by voucher, draft or check bearing the signature of a person or persons designated by majority vote of the board.

Section 2.

Monies collected by the board pursuant to the Act and this program as assessments shall be used by the board for the purpose of paying for the costs or expenses arising in connection with carrying out the purpose and provisions of the Act and this program.

ARTICLE XI

INFORMATION REPORTS:

All persons subject to this program and the Act shall make and render such reports and furnish such information to the Director and board as may be necessary or required to effectuate the purposes thereof. Information obtained by any person pursuant to this Article shall be confidential and shall not be disclosed to any other person, save a person with the right to obtain the same or any attorney employed by the board to give legal advice thereon or by court order.

ARTICLE XII

PROCEDURES:

Section 1.

Following approval of the corn marketing program, the Director shall file the program with the Secretary of State as provided in Section 6 of the Illinois Corn Marketing Act.

Section 2.

All procedures promulgated pursuant to the Act shall be available upon request to those persons affected by this program and the Act.

ARTICLE XIII

APPEALS:

Section 1.

Any person subject to this program may appeal to the board to review any administrative decision. The board shall establish by regulation the contested case procedure in accordance with the Administrative Procedure Act [5 ILCS 100].

Section 2.

Pending the disposition of any appeal set forth in Section 1 of this Article, the party shall abide by the decision unless the board shall rule otherwise. The board shall, if the facts stated show reasonable grounds, revise any order or decision upon which an appeal is taken.

ARTICLE XIV

DEROGATION:

Nothing contained herein is or shall be construed to be in derogation or in modification of the rights of the Director or of the State to exercise any powers granted by the Act or otherwise, and in accordance with such powers to act in the premises whenever such action is deemed advisable.

ARTICLE XV

COOPERATION WITH OTHER AGENCIES:

The board, with the assistance of the Director and subject to the provisions of the Act, is authorized to cooperate with agencies of the United States Government, the State of Illinois, and other states as deemed by the board and the Director to be desirable and useful in effectuating the purposes of this program and Act.

(a) Coordination and cooperation in promotion, advertising, educational programs, informational programs, marketing and transportation research, and any of the several areas of authority authorized by the program and the Act.

(b) Coordination of purposes with other boards, commissions, or any other marketing group in the State or other states, areas, or foreign countries so long as such cooperation is in the best interest of the corn producers in Illinois.

ARTICLE XVI

EFFECTIVE TIME:

This marketing program shall become effective upon its adoption. The assessment will not be levied until April 1 or 60 days after the date of the election of the initial board, whichever is later, and shall continue in effect for five (5) years and shall automatically be extended from year to year unless a referendum for continued approval is requested by written petition of no less than ten percent of corn producers affected by the program in each respective district as published in the latest Census of Agriculture as published by the U.S. Department of Commerce, Bureau of Census. Such referendum is to be held in accordance with Section 9 of the Act and shall have as set forth in Section 7 of the Act.

ARTICLE XVII

SEVERABILITY:

If any provision of the marketing program or the Act shall be declared invalid, or the applicability thereof to any person, circumstance or thing is held invalid, the validity of the remainder of this marketing program or the Act or the applicability thereof to any person, circumstance or thing shall not be affected.

ARTICLE XVIII

ENFORCEMENT:

Section 1.

"Persons who collect corn marketing program assessment funds pursuant to Section 15 of this Act shall remit such funds to the corn marketing board which shall deposit such in an account to be used as authorized by the corn marketing program.

Any due and payable assessment required under the provisions of any corn marketing program created under this Act constitutes a personal debt of every person so assessed or who otherwise owes such assessment. Such assessment is due and payable to the corn marketing board not more frequently than quarterly or when stipulated in the corn marketing program and called for by the corn marketing board. In the event any person fails to remit the full amount of such due assessment or such other sum within 30 days after the due date, the person owing such assessment shall be given an opportunity to present his case as provided for in Section 20 of this Act. When established that the assessment is correct, the corn marketing board may add to such unpaid assessment or sum a penalty amount not exceeding 10% of the amount due plus all the cost of enforcing the collection of the assessment or sum due. In the event of failure of such person to remit any properly due assessment or sum, the corn marketing board may bring a civil action against such person in the circuit court of any county for the collection thereof, together with the above additional specified 10% penalty assessment, cost of enforcing the collection of the assessment and court costs. Such action shall be tried and judgment rendered as in any other cause of action for debts due and payable. All assessments are due and payable to the corn marketing board."4

Section 2.

"No person shall knowingly fail or refuse to comply with any requirement of this Act where obligated to comply by a duly approved corn marketing program. The corn marketing board may institute any action which is necessary to enforce compliance with any provision of this Act, and rule or regulation thereunder or any corn marketing program adopted pursuant to this Act. In addition to any other remedy provided by law, the corn marketing board may petition for injunctive relief without being required to allege or prove the absence of any adequate remedy at law."5 Such action shall be brought in the Circuit Court of any county.

"Before the corn marketing board may institute any proceedings under this Act, the alleged violator shall first be given an opportunity to present his views to the corn marketing board as to why such proceedings should not be instituted."5

4Quoted from Section 17 of the Illinois Corn Marketing Act [505 ILCS 40/17].

5Quoted from Section 20 of the Illinois Corn Marketing Act [505 ILCS 40/20].

History

Source: Amended at 36 Ill. Reg. 9062, effective June 6, 2012

2 Ill. Adm. Code 700.APPENDIX C Marketing Program for Illinois Eggs (repealed)

History

Source: Repealed at 14 Ill. Reg. 4093, effective March 2, 1990

2 Ill. Adm. Code 700.APPENDIX D Marketing Program for Illinois Soybeans and Soybean Products

Agency Note: Section 15 of the "Soybean Marketing Act" [505 ILCS 130/15] requires any soybean marketing program that is approved by Illinois soybean producers through referendum to be filed by the Department of Agriculture as provided in Section 5-65 of the "Illinois Administrative Procedure Act" [5 ILCS 100/5-65]. The filing of the adopted program is exempt from the rulemaking requirements of Sections 5-35 and 5-40 of the "Illinois Administrative Procedure Act" and the program is exempt from review under Sections 5-100, 5-105, 5-110, 5-120, 5-125 and 5-130 of the "Illinois Administrative Procedure Act". In 1974, a Marketing Program For Illinois Soybeans and Soybean Products was approved through referendum. In 1988, an amendment to Article VIII of the Marketing Program was added. On March 1, 1989, Article VIII of the Marketing Program was amended.

ARTICLE I

PURPOSE:

This program is developed to enable Illinois soybean producers to coordinate more effectively the maintenance and development of markets for soybeans and soybean products; to provide for the needed production and utilization research; to develop new uses for soybeans and soybean products; and to provide for more efficient and economical production.

To accomplish this objective, it is essential to provide procedures for the development of new and larger markets for soybeans; to provide procedures to engage in research directed toward more efficient utilization and production of soybeans; to provide procedures to support world-wide market development programs and cooperate with other states, organizations, agencies, and persons in market development, market information, and research programs; and to provide procedures to elect an initial producer board and its successors to operate this program.

ARTICLE II

AUTHORITY:

This marketing program for Illinois soybeans, its procedures, and regulations, is established pursuant to the Soybean Marketing Act, 505 ILCS 130/1 et. seq.

ARTICLE III

PROGRAM EXTENT:

All producers of soybeans in Illinois are qualified to participate and all soybeans sold to a first purchaser are subject to the program.

ARTICLE IV

DEFINITIONS:

Terms used in this marketing program shall be defined in the Act and as follows unless context clearly requires otherwise:

(a) "Act" means the Soybean Marketing Act, 505 ILCS 130/1 et. seq.

(b) "Soybean" means and includes all kinds of varieties of soybeans grown in this State and marketed and sold as soybeans by the producer.

(c) "Person" means any natural person, partnership, corporation, society, association, representative or other fiduciary.

(d) "Producer" means any person engaged in this State in the business of producing and marketing soybeans and who is affected by this program by virtue of having the first right of ownership in any soybeans for which payment is received at the first point of sale.

(e) "First Purchaser" means any person who resells soybeans purchased from a producer or offers for sale any product produced from such soybeans for any purpose.

(f) "Market Development" means to engage in research and educational programs directed toward better and more efficient utilization of soybeans; to provide methods and means for the maintenance of present markets; for the development of new and larger domestic and foreign markets.

(g) "Marketing Program" means any program established under this Act which prescribes rules, regulations and procedures for the development of markets for soybeans and soybean products.

(h) "Program Operating Board" means the board established by any marketing program to administer such programs. Also referred to as "Board".

(i) "Director" means the Director of the Department of Agriculture of the State of Illinois.

(j) "Department" means the Department of Agriculture of the State of Illinois.

(k) "Bushel" means 60 pounds of soybeans by weight.

(l) "District" means the geographical divisions of the State established pursuant to this marketing program.

(m) "Sale" or "Sold" means a transaction wherein the property in or to soybeans is transferred from the producer to a first purchaser for consideration.

(n) "Eligible Voter" means one who is defined both as a person and as a producer in this program.

(o) "Affected Producers" means any person defined as a producer in this program who is subject to the assessment.

ARTICLE V

PROGRAM OPERATING BOARD:

Section 1. Establishment and Membership.

A program operating board is hereby established with powers and duties as authorized pursuant to the Act and this program. The Program Operating Board shall consist of one member elected from each of the representative districts as established by Section 2 of this Article and 6 at-large members elected without respect to representative district. One individual may not serve as a representative of a district and as an at-large member at the same time.

Section 2. Representative Districts.

For the purpose of nomination and election of members to the Board, the territory of the State of Illinois shall be divided into 18 representative districts as follows:

District 1: Jo Daviess, Stephenson, Winnebago, Boone, Carroll, Ogle, DeKalb, and Lee Counties.

District 2: McHenry, Lake, Kane, Cook, DuPage, Will, and Kankakee Counties.

District 3: Whiteside, Rock Island, Henry, Mercer, Henderson, Stark, and Warren Counties.

District 4: Bureau, LaSalle, Grundy, and Kendall Counties.

District 5: Knox, Peoria, Marshall, Putnam, Fulton and Tazewell Counties.

District 6: Woodford, Livingston and McLean Counties.

District 7: Ford, Iroquois, and Vermilion Counties.

District 8: Hancock, McDonough, Adams, Brown, and Schuyler Counties.

District 9: Mason, Logan, Cass, Menard, Morgan, and Sangamon Counties.

District 10: DeWitt, Macon, Christian, Moultrie, and Shelby Counties.

District 11: Piatt, Champaign, Douglas, Edgar, and Coles Counties.

District 12: Pike, Scott, Calhoun, Greene, Macoupin, and Jersey Counties.

District 13: Montgomery, Bond, Fayette, and Marion Counties.

District 14: Cumberland, Clark, Effingham, Jasper, and Crawford Counties.

District 15: Madison, Monroe, St. Clair, and Clinton Counties.

District 16: Clay, Richland, Lawrence, Wayne, Edwards, White, and Wabash Counties.

District 17: Randolph, Washington, Jefferson, Perry, and Jackson Counties.

District 18: Franklin, Hamilton, Williamson, Saline, Gallatin, Union, Johnson, Pope, Hardin, Alexander, Pulaski, and Massac Counties.

Section 3. Board Membership Qualifications.

Board members shall be residents of the State of Illinois, of legal voting age, and be subject to the program. Board members shall be affected producers of soybeans in this State subject to the assessment in the district in and for which they are nominated and elected. The qualification of members as set forth herein must continue during their term of office or their office shall be declared vacant.

Section 4. Term of Office.

The term of office of a board member shall be three years or until his successor is elected and qualified, except as provided in Section 5 of this Article.

A term of office shall terminate on July 31st of the year in which the board member's office expires.

No producer shall serve as board member for more than two consecutive three-year terms of office.

Section 5. Program Operating Board.

When the term of office expires, an election shall be held as provided in this program and the Act to fill the vacancy. A special election shall be held for the initial term of at-large board members on January 31, 2006, with those elected at-large board members serving until July 31, 2006. Thereafter, the term of office for the at-large board members taking office on August 1, 2006, shall be as follows: two terms shall expire July 31, 2007; two terms shall expire July 31, 2008; and two terms shall expire July 31, 2009, such terms to be determined by lot drawn at the annual meeting of the Board in July 2006. When the term of office of an at-large board member expires, a successor at-large member shall be nominated without respect to residence district by a majority of the elected Board sitting in quorum as provided in Section 6.C of this Article.

Section 6. Nominations.

A. Procedure for Nominating Candidates to the Board for Representative Districts:

Each district having a vacancy on the board by an expiring term shall hold an election to fill such vacancy. The election shall be held during July of the year in which the vacancy exists. Any affected producer may become a candidate from his district and have his name placed on the ballot for which a vacancy exists if he files a petition with the Director containing the signatures of 250 or 5 per cent, whichever less, of affected producers from his district. Petitions to become a candidate for board member must be filed with the Director by May 15th of the year in which the election is to be held in that district. Notification to all affected producers in the district where a vacancy exists shall be published in the official state newspaper and made available to newspapers of general circulation in that district and to all other news media in that district. Notification shall be given no earlier than April 1st nor later than April 15th in the district where vacancy on the board will occur. Petition for becoming a candidate shall be available at each principal county office of the Cooperative Extension Service in the district where a vacancy exists and upon request from the Director. Position of the candidates' names on the ballot shall be determined by lot by a drawing by the Director. Candidates shall be notified of the time and place where such drawing shall occur. Voting shall be held at geographically located polling places throughout the district.

B. Nomination and Election Procedures for Interim At-Large Directors:

The initial six at-large directors will be nominated by a majority of the Board sitting in a quorum and thereafter elected by a majority of producers in attendance at the meeting of the Board to be held on January 31, 2006. Notification to all affected producers shall be published in the official state newspaper and made available to newspapers of general circulation and all other news media. Notification shall be given no earlier than December 1 and no later than December 15. Any interested producer must notify the Board of their desire to become a candidate for an at-large position by sending the Board a letter of interest by certified mail (return receipt requested) to the Board's office. The letter must be deposited in the U.S. mail with postage prepaid and postmarked by no later than January 6, 2006.

The Executive Committee will serve as the Nominating Committee and will review the applications for eligibility, interview the candidates (if necessary), and make its recommendation of not more than three candidates per open position to the Board. The Board must nominate not more than three candidates for each at-large vacancy from the pool of candidates by a majority vote of the Board sitting in quorum.

The names of all candidates will be placed on the ballot and voting will take place until one individual receives a majority of the votes cast. If any individual does not receive a majority of the votes cast, the person receiving the lowest number of votes will be dropped from the ballot. After an individual has been duly elected to an at-large position, voting will begin again with the names of all the remaining candidates placed back on the ballot. Voting will be held as previously described for each at-large position.

The position of the nominees' names on the ballot shall be determined by a drawing by the Board sitting in quorum at the January 31, 2006, Board Meeting just prior to the election.

The six individuals elected on January 31, 2006, will serve an interim term of January 31, 2006, through July 31, 2006. If any of these individuals desire to continue to serve as an at-large Director beyond July 31, 2006, they must re-apply for such position. They must submit a letter of interest by certified mail (return receipt requested) to the Board's office. The letter must be deposited in the U.S. mail with postage prepaid and postmarked by no later than March 15, 2006.

C. Nomination and Election Procedures for At-Large Directors:

Any interested producer not a candidate under A above in the same year may become a candidate for nomination as an at-large director. The six at-large directors will be nominated by a majority of the Board sitting in a quorum and thereafter elected by a majority of producers in attendance at the annual meeting of the Board to be held on July 31. Notification to all affected producers shall be published in the official state newspaper and made available to newspapers of general circulation and all other news media. Notification shall be given no earlier than February 1 and no later than February 15. Any interested producer must notify the Board of their desire to become a candidate for an at-large position by sending the Board a letter of interest by certified mail (return receipt requested) to the Board's office. The letter must be deposited in the U.S. mail with postage prepaid and postmarked by no later than March 15th of the year in which the election is to be held for an expiring at-large director term.

The position of the nominees' names on the ballot shall be determined by a drawing by the Board sitting in quorum at the March Board Meeting. All nominees will be notified of the time and place of the drawing.

Section 7.

A. Election of Initial At Large Members of Board.

The election of the initial At-Large Members of Board shall be conducted by the Program Operating Board. Nominations shall be as set forth in Section 6(B) of this Article. The elected board member shall take office immediately after the election results are available. Each eligible voter shall be entitled to one vote for each at-large position on the program operating board.

The candidate from each at-large position receiving the greatest number of votes in the election shall be that position's at-large representative on the board. In case of a tie, the winner will be determined by drawing. The elected board member will take office immediately upon approval of the program.

B. Election of Board in Subsequent Years.

The election of board members in districts where a vacancy occurs due to an expiring term shall be conducted by the program operating board. Nominations shall be as set forth in Section 6(A) and 6(C) of the program. The elected board member shall take office on August 1st of the year in which such board member is elected, except as outlined in Section 5.

Section 8. Powers and Duties of the Board.

The board shall have the following powers and duties:

(a) to administer, enforce, direct, and control provisions of this program as its administrative board pursuant to the authority contained in the Act;

(b) to annually establish priorities and to prepare and approve a budget consistent with estimated resources and scope of the marketing program;

(d) to procure and evaluate data and information necessary for the proper administration and operation of marketing program;

(e) to employ personnel and contract for services which are necessary for the proper operation of the marketing program;

(f) to authorize the expenditure of funds and the contracting of expenditure to conduct proper activities of the program;

(g) to provide for an independent audit to be made and be available to all program participants;

(h) to publish annually, upon completion of and at the same time of the audit, an Activities and Financial Report and make available to all affected producers;

(i) to elect a chairman, vice chairman, secretary and treasurer and other such officers as it deems necessary;

(j) to take steps to insure that adequate bonds are maintained and to insure adequate protection of funds;

(k) to confer and cooperate with legally constituted authorities of other states and the United States;

(l) to accept donations, gifts, and other properties to be used for program purposes;

(m) to receive and investigate or cause to be investigated complaints and violations of this program and the Act and to take such action as is necessary within its authority;

(n) to establish accounts in adequately protected financial institution to receive, hold and disperse program monies;

(o) to approve and recommend desirable amendments to the program;

(p) to establish procedure to refund to a producer any assessment paid by such a producer if he requests such a refund; and

(q) to perform such other duties which may be necessary to proper operation of the board.

Section 9. Limitation of Liability of Board Members and Employees.

Obligations incurred by the board and any other liabilities or claims against the board shall be enforced only against the assets of the board in the same manner as if it were a corporation and no liability for the debts or actions of the board shall exist against either the State of Illinois or any subdivision or instrumentality thereof or against any board established pursuant to the Act or the assets thereof or against any member, officer, employee, or agent of the board in his individual capacity. The members of the board, including employees thereof, shall not be held responsible individually in any way whatsoever to any person for errors in judgment, mistakes, or other acts either of commission or omission, as principal, agent, person, or employee except for their own individual acts which result in a violation of any law. No such person or employee shall be held responsible individually for the act or omission of any member of the board. The liability of the members of the board shall be several and not joint and no members shall be liable for the default of any other member.

Section 10. Board Vacancies.

Procedure for Filling:

Vacancies occurring on the board during an unexpired term of office shall be filled by the board with an appointee who is a qualified producer from the district affected by the vacancy, or in the case of an at-large director without respect to representative district, as determined by a majority vote of the board sitting in quorum. The appointee shall serve as the district or at-large representative on the board for the unexpired term.

Section 11. Board Compensation.

"All voting members of the program operating board are entitled to actual and necessary travel and incidental expenses while attending meetings of the board or while engaged in the performance of official responsibilities as determined by the board."1

1Quote from Section 12 of "An Act in relation to Soybean Marketing Program", being Public Act No. 78-739, approved September 11, 1973.

ARTICLE VI

REFERENDUMS AND ELECTIONS:

Section 1.

The Director shall hold referendums as they pertain to this program as provided for in such Sections as 8, 10 and 13 of the Act.

All referendums shall be by a ballot cast at the local Cooperative Extension Service office serving the area in which such eligible voter resides, except as otherwise provided in this Article.

The initial program adoption referendum shall provide for the question of adoption of the program with a place to vote "yes" or "no" and shall also provide for the election of the initial members of the program operating board. The referendum ballot used in each district will contain only the name(s) of the candidate(s) for its district with space provided for a write-in candidate.

Write-in votes shall be counted only for persons who have filed notarized declarations of intent to be write-in candidates with the Director not later than 5:00 p.m. on the Tuesday immediately preceding the election.

A program or an amendment to a program is approved when a majority of the statewide total of those voting in the referendum vote in favor of such program or amendment to a program.

Section 2. Qualification to Vote.

Any person who is defined as a producer in this program shall be entitled to one vote. Such eligible voter shall be required to sign an affidavit for ballot declaring that such person is eligible to participate in the program. Such eligible voter shall be entitled to vote only at the principal office of the Cooperative Extension Service which serves the county in which such eligible voter resides.

Eligible voters who reside outside the State of Illinois or eligible voters within the State who cannot be physically present at the polls on the day of any referendum held under this Article may request an absentee ballot.

Section 3. Absentee Ballot.

The Director shall provide to any eligible voter an absentee ballot upon request beginning thirty (30) days prior to the referendum for approval of the initial program or any subsequent election of directors where a vacancy exists. Any eligible voter requesting an absentee ballot shall be required to file with the Director an affidavit swearing that such eligible voter is eligible to vote on the initial referendum or in the election of board members. Such affidavit shall be available upon request from the Director. All absentee ballots and affidavits shall be returned to the Director at least two (2) working days prior to any referendum or election.

Section 4. Election Judges.

The Director shall appoint a three-man committee to serve as election judges and to count ballots and determine the results of the referendum at the principal county office of the Cooperative Extension Service.

Section 5. Teller Committee.

The Director shall appoint a teller committee to count absentee ballots, canvass and certify results of referendums and elections of district candidates.

ARTICLE VII

PROGRAM:

Section 1. Market Development, Promotion, and Public Relation Programs.

The board, subject to the provisions of this program and the Act, is authorized to contract with or make grants to any qualified organizations, agencies, or persons for any market development and promotion activities, education and public relations programs or market information services which will result in the opening of new markets for soybeans and soybean products, or which will result in the expansion of existing markets. These activities may include, but not be necessarily limited to the following:

(1) Preparation and dissemination of marketing information to include supply information, demand information, quality characteristics, and other facts concerning soybeans and soybean products.

(2) Provide information to foreign feed manufacturers and soy oil refiners for the purpose of expanding their use of soybeans and soybean products.

(3) Work with U.S. agricultural attaches in removing restrictive foreign regulations which limit markets for soybeans and soybean products.

(4) Participate in trade fairs, exhibitions, food shows, and other such activities for the purpose of developing markets.

Section 2. Research.

The board, subject to the provisions of this program and the Act, is authorized to contract with or make grants to any qualified organizations, agencies, or persons for any needed production, utilization, distribution or handling research or survey studies related to soybeans and their products which will result in improved efficiency and aid soybean producers in maintaining present and any new and larger markets.

Such research and survey studies may include, but shall not be necessarily limited to the following:

(1) Production research on such things as cultural practices, pest and insect control, weed and disease control, soil and fertility management, genetic research, plant pathology, micro biology, plant physiology, collection of new germ plasma, etc.

(2) Improving techniques and methods for planting and harvesting.

(3) Improving storage, handling, and drying techniques.

(4) Investigating transportation problems involving movement of soybeans to market.

(5) Utilization research such as developing new uses of soybeans and soybean products for human food and nutrition, determine chemical levels to protect soybean meal from rumen degradation in livestock feed, and research on industrial oil products, etc.

Section 3. Educational Program.

The board is authorized to contract with or make grants to any qualified organizations, agencies, or individuals for any educational materials and educational programs pertaining to soybeans and their products.

The educational program established pursuant to authority shall emphasize the results of research, market development, and other programs sponsored, supported, or otherwise implemented by or for the board.

ARTICLE VIII

ASSESSMENTS:

Section 1. Assessment Levied.

A. All assessments made and levied pursuant to the provisions of the Act and the program shall be paid by the respective affected producers who shall be liable therefore as provided by Sections 16, 16.1 and 20 of the Act. Assessments shall be made and levied on all soybeans grown outside Illinois but sold to a first purchaser in Illinois.

B. Such assessments shall be ½ of 1% of the net market price of soybeans produced and sold by the producer.

C. Such assessment shall be collected from the affected producers by the first purchaser of soybeans and such first purchaser shall deduct the full amount of assessment from total monies due to the producer and shall account for, report on, and remit to the board all monies collected. Such monies collected shall be remitted quarterly and shall be made by the 15th of the month following the end of each quarter. Such quarters shall end March 31, June 30, September 30, and December 31 of the year in which assessment is due. If remittance of assessment by first purchaser is made by the 15th of the month following the end of the quarter, such first purchaser making remittance shall be entitled to retain two per cent (2 per cent) of such remittance due.

D. Any producer who shall sell, ship or otherwise dispose of soybeans to a first purchaser or other person outside the jurisdiction of this marketing program shall forthwith remit to the board the full amount of the assessment due.

E. The board shall establish regulations and procedures to insure the collection of such assessments as shall be due and payable under this marketing program.

F. The board shall give reasonable notice to all producers, processors, and handlers of all changes in regulations and procedures and any amendments thereto for the collection of the assessment.

ARTICLE IX

RIGHT OF REFUND:

Section 1.

A. Any affected producer may request that each assessment paid by him be refunded.

B. A refund shall be payable upon request. Such request shall be made to the board not more than sixty (60) days after the deduction has been made or not more than sixty (60) days after the remittance has been made by the first purchaser.

C. The board shall establish regulations and procedures to insure the refund of such assessment as are requested.

ARTICLE X

FUNDS:

Section 1.

The board shall deposit all monies collected pursuant to this program in an account as established in Article V of this program. Expenses and disbursements incurred and made pursuant to the Act and this program shall be made by voucher, draft or check bearing the signature of the treasurer and one other person designated by majority vote of the board, which person shall be either a member or an employee of the board.

Section 2.

Monies collected by the board pursuant to the Act and this program as assessments shall be used by the board only for the purpose of paying for the costs or expenses arising in connection with carrying out the purpose and provisions of the Act and this program.

ARTICLE XI

INFORMATION REPORTS:

All persons subject to this program and the Act shall make and render such reports and furnish such information to the Director and the board as may be necessary or required to effectuate the purposes thereof. Information obtained by any person pursuant to this Article shall be confidential and shall not be disclosed to any other person, save a person with the right to obtain the same or any attorney employed by the board to give legal advice thereon or by court order.

ARTICLE XII

RULES AND REGULATIONS:

Section 1.

A public hearing must be held on all rules and regulations before they are adopted by the board or the Department. Public notice of such hearings shall be in accordance with The Open Meetings Act, 5 ILCS 120/1 et.seq.

Section 2.

All rules and regulations adopted by the board pursuant to the program shall be presented to the Director for approval. Rules and regulations adopted by the board and approved by the Director and any rule and regulation promulgated by the Director shall be filed in accordance with the Illinois Administrative Procedure Act, 5 ILCS 100/1 et.seq.

Section 3.

All rules and regulations promulgated pursuant to the Act shall be made available to those persons affected by this program and the Act.

ARTICLE XIII

APPEALS:

Section 1.

Any person subject to this program may appeal to the board to review any administrative decision. Any such appeal must be filed in writing setting forth the facts upon which it is based.

Section 2.

ARTICLE XIV

A DEROGATION:

ARTICLE XV

COOPERATION WITH OTHER AGENCIES:

The board, with the assistance of the Director and subject to the provisions of the Act, is authorized to cooperate with agencies of the United States government, the State of Illinois, and other states as deemed by the board and the Director to be desirable and useful in effectuating the purposes of this program and Act.

(1) Coordination and cooperation in promotion, advertising, educational programs, informational programs, disease control and research, marketing and transportation research, and any of the several areas of authority authorized by the program and the Act.

(2) Coordination of purposes with other boards, commissions, or any other marketing group in the State or other states, areas, or foreign countries so long as such cooperation is in the best interest of the soybean producers of Illinois.

ARTICLE XVI

EFFECTIVE TIME:

This marketing program and any amendments thereto shall become effective immediately upon their being approved by referendum and shall continue in effect for five (5) years and shall automatically be extended from year to year unless a referendum for continued approval is requested by written petition of no less than 2 per cent of soybean producers affected by the program as published in the Illinois Agricultural Statistics Annual Farm Census being published by the Illinois Cooperative Reporting Service. Such referendum is to be held in accordance with Section 10 of the Act.

ARTICLE XVII

SEVERABILITY:

ARTICLE XVIII

Section 1.

"All assessments on soybeans marketed are due and payable to the board. Any due and payable assessment required under the provisions of any program created under this Act constitutes a personal debt of every person so assessed or who otherwise owes such assessment. Such assessment is due and payable to the board when payment is stipulated in the program and called for by the board. In the event any person fails to remit the full amount of such due assessment or such other sum within 30 days after the due date, the person owing such assessment shall be given an opportunity to present his case as provided for in Section 22 of the Act. When established that the assessment is correct, the board may add to the unpaid assessment or sum a penalty amount not exceeding 10 per cent of the amount due to defray the cost of enforcing the collection of the assessment or sum due. In the event of failure of a person to remit any properly due assessment or sum, the board may bring civil action against such person in the Circuit Court of any county for collection thereof, together with the above additional specified 10 per cent penalty assessment and court costs. Such action shall be tried and judgment rendered as in any other cause of action for debts due and payable."2

Section 2.

"No person shall knowingly fail or refuse to comply with any requirement of this Act where obligated to comply by a duly approved marketing program. The board may institute any action which is necessary to enforce compliance with this Act, any rule or regulation thereunder or any program adopted pursuant to this Act. In addition to any other remedy provided by law the board may petition for injunctive relief without being required to allege or prove the absence of any other adequate remedy at law. Such action shall be brought in the Circuit Court of any county.

Before the board may institute any proceedings under this Act, the alleged violator shall first be given an opportunity to present his views to the board as to why such proceedings should not be instituted."3

2Quote from Section 20 of "An Act in relation to Soybean Marketing Program", being Public Act No. 78-739, approved September 11, 1973.

3Quote from Section 22 of "An Act in relation to Soybean Marketing Program", being Public Act No. 78-739, approved September 11, 1973.

History

Source: Amended at 33 Ill. Reg. 6044, effective April 7, 2009

2 Ill. Adm. Code 700.APPENDIX E Fertilizer Research and Education Program

ARTICLE I

PURPOSE

A research and education program for fertilizer is established and shall be operated for purposes of sponsoring research and education programs. In order to implement this program, a Fertilizer Research and Education Council (council) is established and its goals and objectives are:

a) To evaluate the agronomics of fertilizers when best management practices are used, which may include, but are not limited to, the relationship of fertilizer use to soil management, soil fertility, plant nutrition problems, economic considerations, and environment considerations.

b) To develop effective application techniques for fertilizer, which may include the development of equipment and fertilizer distribution systems.

c) To demonstrate the efficiencies and effectiveness of fertilizer systems.

d) To conduct research on environmental concerns which shall be related to fertilizer usage.

e) To develop innovative uses of fertilizers under varied cultural, pest control and water management practices and other potential uses.

f) To disseminate the results of such research programs.

g) To promote the recommended and effective usage of fertilizer materials through education programs and other designated activities.

ARTICLE II

FERTILIZER RESEARCH AND EDUCATION COUNCIL

Section 1. Establishment of Council.

a) A Fertilizer Research and Education Council is established under the authority of Section 6a of the Illinois Fertilizer Act of 1961 (Ill. Rev. Stat. 1987, ch. 5, par. 55.6a, as amended by P.A. 86-232, effective August 15, 1989).

b) This Council shall be comprised of 3 persons representing the fertilizer industry, 3 persons representing crop production, and 2 persons representing the public at large who shall be appointed by the Director of the Department of Agriculture (director) (Section 6a of the Illinois Fertilizer Act of 1961).

c) Vacancies occurring on the council during an unexpired term of office shall be filled by the director with an appointee who is from the respective field affected by the vacancy. The appointee shall serve as a representative on the council for the unexpired term. Should an appointed council member no longer represent the respective field from which such member was appointed, a vacancy shall be deemed to exist.

Section 2. Term of Office.

a) The term of office for a council member shall be three years, except for the initial council. The term of office shall terminate on September 30. No person shall serve as a council member for more than two consecutive terms of office.

b) In order to have staggered terms of office to the council, the initial terms of office shall terminate on September 30 in the years 1993, 1994, and 1995.

c) The term of office for each initial council member shall be determined by a drawing.

Section 3. Meetings of Council.

a) The council shall meet at least once annually.

b) Each appointed council member and the director are entitled to one vote. An appointed council member cannot vote by proxy or be represented by another person.

c) Any action taken by the council shall require a majority vote of the council members, provided a quorum is present.

d) If an appointed council member misses three consecutive meetings of the council, the director shall declare the office vacant and the procedure for filling vacancies shall be initiated.

Section 4. Council Compensation.

The appointed council members are entitled to actual and necessary travel expenses at the reimbursement rate approved by the State's Travel Control Board while attending meetings of the council or while engaged in the performance of official responsibilities as determined by the council. Council members are not entitled to any salary.

Section 5. Duties of the Chairman

The Director or his representative from the Department shall act as chairman of the council (Section 6a of the Illinois Fertilizer Act of 1961). The duties of the chairman shall be to:

a) Preside at all meetings of the council.

b) Call meetings of the council when deemed necessary or when requested by three or more appointed members of the council.

c) Have general supervision of the affairs of the council and perform all acts and duties usually incidental to and required of a presiding officer.

Section 6. Powers and Duties of the Council.

The responsibilities of the council are to:

a) solicit research and education projects consistent with the scope of the established fertilizer research and education program (Section 6a of the Illinois Fertilizer Act of 1961);

b) review and arrange for peer review of all research proposals for scientific merit and methods, and review for arrange for the review of all proposals for their merit, objective, methods and procedures (Section 6a of the Illinois Fertilizer Act of 1961); any person performing peer review shall not be associated with the person or organization submitting the project;

c) evaluate the proposed budget for the projects and make recommendations as necessary (Section 6a of the Illinois Fertilizer Act of 1961);

d) monitor progress of projects and report at least once each 6 months on each project's accomplishments to the director and board of agricultural advisers (Section 6a of the Illinois Fertilizer Act of 1961);

e) recommend projects to be approved and funded at least annually including recommendations on continuation or cancellation of authorized and ongoing projects (Section 6a of the Illinois Fertilizer Act of 1961);

f) recommend to the Board of Agricultural Advisors and to the director that the Department of Agriculture contract with or make grants to an organization, agency or individual for any research, education materials, peer review and/or educational programs pertaining to fertilizers;

g) publish annually an activity and financial report for the period October 1 through September 30;

h) recommend that the Department of Agriculture accept donations, gifts, and other property to be used for program purposes; and

i) perform other duties as may be necessary for the operation of the council.

ARTICLE III

GUIDELINES FOR RESEARCH AND EDUCATION PROJECTS

Section 1. Research Projects.

a) Proposals for research projects shall contain the following information on forms provided by the Department:

Identity of the project and its location;
Name(s) of project leader(s) and of any person or entity that will be cooperating, if applicable; biographical information on project leader(s) shall be included;
Specific and concise objectives for the project;
Justification statement on why the work is needed, literature review of related research that has been conducted or is now being conducted, what information will be contributed, and impact of research;
A workplan including but not limited to:

A) treatment variables and levels of each (e.g., types of treatments, rates of application, plot dimensions, and replications).

B) soil characteristics (e.g., soil type, chemical base measurements on soil before treatments are started, physical characteristics of plot area such as topography, bulk density, and drainage, and any biological characteristics that are unique to the plot).

C) cultural practices (e.g., field history; crop rotation to be used; target planting dates; hybrids or varieties; seeding rate and row width; weed control; insect control; disease control; irrigation, type, frequency, method of scheduling; tillage and residue management; and fertilizer application methods and placement).

D) parameters to be measured (e.g., establish chemical base measurements on soil, plant analyses as appropriate for each treatment, quality measurements in addition to yield, total above ground dry matter and nutrient content at harvest on selected treatments, water and energy efficiency measurements as appropriate, and yield).

E) development of equipment and fertilizer delivery systems, if applicable.

F) anticipated effects on the environment.

G) any pertinent information on the project that the person submitting the research project desires to explain.

Dates of the initiation and completion of the project, timetable with targeted goals, and any deadlines that may be established;
Itemized cost of the project.

b) Any person who has a research project funded by the council shall submit to the chairman a quarterly report on the project's findings that have occurred during the quarter for which the report covers and a final report at the project's conclusion covering the total findings and conclusions of the project.

Section 2. Education and Information Dissemination Projects.

a) Proposals for education and/or information dissemination projects shall contain the following information on forms provided by the Department:

Identity of the project and its location;
Name(s) of project leader(s) and of any person or entity that will be cooperating, if applicable; biographical information on the project leader(s) shall be included;
Specific and concise objectives for the project;
Justification statement on why the work is needed, related projects that have been conducted or are now being conducted, what information will be contributed, and impact of the project;
Itemized cost of the project;
Dates of initiation and completion of the project, timetable with targeted goals, and any deadlines that may be established.

b) Any person who has an education and/or information dissemination project funded by the council shall submit to the chairman a quarterly report on the project's findings that have occurred during the quarter for which the report covers and a final report at the project's conclusion covering the total findings and conclusions of the project.

Section 3. Copyright, royalty, and patent.

The contract with the person whose project was approved shall address the issues of copyright, royalty payments and patents.

ARTICLE IV

PROCEDURES FOR PROJECT APPROVAL

a) The council shall solicit projects from time to time. Within six months of the date of receipt of the project application, the council shall advise the person who submitted the project whether the project has been approved, rejected, is pending or needs additional information.

b) When the council approves a new project or makes a recommendation for continuation or cancellation of ongoing projects, the recommendation and project shall be delivered to the director on the date it is approved. In deciding whether to approve a project, the council shall consider its objectives and goals, availability of funding, and the results of other research. Because of the possibility of insufficient funding, the council shall rank projects.

c) The director shall call a meeting of the Board of Agricultural Advisors within 30 days of the date of delivery of the council's recommendation.

d) One or more members of the council as designated by the council shall present the proposed project or recommendation for continuation or cancellation to the Board of Agricultural Advisors.

e) The Board of Agricultural Advisors shall review the proposed projects and recommendations of the fertilizer research and education council and recommend to the director what projects shall be approved and their priority. The Board of Agricultural advisors shall recommend to the director the continuation or cancellation of such projects (Section 6a of the Illinois Fertilizer Act of 1961). Decisions of the Board of Agricultural Advisors on the recommendations of the council shall be forwarded to the director and to the council within ten working days.

f) The director shall consider the recommendations of the council and the Board of Agricultural Advisors in determining whether to approve or reject a project or a recommendation to continue or cancel a project. The director's final decision on each recommendation shall be made within ten working days of the date of the Board of Agricultural Advisor's recommendation.

History

Source: Amended at 14 Ill. Reg. 584, effective December 27, 1989

2 Ill. Adm. Code 700.APPENDIX F Procedures for Conducting Corn Marketing Program Referendums

ARTICLE I

DEFINITIONS

a) "Act" means the Illinois Corn Marketing Act (Ill. Rev. Stat. 1991, ch. 5, par. 701 et seq.) [505 ILCS 40].

b) "Corn" means and includes all kinds of varieties of corn (excluding popcorn and sweet corn) grown in this state and marketed and sold as corn by the producer. (Quoted from Section 3 of the Illinois Corn Marketing Act (Ill. Rev. Stat. 1991, ch. 5, par. 703) [505 ILCS 40/3]).

c) "Corn Marketing Program" means the program established under the authority of the Corn Marketing Act and approved by the corn producers (2 Ill. Adm. Code 700.APPENDIX B).

d) "Corn Marketing Board" means the board established by any corn marketing program to administer a corn marketing program.

e) "Department" means the Department of Agriculture of the State of Illinois, P.O. Box 19281, Springfield, Illinois 62794-9281. (Quoted from Section 3 of The Illinois Corn Marketing Act (Ill. Rev. Stat. 1991, ch. 5, par. 703) [505 ILCS 40/3]).

f) "Director" means the Director of the Department of Agriculture of the State of Illinois or a duly authorized representative. (Quoted from Section 3 of The Illinois Corn Marketing Act (Ill. Rev. Stat. 1991, ch. 5, par. 703) [505 ILCS 40/3]).

g) "Eligible Voter" means one who is defined both as a person and as a producer in this program during the previous 365 days prior to the referendum date.

h) "Person" means any natural person, partnership, corporation, society, association, representative or other fiduciary (Quoted from Section 3 of The Illinois Corn Marketing Act (Ill. Rev. Stat. 1991, ch. 5, par. 703) [5050 ILCS 40/3]).

i) "Producer" means any person engaged in this State in the business of producing and marketing corn and who is affected by the Corn Marketing Program by virtue of having the first right of ownership in any corn for which payment is received at the first point of sale.

ARTICLE II

REQUESTING SUBSEQUENT CORN MARKETING REFERENDUMS

Following receipt of a petition to amend the existing corn marketing program, the Director shall hold a public hearing for the purpose of informing corn producers of the proposed changes to a program and to solicit public comments on the proposed changes. The Director shall publish notice of the public hearing in the official State newspaper and issue a press release to newspapers of general circulation and to other news media at least 2 weeks prior to the date of the hearing. Following the public hearing, the findings of the hearing shall be sent to all parties of record appearing at the hearing.

If the proposed amendment is approved by the Corn Marketing Board following the public hearing, the Director shall hold a referendum within 90 days from receipt of the Board's approval in accordance with the provisions of Article III of this Appendix.

Prior to the consideration of any proposed amendment to an existing corn marketing program, the Director shall require the sponsors therefor to deposit funds for expenses of preparing, holding hearings, and conducting the referendum. Such funds shall be in the amount as set forth in Section 8 of the Act, and the funds shall be held and distributed in accordance with the provisions of Section 8 of the Act.

ARTICLE III

REFERENDUMS

Section I – Voting.

The Director shall hold referendums in accordance with the provisions of Sections 7, 9, and 21 of the Act.

All referendums shall be conducted by one of the following methods as determined by the Director:

a) by a ballot cast at the local Cooperative Extension Service office serving the area in which such eligible voter resides, unless an alternate location is designated by the Director because of unaccessible facilities or where no Cooperative Extension office exists in the area; or

b) by a ballot mailed to producers. A period of 21 days from the date of mailing of the ballot shall be allowed for the return of such ballots. Ballots shall be returned to the Director by mail or by personal delivery by the voting producer at such address as may be designated by the Director. Under this voting method, all ballot processing will be administered by a Teller Committee appointed by the Director and composed of members of the agricultural community.

When requested in writing, the Director shall provide a ballot to any producer whose name does not appear on the official mailing list of producers or who for any reason did not receive a ballot.

The Agricultural Stabilization and Conservation Service's most current list of producers shall be the official mailing list used for such referendums.

An amendment to a corn marketing program is approved when a majority of those voting in the referendum vote in favor of such program.

The Director shall control all ballots and producer affidavits, except when the ballots and affidavits are in the hands of the election judges/teller committee.

Section 2 – Referendum Publicity

Notification of the referendum date shall be published once in the official State newspaper and made available to trade publications and the public press at least 2 weeks prior to the referendum date.

Section 3 – Election Judges

If voting is done pursuant to Section 1(a), the Director shall appoint 2 persons to serve as election judges at each polling place. Election judges shall determine the eligibility of the person to vote in the referendum, maintain voting integrity, preserve the confidentiality of all referendum ballots, count ballots and determine the results of the referendum for that location, report total voting results to the Department, and return both marked and blank ballots, producer affidavits, and any other referendum information to the Department after the referendum, either personally or by certified mail.

ARTICLE IV

QUALIFICATION TO VOTE

Any person who is defined as a producer in the corn marketing program shall be entitled to one vote. Such eligible voter shall sign a statement or affidavit declaring that such person is an eligible voter in the program.

An eligible voter who meets the definition of a "producer" in more than one country or on more than one tract of land may only vote once in their own name. If more than one vote is cast, only one vote, cast in the county of residence, will be counted.

A person or business organization which meets the "producer" definition may designate some individual to vote on its behalf. In such cases, the following guidelines apply:

In cases of associations, businesses, cooperatives, universities, colleges, foundations, or any other business entity, only an officer may cast one vote for this business organization.

Partnership or joint tenancy: If the ownership of the commodity is held in the partnership name or in joint ownership, only one partner/owner may cast one vote. It is the responsibility of the partnership/joint ownership to decide who will vote.

Fiduciary: Only the court-appointed legal representative of a trust, estate, conservatorship, guardianship or other fiduciary relationship may cast one vote for the business held in trust.

Landlord and tenant: Each may cast one vote if each meets the "producer" definition.

Husband and wife: If the corn is held in joint ownership by both husband and wife, only one spouse may cast one vote. If each spouse meets the "producer" definition as a separate entity, then each may cast one vote.

ARTICLE V

TELLER COMMITTEE TO CERTIFY RESULTS

Within 2 weeks after the referendum date, the Director shall appoint a teller committee to count ballots that have been received from the election judges, to canvass and to certify results of the referendum.

ARTICLE VI

ABSENTEE BALLOTS

Under Section 1(a) of Article III:

The Director shall provide to any eligible voter who resides outside of the State of Illinois or who cannot be physically present at the polls on the day of the referendum an absentee ballot upon request in writing to the Director. Absentee ballots are available beginning 30 days prior to the referendum date.

Any eligible voter requesting an absentee ballot shall file with the Director an affidavit swearing that such eligible voter is eligible to vote in the referendum. Such affidavit shall be available from the Director.

All absentee ballots and affidavits shall be returned to the Director at least 2 working days prior to the referendum date.

Postcards for requesting absentee ballots shall be available at each Cooperative Extension office or designated polling place and from the Division of Marketing of the Department. Each person requesting an absentee ballot must sign the card and state the address.

The Director shall receive, date stamp, determine the voter eligibility, and preserve the confidentiality of all absentee ballots.

History

Source: Amended at 24 Ill. Reg. 1564, effective January 12, 2000

Part 701 Freedom of Information Act

2 Ill. Adm. Code 701.10 Definitions

"Department" means the Illinois Department of Agriculture.

"Director" means the Director of the Illinois Department of Agriculture.

"FOIA" means The Freedom of Information Act (Supp. to Ill. Rev. Stat. 1983, ch. 116, par. 201 et seq.).

"Freedom of Information Officer" or "FOI Officer" means an employee of the Department who is responsible for receiving and responding to requests for inspection or copies of public records.

"Requestor" means a person who submits a request for public records in accordance with the rules of this Part.

2 Ill. Adm. Code 701.20 General Information Available from the Foi Officer

The FOI Officer shall make available to any person the following general information:

a) A brief description of the Department's organizational structure, its operating budget, location of its offices, approximate number of full and part-time employees, and identification and membership of boards, commissions, committees or councils that are advisory or to which the Department must report (Section 4(a) of the FOIA).

b) A brief description of the procedure for requesting information and public records, including appeal procedures (Section 4(b) of the FOIA).

c) A list of the types and categories of public records maintained by the Department (Section 5 of the FOIA).

d) Information printed by the Department expressly for public dissemination, such as the Directory of Services, acts, rules, promotional information, statistics on agricultural production, annual reports, and news releases.

2 Ill. Adm. Code 701.30 Department Records and Information

a) Information and public records of the Department are available to any requestor for inspection or copying, unless the public record or information is exempt from inspection or copying pursuant to Section 7 of the FOIA.

b) Requests which violate privacy, further a commercial enterprise or disrupt the duly-undertaken work of any public body (e.g., for the purpose of soliciting business) shall be denied by the Department in accordance with the legislative intent of the FOIA (Section 1 of the FOIA).

c) Categorical requests which create a burden on the Department shall be denied only after extending to the requestor an opportunity to narrow the request pursuant to Section 3(f) of the FOIA. The FOI Officer shall consider when determining whether to grant a categorical request such factors as the manpower that will be needed to fulfill the request, the amount of time it will take to complete the request, the personnel available, other activities and priorities of the Department, and whether the Department has the capability to fulfill the request (e.g., copying microfiche).

2 Ill. Adm. Code 701.40 Electronic Information

The Department will provide information which requires electronic retrieval in a timely manner, taking into consideration the competing demands on computer time and computer personnel available to the Department and the provisions of Section 701.30. The Department will not create special computer programs to retrieve information in a form which would not otherwise be available.

2 Ill. Adm. Code 701.50 Person to Whom Requests Should Be Directed

The request for inspection or copies of public records shall be directed to the Freedom of Information Officer. The request shall be in writing and sent to:

Illinois Department of Agriculture

State Fairgrounds

Springfield, Illinois 62706

ATTN: Freedom of Information Officer

2 Ill. Adm. Code 701.60 Information to Be Provided by the Requestor

a) The request for inspection or copies of public records shall include the name, mailing address and telephone number of the requestor.

b) The request shall describe as specifically as possible what information is sought.

c) The request shall specify for what purpose the information or records are being requested in order for the Department to determine if the reason for the request is in accordance with the legislative intent (Section 1 of the FOIA).

d) The request shall state whether the request is for inspection and/or copies of public records.

e) If the copies of the public records are to be certified by the Department, the requestor must so state on the request.

2 Ill. Adm. Code 701.70 Time Frame for Department Response

a) The Department shall comply with or deny a written request for inspection or copies of public records within seven (7) working days after receipt of such request, unless the requestor is notified of an extension of the time period (Section 3(c) of the FOIA).

b) The Department may extend the time period for responding to a requestor. An extension of time to respond will not exceed seven (7) additional working days. Such an extension of time is allowable only if written notice is provided the requestor within the seven (7) original working day limit and only for the reasons provided in Section 3(d) of the FOIA. Such notice shall state the reasons why the delay is necessary and the date by which records will be available or denial will be forthcoming (Section 9 of the FOIA).

2 Ill. Adm. Code 701.80 Approval of the Request for Information

When a request for inspection and/or copies of public records is approved, the FOI Officer shall notify the requestor in writing or by telephone as to when the public records will be available for inspection or as to the cost of copying.

2 Ill. Adm. Code 701.90 Denial of Request for Information

a) The Department may deny requests for inspection or copies of public records in accordance with the provisions of Sections 701.30 and 701.40.

b) The denial of the request shall be in writing, signed by the FOI Officer and sent by certified mail to the requestor. The notice of denial shall include:

Description of the information which is being denied.
Names and titles or positions of persons responsible for the denial (Section 9(a) of the FOIA).
Reason for the denial (Section 9(a) of the FOIA);
A statement advising the requestor of the right to appeal the denial to the Director of the Department in accordance with the procedures set forth in Section 701.100.

2 Ill. Adm. Code 701.100 Reconsideration of Denials by the Director

a) A requestor whose request has been denied by the FOI Officer may appeal the denial to the Director of the Department. The notice of appeal shall be in writing and sent to:

Director

Illinois Department of Agriculture

State Fairgrounds

Springfield, Illinois 62706

ATTN: FOIA Appeal

b) The notice of appeal shall state why the appeal should be granted. A copy of the original request for a copy and/or inspection of the public records and a copy of the FOI Officer's denial letter shall accompany the notice of appeal.

c) Upon receipt of a notice of appeal containing all the information and documentation required by Section 701.100(b), the Director shall review the appeal request and respond by certified mail to the requestor within seven (7) working days. The Director's response shall confirm the denial or state when the public records will be available for inspection or copying. The notice of denial of an appeal by the Director shall inform the requestor of the right to judicial review under Section 11 of the FOIA (Section 9(a) of the FOIA).

2 Ill. Adm. Code 701.110 Inspection of Public Records at Department Offices

a) Public records shall be available for inspection at the Department's Springfield office and only during the normal working hours of the Department as set forth in Section 18 of The Civil Administrative Code of Illinois (Ill. Rev. Stat. 1983, ch. 127, par. 18). The FOI Officer shall set an appointed time for the inspection of the public records.

b) A Department employee may be present during the inspection of public records.

c) Documents which the requestor wishes to have copies of shall be segregated during the course of the inspection. Photocopying shall be done by Department employees.

2 Ill. Adm. Code 701.120 Copies of Public Records

a) Copies of public records shall be provided to the requestor only upon receipt of the payment of any charges which are due.

b) Charges for copies of public records shall be assessed in accordance with the Fee Schedule For Duplication Of Public Records as set forth in Section 701.140, unless the fees have been waived as set forth in Section 701.130.

2 Ill. Adm. Code 701.130 Waiver of Fees

a) Charges shall be waived if the requestor is another agency of this State, a Constitutional officer of this State, or a member of the Illinois General Assembly.

b) Charges shall be waived by the FOI Officer or Director when the waiver benefits the Department in the administration of its programs or facilitates public awareness of such programs.

c) The FOI Officer shall make available to any person at no charge general information as set forth in Section 701.20.

2 Ill. Adm. Code 701.140 Fee Schedule for Duplication of Public Records

Paper copy from paper original (duplicated on 8½ X 11 or 8½ X 14 inch paper; each side of the paper original shall be considered a separate page).........................................................................................

$.10

Computer printout (paper – per page)....................................................

.05

Certification Charge (per request)..........................................................

.50

d) Duplication of public records which the Department cannot reproduce in-house (e.g., film prints, audio tapes, microfiche, and microfilm) will be contracted for by the Department provided the requestor agrees to pay the costs charged by the commercial entity performing the duplication.

Chapter II Department on Aging

Part 725 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 725.10 Rules of General Application

a) The Department's rules are available on the Illinois General Assembly website. Requests for information regarding the Department's rules should be directed to:

Office of General Counsel

Illinois Department on Aging

One Natural Resources Way, #100

Springfield, Illinois 62702

Aging.Rulemaking@illinois.gov

b) The Department's rules are found at:

2 Ill. Adm. Code, Part 725, Public Information, Rulemaking and Organization;

2 Ill. Adm. Code, Part 726, Access to Information of the Department on Aging;

4 Ill. Adm. Code, Part 1725, Americans With Disabilities Act and Civil Rights Program Grievance Procedure;

86 Ill. Adm. Code, Part 530, Senior Citizens and Disabled Persons Property Tax Relief and Pharmaceutical Assistance Act;

89 Ill. Adm. Code, Part 210, Introduction;

89 Ill. Adm. Code, Part 220, General Programmatic Requirements;

89 Ill. Adm. Code, Part 230, Older Americans Act Programs;

89 Ill. Adm. Code, Part 240, Community Care Program;

89 Ill. Adm. Code, Part 270, Adult Protection and Advocacy Services;

89 Ill. Adm. Code, Part 271, Joint Rules of The Department on Aging and The Department of Financial and Professional Regulation: Financial Exploitation Training by Financial Institutions; and

89 Ill. Adm. Code, Part 280, Community Based Residential Facilities Demonstration Project.

History

Source: Amended at 43 Ill. Reg. 13289, effective October 30, 2019

2 Ill. Adm. Code 725.20 Operating Manuals

The Department's operating procedures and policies are contained in policy and procedure manuals and in policy and procedure letters. Copies of these materials may be published on the Department's website. Requests for information regarding the Department's operating procedures and policies not published on the Department's website should be directed to:

FOI Officer

Illinois Department on Aging

One Natural Resources Way, #100

Springfield, Illinois 62702

Aging.FOIA@illinois.gov

History

Source: Amended at 43 Ill. Reg. 13289, effective October 30, 2019

2 Ill. Adm. Code 725.30 Public Information

Current informational documents and brochures about subjects and activities of the programs administered by the Department may be published on the Department's website. (See 5 ILCS 100/5-15(a)(2)) Requests for information and copies of current informational documents and brochures not published on the Department's website should be directed to:

FOI Officer

Illinois Department on Aging

One Natural Resources Way, #100

Springfield, Illinois 62702

Aging.FOIA@illinois.gov

History

Source: Amended at 43 Ill. Reg. 13289, effective October 30, 2019

2 Ill. Adm. Code 725.40 Materials to Aid Users with Finding and Using Department Rules

Tables of contents, indices, reference tables, and other materials to aid users in finding and using the agency's collection of rules currently in force are available on the Illinois General Assembly website. (See 5 ILCS 100/5-15(a)(3)) Requests for information regarding materials not available on the websites of the Illinois General Assembly and the Department should be directed to:

Office of General Counsel

Illinois Department on Aging

One Natural Resources Way, #100

Springfield, Illinois 62702

Aging.Rulemaking@illinois.gov.

History

Source: Amended at 43 Ill. Reg. 13289, effective October 30, 2019

2 Ill. Adm. Code 725.50 Individual Case Record Information

a) Information concerning individuals receiving services through programs administered by the Department and/or by the area agency is protected under federal and State confidentiality laws and rules and Department rules, policies and procedures and may be released only under specified conditions.

b) Where information covered by federal and State confidentiality laws and rules and/or Department rules, policies and procedures is furnished by or to other agencies, such laws, rules, policies and procedures shall be applied to such information.

History

Source: Amended at 43 Ill. Reg. 13289, effective October 30, 2019

2 Ill. Adm. Code 725.110 Identification of Need for Rulemaking

a) When the Department identifies a need for rulemaking, all rulemaking including rules, amendments, and repealers will be prepared in accordance with the Illinois Administrative Procedure Act [5 ILCS 100] and the Rulemaking Procedures for Codification (1 Ill. Adm. Code 100). Please refer to Table A.

b) Proposed rulemaking of any type shall be coordinated by the General Counsel to the Director before submission to the Administrative Code Unit of the Illinois State Library. The General Counsel shall coordinate all rulemaking for the Department with the Joint Committee on Administrative Rules.

c) Public hearings may be conducted on proposed rulemaking.

d) All timely public comments shall be considered by the Director during the first notice period. Comments must be received by the contact person designated for receipt of comments for the rulemaking by 5:00 p.m. on the closing date to be timely.

History

Source: Amended at 43 Ill. Reg. 13289, effective October 30, 2019

2 Ill. Adm. Code 725.120 Requests for Adoption of Rules

Any person may request the Department adopt a new rule or amend or repeal a rule currently in effect.

a) The written request needs to:

Identify the current rule to be amended or repealed or state the substance of the new rule proposed,
Include an explanation and any supporting documentation, and
Identify the requestor's organizational affiliation, if any.

b) Requests should be directed to:

Office of the Director c/o Office of General Counsel

Illinois Department on Aging

One Natural Resources Way, #100

Springfield, Illinois 62702

Aging.Rulemaking@illinois.gov

c) The request will be considered by the Department and if the Department initiates rulemaking based on the request, the Department may notify the requestor.

d) The request is denied if the Department either notifies the requestor of its denial or does not initiate rulemaking proceedings on the subject of the request within 30 calendar days.

History

Source: Amended at 43 Ill. Reg. 13289, effective October 30, 2019

Chapter II Department on Aging

Part 725 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 725.130 Rulemaking Proceedings

If the Department determines rulemaking should be pursued, the necessary steps for filing and publication, as specified in the Illinois Administrative Procedure Act [5 ILCS 100] shall be followed.

History

Source: Amended at 43 Ill. Reg. 13289, effective October 30, 2019

2 Ill. Adm. Code 725.210 Department Organization

a) The organization and duties of the Department staff are established by the Director, as provided by Section 6.05 of the Illinois Act on Aging [20 ILCS 105/6.05].

b) The organization of the Department is illustrated in the organization chart in Table B.

History

Source: Added at 43 Ill. Reg. 13289, effective October 30, 2019

2 Ill. Adm. Code 725.TABLE A Rulemaking Chart

History

Source: Added at 43 Ill. Reg. 13289, effective October 30, 2019

2 Ill. Adm. Code 725.TABLE B Organization Chart

Director

Chief of Staff

Office of Deputy Director

Division of Finance and Administration

Office of General Counsel

Office of Internal Auditor

Office of State Ombudsman

Office of Human Resources

Division of Planning, Research & Development

Division of Information Technology

Division of Home & Community Services

Office of Communications

Division of Community Relations & Outreach

Office of Legislative Affairs

Division of Advocacy & Prevention Services

History

Source: Amended at 45 Ill. Reg. 8276, effective June 24, 2021

Chapter II Department on Aging

Part 726 Access to Records of the Department on Aging Subpart A: Introduction

2 Ill. Adm. Code 726.100 Summary and Purpose

a) This Part states the policy of the Department on Aging (Agency) for making its records available for reasonable public inspection while, at the same time, protecting legitimate interests in confidentiality.

b) This Part:

Establishes the following classifications for records in the Agency's possession:

A) Records that shall be disclosed; and

B) Records that shall be withheld from disclosure;

Contains the procedures by which requesters may obtain records in the Agency's possession; and
Contains the procedures for claiming and determining that records submitted to the Agency are exempt from disclosure.

2 Ill. Adm. Code 726.105 Definitions

Terms not defined in this Section shall have the same meaning as in the Freedom of Information Act [5 ILCS 140]. The following definitions are applicable for purposes of this Part.

"Act" means the Illinois Act on the Aging [20 ILCS 105].

"Agency" means Department on Aging as established by the Act.

to access and disseminate information concerning news and current or passing events;

for articles or opinion or features of interest to the public; or

for the purpose of academic, scientific, or public research or education. (Section 2(c-10) of FOIA)

"Director" means the Director of the Agency.

"FOIA" means the Freedom of Information Act [5 ILCS 140].

"Freedom of Information Officer" or "FOI Officer" means an individual or individuals responsible for receiving and responding to requests for public records.

"Person" means any individual, corporation, partnership, firm, organization or association, acting individually or as a group. (Section 2(b) of FOIA)

"Public Access Counselor" means an individual appointed to that office by the Attorney General under Section 7 of the Attorney General Act [15 ILCS 205].

"Requester" is any person who has submitted to the Agency a written request, electronically or on paper, for records.

2 Ill. Adm. Code 726.200 Records That Will Be Disclosed

Upon request meeting the requirements of this Part, the Agency shall disclose to the requester all records requested except that it shall not disclose certain records as provided in Section 726.205 or 726.210. Records covered under this Section shall include, but are not limited to:

a) Records of funds. All records relating to the obligation, receipt and use of public funds of the Agency are records subject to inspection and copying by the public. (Section 2.5 of FOIA)

b) Payrolls. Certified payroll records submitted to the Agency under Section 5(a)(2) of the Prevailing Wage Act [820 ILCS 130] are records subject to inspection and copying in accordance with the provisions of FOIA; except that contractors' and employees' addresses, telephone numbers, and Social Security numbers will be redacted by the Agency prior to disclosure. (Section 2.10 of FOIA)

c) Criminal history records. The following documents maintained by the Agency pertaining to criminal history record information are records subject to inspection and copying by the public pursuant to FOIA:

Court records that are public;
Records that are otherwise available under State or local law; and
Records in which the requesting party is the individual identified, except as provided under Section 7(1)(d)(vi) of FOIA. (Section 2.15(b) of FOIA)

d) Settlement agreements. All settlement agreements entered into by or on behalf of the Agency are records subject to inspection and copying by the public, provided that information exempt from disclosure under Section 726.205 or 726.210 may be redacted. (Section 2.20 of FOIA)

2 Ill. Adm. Code 726.205 Records That Will Be Withheld from Disclosure

a) For exemptions from FOIA that are stated in FOIA, see Section 7(1) of FOIA.

b) A record that is not in the possession of the Agency but is in the possession of a party with whom the Agency has contracted to perform a governmental function on behalf of the Agency, and that directly relates to the governmental function and is not otherwise exempt under FOIA, shall be considered a record of the Agency for purposes of Subpart C. (Section 7(2) of FOIA)

2 Ill. Adm. Code 726.210 Statutory Exemptions

For exemptions from FOIA that are stated in other statutes, see Section 7.5 of FOIA.

2 Ill. Adm. Code 726.300 Submittal of Requests for Records

a) Any request for public records should be submitted in writing to the FOI Officer at the Agency.

b) The Agency has one FOI Officer, located in the Springfield office.

c) Contact information for the FOI Officer can be found online at www2. illinois.gov/Pages/FOIA-Contacts.aspx.

d) FOIA requests may be submitted via mail, e-mail, or in person to:

FOIA Office

Illinois Department on Aging

One Natural Resources Way, Suite 100

Springfield IL 62702-1271

Aging.FOIA@illinois.gov

e) Emailed requests should contain the request in the body of the e-mail and indicate in the subject line of the e-mail that it contains a FOIA request.

2 Ill. Adm. Code 726.305 Information to Be Provided in Requests for Records

A request for records should include:

a) The complete name, mailing address and telephone number of the requester;

b) As specific a description as possible of the records sought. Requests that the Agency considers unduly burdensome or categorical may be denied. (See Section 3(g) of FOIA and Section 726.405 of this Part.);

c) A statement as to the requested medium and format for the Agency to use in providing the records sought: for example, paper, specific types of digital or magnetic media, or videotape;

d) A statement as to the requested manner for the Agency to use in providing the records sought: for example, inspection at Agency headquarters or providing paper or electronic copies;

e) A statement as to whether the requester needs certified copies of all or any portion of the records, including reference to the specific documents that require certification; and

f) A statement as to whether the request is for a commercial purpose.

2 Ill. Adm. Code 726.310 Requests for Records for Commercial Purposes

a) It is a violation of FOIA for a person to knowingly obtain a record for a commercial purpose without disclosing that it is for a commercial purpose if requested to do so by the Agency. (Section 3.1(c) of FOIA)

b) The Agency shall respond to a request for records to be used for a commercial purpose within 21 working days after receipt. The response shall:

Provide to the requester an estimate of the time required by the Agency to provide the records requested and an estimate of the fees to be charged, which the Agency may require the person to pay in full before copying the requested documents;
Deny the request pursuant to one or more of the exemptions set out in Section 726.205 or 726.210;
Notify the requester that the request is unduly burdensome and extend an opportunity to the requester to attempt to reduce the request to manageable proportions; or
Provide the records requested. (Section 3.1(a) of FOIA)

c) Unless the records are exempt from disclosure, the Agency shall comply with a request within a reasonable period considering the size and complexity of the request, and giving priority to records requested for non-commercial purposes. (Section 3.1(b) of FOIA)

2 Ill. Adm. Code 726.315 Records Maintained Online

2 Ill. Adm. Code 726.400 Timeline for Agency Response

a) Except as stated in subsection (b) or (c), the Agency will respond to any written request for records within 5 business days after its receipt of the request. Failure to comply with a written request, extend the time for response, or deny a request within 5 business days after its receipt shall be considered a denial of the request. If the Agency fails to respond to a request within the requisite periods in this subsection (a) but thereafter provides the requester with copies of the requested records, it will not impose a fee for those copies. If the Agency fails to respond to a request received, it will not treat the request as unduly burdensome as provided under Section 726.405. (Section 3(d) of FOIA) A written request from the Agency to provide additional information shall be considered a response to the FOIA request.

b) The time limits prescribed in subsection (a) may be extended for not more than 5 business days from the original due date for any of the following reasons:

The requested records are stored in whole or in part at locations other than the office having charge of the requested records;
The request requires the collection of a substantial number of specified records;
The request is couched in categorical terms and requires an extensive search for the records responsive to it;
The requested records have not been located in the course of routine search and additional efforts are being made to locate them;
The requested records require examination and evaluation by personnel having the necessary competence and discretion to determine if they are exempt from disclosure under Section 7 or 7.5 of FOIA or should be revealed only with appropriate deletions;
The request for records cannot be complied with by the Agency within the time limits prescribed by subsection (a) without unduly burdening or interfering with the operations of the Agency; or
There is a need for consultation, which shall be conducted with all practicable speed, with another public body or among two or more components of a public body having a substantial interest in the determination or in the subject matter of the request. (Section 3(e) of FOIA)

c) The person making a request and the Agency may agree in writing to extend the time for compliance for a period to be determined by the parties. If the requester and the Agency agree to extend the period for compliance, a failure by the Agency to comply with any previous deadlines shall not be treated as a denial of the request for the records. (Section 3(e) of FOIA)

d) When additional time is required for any of the reasons set forth in subsection (b), the Agency will, within 5 business days after receipt of the request, notify the person making the request of the reasons for the extension and the date by which the response will be forthcoming. Failure to respond within the time permitted for extension shall be considered a denial of the request. If the Agency fails to respond to a request within the time permitted for extension but thereafter provides the requester with copies of the requested public records, it may not impose a fee for those copies. If the Agency issues an extension and subsequently fails to respond to the request, it will not treat the request as unduly burdensome under Section 726.405. (Section 3(f) of FOIA)

2 Ill. Adm. Code 726.405 Requests for Records That the Agency Considers Unduly Burdensome

a) The Agency will fulfill requests calling for all records falling within a category unless compliance with the request would unduly burden the Agency, there is no way to narrow the request, and the burden on the Agency outweighs the public interest in the information. Before invoking this exemption, the Agency will extend to the requester an opportunity to confer with it in an attempt to reduce the request to manageable proportions. (Section 3(g) of FOIA) The amended request must be in writing.

b) If the Agency determines that a request is unduly burdensome, it shall do so in writing, specifying the reasons why it would be unduly burdensome and the extent to which compliance will so burden the operations of the Agency. The response shall be treated as a denial of the request for information. (Section 3(g) of FOIA)

2 Ill. Adm. Code 726.410 Recurrent Requesters

a) Notwithstanding any provision of this Part to the contrary, the Agency will respond to a request from a recurrent requester, as defined in Section 726.105, within 21 business days after receipt. The response shall:

provide to the requester an estimate of the time required by the Agency to provide the records requested and an estimate of the fees to be charged, which the Agency may require the person to pay in full before copying the requested documents;
deny the request pursuant to one or more of the exemptions set out in this Part;
notify the requester that the request is unduly burdensome and extend an opportunity to the requester to attempt to reduce the request to manageable proportions; or
provide the records requested.

b) Within 5 business days after receiving a request from a recurrent requester, the Agency will notify the requester that the Agency is treating the request as a recurrent request, of the reasons why the Agency is treating the request as a recurrent request, and that the Agency will send an initial response within 21 business days after receipt in accordance with subsection (a). The Agency will also notify the requester of the proposed responses that can be asserted pursuant to subsection (a).

c) Unless the records are exempt from disclosure, the Agency will comply with a request within a reasonable period considering the size and complexity of the request. (Section 3.2 of FOIA)

2 Ill. Adm. Code 726.415 Requests for Records That Require Electronic Retrieval

a) A request for records that requires electronic retrieval will be treated the same as any other request for records, with the same timeline and extensions as allowed for other records.

b) The Agency will retrieve and provide electronic records only in a format and medium that is available to the Agency.

2 Ill. Adm. Code 726.420 Denials of Requests for Records

a) The Agency will deny requests for records when:

Compliance with the request would unduly burden the Agency, as determined pursuant to Section 726.405, and the requester has not reduced the request to manageable proportions; or
The records are exempt from disclosure pursuant to Section 7 or 7.5 of FOIA or Section 726.205 or 726.210 of this Part.

b) The denial of a request for records must be in writing.

The notification shall include a description of the records denied; the reason for the denial, including a detailed factual basis for the application of any exemption claimed; and the names and titles or positions of each person responsible for the denial (Section 9(a) of FOIA);
Each notice of denial shall also inform the person of the right to review by the Public Access Counselor and provide the address and phone number for the Public Access Counselor (Section 9(a) of FOIA); and
When a request for records is denied on the grounds that the records are exempt under Section 7 or 7.5 of FOIA, the notice of denial shall specify the exemption claimed to authorize the denial and the specific reasons for the denial, including a detailed factual basis and a citation to the supporting legal authority (Section 9(b) of FOIA).

c) A requester may treat the Agency's failure to respond to a request for records within 5 business days after receipt of the written request as a denial for purposes of the right to review by the Public Access Counselor.

d) If the Agency has given written notice pursuant to Section 726.400(d), failure to respond to a written request within the time permitted for extension may be treated as a denial for purposes of the right to review by the Public Access Counselor.

e) Any person making a request for records shall be deemed to have exhausted his or her administrative remedies with respect to that request if the Agency fails to act within the time periods provided in Section 726.400. (Section 9(c) of FOIA)

2 Ill. Adm. Code 726.425 Requests for Review of Denials - Public Access Counselor

a) A person whose request to inspect or copy a record is denied by the Agency may file a request for review with the Public Access Counselor established in the Office of the Attorney General not later than 60 days after the date of the final denial. The request for review shall be in writing, be signed by the requester, and include a copy of the request for access to records and any response from the Agency. (Section 9.5(a) of FOIA)

c) Within 7 business days after the Agency receives a request for review from the Public Access Counselor, the Agency shall provide copies of records requested and shall otherwise fully cooperate with the Public Access Counselor. (Section 9.5(c) of FOIA)

d) Within 7 business days after it receives a copy of a request for review and request for production of records from the Public Access Counselor, the Agency may, but is not required to, answer the allegations of the request for review. The answer may take the form of a letter, brief, or memorandum. The Public Access Counselor shall forward a copy of the answer to the person submitting the request for review, with any alleged confidential information to which the request pertains redacted from the copy. (Section 9.5(d) of FOIA)

e) The requester may, but is not required to, respond in writing to the answer within 7 business days and shall provide a copy of the response to the Agency. (Section 9.5(d) of FOIA)

f) In addition to the request for review, and the answer and response to the request, if any, a requester or the Agency may furnish affidavits or records concerning any matter germane to the review. (Section 9.5(e) of FOIA)

g) A binding opinion from the Attorney General shall be binding upon both the requester and the Agency, subject to administrative review under Section 726.435. (Section 9.5(f) of FOIA)

i) Upon receipt of a binding opinion concluding that a violation of FOIA has occurred, the Agency will either take necessary action immediately to comply with the directive of the opinion or shall initiate administrative review under Section 726.435. If the opinion concludes that no violation of FOIA has occurred, the requester may initiate administrative review under Section 726.435. (Section 9.5(f) of FOIA)

j) If the Agency discloses records in accordance with an opinion of the Attorney General, the Agency is immune from all liabilities by reason thereof and shall not be liable for penalties under FOIA. (Section 9.5(f) of FOIA)

k) If the requester files suit under Section 726.430 with respect to the same denial that is the subject of a pending request for review, the requester shall notify the Public Access Counselor. (Section 9.5(g) of FOIA)

l) The Attorney General may also issue advisory opinions to the Agency regarding compliance with FOIA. A review may be initiated upon receipt of a written request from the Director of the Agency or the Agency's Chief Legal Counsel, which shall contain sufficient accurate facts from which a determination can be made. The Public Access Counselor may request additional information from the Agency in order to assist in the review. If the Agency relies in good faith on an advisory opinion of the Attorney General in responding to a request, the Agency is not liable for penalties under FOIA, so long as the facts upon which the opinion is based have been fully and fairly disclosed to the Public Access Counselor. (Section 9.5(h) of FOIA)

2 Ill. Adm. Code 726.430 Circuit Court Review

2 Ill. Adm. Code 726.435 Administrative Review

A binding opinion issued by the Attorney General shall be considered a final decision of an administrative agency, for purposes of administrative review under the Administrative Review Law [735 ILCS 5/Art. III]. An action for administrative review of a binding opinion of the Attorney General shall be commenced in Cook County or Sangamon County. An advisory opinion issued to the Agency shall not be considered a final decision of the Attorney General for purposes of this Section. (Section 11.5 of FOIA)

2 Ill. Adm. Code 726.500 Inspection and Copying of Records

a) The Agency may make available records for personal inspection at the Agency's headquarters office located at One Natural Resources Way, Suite 100, Springfield IL 62702-1271, or at another location agreed to by both the Agency and the requester. No original record shall be removed from State-controlled premises except under constant supervision of the agency responsible for maintaining the record. The Agency may provide records in duplicate forms, including, but not limited to, paper copies, data processing printouts, videotape, microfilm, audio tape, reel to reel microfilm, photographs, computer disks and diazo.

b) When a person requests a copy of a record maintained in an electronic format, the Agency shall furnish it in the electronic format specified by the requester, if feasible. If it is not feasible to furnish the records in the specified electronic format, then the Agency shall furnish it in the format in which it is maintained by the Agency, or in paper format at the option of the requester. (Section 6(a) of FOIA)

c) A requester may inspect records by appointment only, scheduled subject to space availability. The Agency will schedule inspection appointments to take place during normal business hours, which are 8:30 a.m. to 5:00 p.m. Monday through Friday, exclusive of State holidays. If the requester must cancel the viewing appointment, the requester shall so inform the Agency as soon as possible before the appointment.

d) In order to maintain routine Agency operations, the requester may be asked to leave the inspection area for a specified period of time.

e) The requester will have access only to the designated inspection area.

f) Requesters shall not be permitted to take briefcases, folders or similar materials into the room where the inspection takes place. An Agency employee may be present during the inspection.

g) The requester shall segregate and identify the documents to be copied during the course of the inspection.

2 Ill. Adm. Code 726.505 Fees for Records

a) In accordance with Section 726.510, unless a fee is otherwise fixed by statute, the Agency will provide copies of records and certifications of records in accordance with the fee schedule set forth in Appendix A.

b) In calculating its actual cost for reproducing records or for the use of the equipment of the Agency to reproduce records, the Agency will not include the costs of any search for and review of the records or other personnel costs associated with reproducing the records. (Section 6(b) of FOIA)

c) In order to expedite the copying of records that the Agency cannot copy, due to the volume of the request or the operational needs of the Agency, in the timelines established in Section 726.400, the requester may provide, at the requester's expense, the copy machine, all necessary materials, and the labor to copy the public records at the Agency headquarters in Section 726.500, or at another location agreed to by both the Agency and the requester. No original record shall be removed from State-controlled premises except under constant supervision of the agency responsible for maintaining the record.

d) Copies of records will be provided to the requester only upon payment of any fees due. The Agency may charge the requester for the actual cost of purchasing the recording medium, whether disc, diskette, tape, or other medium, but the Agency will not charge the requester for the costs of any search for and review of the records or other personnel costs associated with reproducing the records. (Section 6(a) of FOIA) Payment must be by check or money order sent to the Agency, payable to "Treasurer, State of Illinois".

e) If a contractor is used to inspect or copy records, the following procedures shall apply:

The requester, rather than the Agency, must contract with the contractor;
The requester is responsible for all fees charged by the contractor;
The requester must notify the Agency of the contractor to be used prior to the scheduled on-site inspection or copying;
Only Agency personnel may provide records to the contractor;
The Agency must have verification that the requester has paid the Agency, if payment is due, for the copying of the records before providing the records to the contractor; and
The requester must provide to the Agency the contractor's written agreement to hold the records secure and to copy the records only for the purpose stated by the requester.

f) The Agency may charge up to $10 for each hour spent by personnel in searching for and retrieving a requested record. No fees shall be charged for the first 8 hours spent by personnel in searching for or retrieving a requested record. The Agency may charge the actual cost of retrieving and transporting public records from an off-site storage facility when the public records are maintained by a third-party storage company under contract with the Agency. If the Agency imposes a fee pursuant to this subsection (f), it must provide the requester with an accounting of all fees, costs, and personnel hours in connection with the request for public records. The provisions of this subsection (f) apply only to commercial requests. (Section 6(f) of FOIA)

2 Ill. Adm. Code 726.510 Reduction and Waiver of Fees

a) Fees may be reduced or waived by the Agency if the requester states the specific purpose for the request and indicates that a waiver or reduction of the fee is in the public interest. In making this determination, the Agency will consider the following:

Whether the principal purpose of the request is to disseminate information regarding the health, safety, welfare or legal rights of the general public; and
Whether the principal purpose of the request is personal or commercial benefit. For purposes of this subsection (a), "commercial benefit" shall not apply to requests made by news media when the principal purpose of the request is to access and disseminate information regarding the health, safety, welfare or legal rights of the general public. (Section 6(c) of FOIA)

b) In setting the amount of the waiver or reduction, the Agency will take into consideration the amount of materials requested and the cost of copying them. (Section 6(c) of FOIA)

c) The Agency will provide copies of records without charge to federal, State and municipal agencies, Constitutional officers and members of the General Assembly, and not-for-profit organizations providing evidence of good standing with the Secretary of State's Office.

2 Ill. Adm. Code 726.APPENDIX A Fee Schedule for Duplication and Certification of Records

TYPE OF DUPLICATION

FEE (PER COPY)

Paper copy from original, up to and including 50 copies of black and white, letter or legal sized copies

No charge

Paper copy from original, in excess of 50 copies of black and white, letter or legal sized copies

$.15/page

Paper copy from microfilm original

$.15/page

Microfilm diazo from original

$.50/diazo

VHS video copy of tape

Actual cost of the reproduction

Audio tape copy of tape

Actual cost of the reproduction

CD ROM disk

Actual cost of the reproduction

Photograph from negative

Actual cost of the reproduction

Blueprints/oversized prints

Actual cost of the reproduction

Paper copies in color or in a size other than letter or legal

Actual cost of the reproduction

Certification fee

$1.00/record

NOTE: Expense for delivery other than by First Class U.S. Mail must be borne by the requester.

Chapter III Department of Central Management Services

Part 750 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 750.10 Policy

It is the policy of the Department of Central Management Services to promulgate rules describing the operation of the Department whenever rules will enable State agencies, employees or the public to better understand the Department's functions.

2 Ill. Adm. Code 750.20 Applicability

These rules apply to the internal operation and structure of the Department.

2 Ill. Adm. Code 750.30 Functional Description

The Department of Central Management Services provides centralized services to State Agencies. Those major services and the basic governing statutes are listed below. Further definition by rule can be found in other parts promulgated by the Department.

Ill. Rev. Stat. 1983, ch. 127,

Electronic Data Processing

par. 35.7, 35.7a

Real Estate Purchase

par. 51

Risk Management

par. 63b4

Procurement

par. 63b13.1

Real Property Lease

pars. 63b13.2, 63b13.6

Printing

par. 63b13.4

Media Services

par. 63b13.5

Telecommunications

pars. 63b13.8, 63b13.18

Supply Warehouses

par. 63b13.9

Vehicles

pars. 63b13.15, 63b13.16

Property Control and Disposal

par. 63b13.21

Forms Management

par. 63b13.23

Building Management

par. 63b13.24

Personnel

par. 63b101

Employee Group Insurance

par. 514

2 Ill. Adm. Code 750.40 Organizational Description

The Department is headed by a Director and two Assistant Directors. Six Bureaus run the day to day operations. The Director's staff, the Bureaus and their Divisions are described as follows:

a) Office of the Director. Provides general management and defines the departmental mission in responding to statutory requirements and administration directives. Providing support to the Director are two assistant directors and other staff including Legal Services, Internal Auditing, Governmental Affairs (legislative), Investigations Security, Inter-Agency Coordination (management consulting, analysis and procedural audits), Illinois Information Service (media services) and Public Information.

b) Bureau of Administrative Operations. Provides budget development, financial control, data systems design and office management services for the Department through four Divisions.

Division of Accounting is responsible for all receipts and recording of transactions for the revolving funds administered by the Department. Revolving funds account for products services sold by the Department to other State agencies. These revolving funds are the Communications Revolving Fund, Office Supply Revolving Fund, Paper and Printing Revolving Fund, State Garage Revolving Fund, Statistical Services Revolving Fund and Surplus Property Revolving Fund. The Division is also responsible for control of expenditure of appropriated monies, in General Revenue, Group Insurance Premium, Deferred Insurance and Road Funds.
Budget Division assembles all information regarding financial needs of the Department and prepares it for submission to the Bureau of the Budget. After BOB review, this information is revised as necessary and prepared for submission to the General Assembly for appropriation approval.
Division of Data Systems organizes information in electronic form for use by the Department. This Division assists in designing new automated systems to enhance Department operations.
Division of General Services provides office management functions within the Department including payroll preparation, pool typing, office allocation, in-house mail service and purchasing. This Division also administers the Governor's Travel Control Board rules.

c) Bureau of Benefits. Administers employee benefit plans including insurance, risk management and deferred compensation through three Divisions.

Group Insurance Division administers the health and life insurance programs and the health maintenance organization programs for active and retired State employees.
Risk Management Division administers the State's Worker's Compensation and Occupational Disease program and the General Liability and Auto Liability Plans.
Deferred Compensation Division administers the program whereby employees may defer receipt of a portion of their current income, have it invested, and draw upon that account at a later date.

d) Bureau of Information and Communication Services. Through its three operating Divisions and two functional staff units provides centralized data processing and telecommunication support services to State agencies, boards and commissions.

Information Services Division operates a centralized computer center which provides data processing equipment, software and related services to agencies, boards, and commissions reporting to the Governor. These services may also be provided to other entities of the State.
Communication Services Division provides telecommunications services on a statewide basis, including voice, radio, data, video and facsimile transmission. The Division maintains a professional staff to provide assistance, counsel and coordinate all activities directly or indirectly affecting the telecommunication activities of the State.
Information Resource Management Division provides electronic data processing support services to agencies, boards, and commissions reporting to the Governor. The Division maintains a professional staff to provide assistance, counsel and coordinate all activities directly or indirectly affecting electronic data processing, word processing and office automation activities. The Division operates a Data Processing Training Center and it also supports automated application systems that are used by multiple agencies.
Contract Administrative staff personnel provide the administrative support required to process the multi-agency procurements of equipment, software and services for both data processing and telecommunications.
Administration and Planning staff personnel establish rate structures for data processing and telecommunications services and process the billing data for the Statistical Services and Telecommunication Revolving Funds.

e) Bureau of Personnel. Administers the provisions of the Personnel Code (Ill. Rev. Stat. 1983, ch. 127, par. 63b101, et seq.), collective bargaining agreements, and the Personnel Rules for State employees under the Governor through five Divisions.

The Division of Technical Services develops and validates merit examinations; prepares new and revised position classification standards and specifications; administers the Pay Plan; provides to any requesting local government in Illinois assistance in the administration of its personnel program on merit principles; and administers position classification appeals program for employees.
The Division of Examining and Counseling Services administers the State merit examinations program; provides employment counseling services; maintains employment records; maintains eligible and reemployment listings; and, reviews and certifies that each person named on an agency payroll has been appointed and employed in accordance with the provisions of the Personnel Code and Rules.
The Division of Agency Personnel Services administers the position classification program for all positions under Jurisdiction A (classification and compensation of positions in State services); audits and allocates individual positions upon request or as a part of a study; maintains position and organizational records; reviews and approves personnel transactions; and, provides consultative and advisory services to agency managers and personnel specialists.
The Division of Employee and Labor Relations negotiates and implements collective bargaining agreements; administers grievance resolution procedures under collective bargaining agreements and under the Personnel Rules; represents State as employer before the State Labor Relations Board in bargaining unit determinations, hearings or charges of unfair labor practice and bargaining impasse resolution; conducts training in labor relations.
The Division of Executive Recruitment conducts searches to recruit employees for unique or difficult-to-fill positions, for college-level entrance positions, and for the Governor's Fellowship Program; coordinates the Retired Executives Consulting Program for State agencies; and assists municipalities in Illinois in recruiting employees for positions difficult to fill.

f) Bureau of Property Management. Has responsibilities relating to the acquisition, management and disposal of real property and the marking, inventory, transfer and/or sale of personal property.

The Division of Administration serves as a "support" office to the Bureau of Property Management's Manager's Office. Included in the Division of Administration's functions are voucher control, contract administration, financial management of the Bureau (including all budget-related activities), energy conservation, various facilities management operations and the leasing and/or disposal of the State's surplus real property.
Division of Property Control maintains master listings of transferable records and maintains field personnel for screening properties and assisting agencies in inventory management. The Division operates a warehouse of State surplus personal property which is available to State agencies, municipalities and local governmental units. The State of Illinois Federal Surplus Property Program is also the responsibility of the Division of Property Control. This program allows State and local government agencies as well as eligible not-for-profit organizations to acquire surplus federal property.
Division of Real Estate is responsible for the overall real property leasing function. This encompasses planning, site evaluation and selection, lease negotiations, renewals, dispute resolution and space utilization. In addition the Division is responsible for the management and operation of the facilities under the jurisdiction of the Department of Central Management Services. The facilities which are operationally managed include the regional office buildings located in Springfield, Chicago, Champaign, Rockford, Marion, East St. Louis, Peoria and Elgin. Included in the Springfield area are the State Armory Building and Central Computer Facility; and in Chicago are the Public Health Lab and Office Building, the newly constructed State of Illinois Center and the Chicago Medical Center facilities.
The Division of Security Police is a newly-created division responsible for the securing of two large State office complexes located in Chicago (State of Illinois Center and Medical Center facilities). They perform various law enforcement duties, including but not limited to, crime and fire protection, traffic control, pedestrian protection, and preliminary incident investigations.

g) Bureau of Support Services. Provides centralized services in regard to procurement, printing, warehousing and vehicles for State agencies through three Divisions.

Government Services Division is responsible for several smaller divisions. The Division of Printing establishes printing contracts with outside vendors for all categories of printed material. Reproduction Services operates an in-house print shop that coordinates activity with the Division of Printing. The Office Supply Warehouse maintains stocks of frequently used office items. The Forms Management Division is required to review and approve all forms used by State agencies and maintains a depository of all State forms. The Mail and Messenger Division delivers mail amongst State agencies.
Procurement Services Division is responsible for establishing contracts for or purchasing on a centralized basis goods needed for State operations (excluding electronic data processing and certain telecommunication needs). This Division also administers the Joint Purchase Program by which local governments can utilize State contracts and the Small Business Set-Aside Program which ensures small business receives a fair share of State business.
Division of Vehicles is responsible for maintaining and controlling the use of the State motor vehicle fleet for agencies in the executive branch.

2 Ill. Adm. Code 750.50 Graphic Description

The current organizational sturcture is shown on Appendix A to this Part.

2 Ill. Adm. Code 750.60 Rulemaking Process

The Director or any interested party may propose a rule, amendment to a rule, or the repeal of a rule. Each proposal shall be treated in the following manner.

a) All rule proposals shall be directed to the Bureau Manager in charge of the appropriate program. The Bureau Manager will consult with the Director and other Bureau Managers as necessary to avoid duplication of effort and to determine whether there is a need to consider the proposal.

b) If the proposal is to be pursued, the Bureau Manager will consider the purpose and need for the proposal, alternatives, associated costs, effect of the proposal on others and authority to promulgate the proposal as a rule. In resolving these matters the Bureau Managers shall consult with other Bureau Managers and staff as necessary and shall consult with the Legal Services Unit.

c) The Bureau Manager shall prepare draft language, have it reviewed by Legal Services Unit and submit it to the Director for review and approval with whatever supporting documentation is needed.

d) The Director shall review the report and proposed language, if necessary, and reject the proposal, ask for revisions or cause the proposed rule to be published in the Illinois Register.

e) Preparation of proposed rules for publication in the Illinois Register, submission to the Joint Committee on Administrative Rules and filing of adopted rules with the Secretary of State is the responsibility of the Bureau Manager. Responding to public comment or JCAR comments and testifying at hearing is the responsibility of the Bureau Manager.

f) Rules promulgated to implement the Personnel Code must be presented at a public hearing and then presented to the Civil Service Commission. The public hearings shall be scheduled as part of the first notice period of the Illinois Administrative Procedure Act process. Consideration by the Civil Service Commission shall be after the hearings but before the end of the first notice period. Any substantive change made as a result of JCAR comment shall be submitted to the Civil Service Commission for consideration.

g) Rules of the Governor's Travel Control Board are promulgated by the Department after board approval. Changes made to accommodate public or JCAR comments, that are substantive in nature, may be made if approved by the Board.

h) The Bureau Manager shall inform other Bureau Managers of any rules that might affect their operations.

i) Rules in final form shall be provided to the Legal Services Unit which is the Department's official depository for administrative rules.

2 Ill. Adm. Code 750.70 Rulemaking Flowchart

The chart depicting the process of rulemaking within the Department is shown in Appendix B to this Part.

2 Ill. Adm. Code 750.80 Access to Information

Requests to see or copy departmental information shall be governed by the provisions of 2 Ill. Adm. Code 751.

2 Ill. Adm. Code 750.APPENDIX A Organizational Chart

ILLINOIS DEPARTMENT OF CENTR

2 Ill. Adm. Code 750.APPENDIX B Rulemaking Flowchart

a. General Rules

Proposal ----- Bureau Manager (receipt) ----- Director (approval to proceed) ----- Bureau Manager (research and drafting) ----- Legal Services (language review) ----- Bureau Manager (revisions) ----- Director (approval to proceed) ----- Bureau Manager (adoption administration including Illinois Register publication, JCAR and Civil Service Commission review of Personnel Rules)

b. Governor's Travel Control Board Rules

Proposal ----- Board or Bureau of Administration (receipt) ----- Board (approval to proceed) ----- Bureau of Administration (research and drafting) ----- Legal Services (language review) ----- Bureau of Administration (revisions) ----- Director (approval to proceed) ----- Board (approval to proceed) ----- Bureau of Administration (adoption administration including Illinois Register publication and JCAR)

Chapter III Department of Central Management Services

Part 751 Access to Information

2 Ill. Adm. Code 751.10 Policy

The purpose of these rules is to support the policy of providing public access to the public records in the possession of this Department while, at the same time, protecting legitimate privacy interests and maintaining administrative efficiency.

2 Ill. Adm. Code 751.20 Definitions

a) Terms used in this part shall have the same meaning as in the Freedom of Information Act.

b) "FOIA" means the Freedom of Information Act.

c) "Freedom of Information Officer" means an individual responsible for receiving and responding to requests for public records.

d) "Requestor" means a person who submits a request for public records in accordance with this part.

2 Ill. Adm. Code 751.30 Person to Whom Requests Are Submitted

Requests for public records shall be submitted to the Freedom of Information Officer of this Department. Requests shall be submitted to the following address:

Freedom of Information Officer

Department of Central Management Services

715 Stratton Office Building

Springfield, Illinois 62706

Attention: FOIA Request

2 Ill. Adm. Code 751.40 Form and Content of Requests

a) Requests in accordance with the FOIA and this Part shall be made in writing. FOIA request forms are available from the Department.

b) Oral requests will be handled expeditiously. However, the required response times and the appeal procedures contained in the FOIA and these rules do not apply to oral requests.

c) The requestor shall provide the following information in a request for public records:

The requestor's full name, address and phone number.
A brief description of the public records sought, being as specific as possible.
Whether the request is for inspection of public records, copies of public records, of both.

2 Ill. Adm. Code 751.50 Time Limit for Department Response

a) The Department shall respond to a written request for public records within 7 working days after the receipt of such request.

b) The Department may require an extension of time to respond which does not exceed an additional 7 working days. Such an extension is allowable only if written notice is provided within the original 7 working day time limit and only for the reasons provided in Section 3(d) of the FOIA. Such notice of extension shall state the reasons why the extension is necessary.

2 Ill. Adm. Code 751.60 Types of Department Responses

a) The Department shall respond to a request for public records in one of three ways:

Approve the request.
Approve in part and deny in part.
Deny the request.

b) Upon approval of a request for public records, the Department shall either provide the materials, give notice that the materials shall be made available upon payment of reproduction costs or give notice of the time and place for inspection of records.

d) Categorical requests creating an undue burden upon the Department shall be denied only after extending to the requestor an opportunity to confer in an attempt to reduce the request to manageable proportions in accordance with Section 3(f) of the FOIA.

e) Failure to respond to a written request within 7 working days may be considered by the requestor a denial of the request.

2 Ill. Adm. Code 751.70 Appeal of Denial

a) A requestor whose request has been denied by the Freedom of Information Officer may appeal the denial to the Director of the Department. The notice of appeal shall be made in writing and sent to:

Director

Department of Central Management Services

715 Stratton Building

Springfield, Illinois 62706

Attention: FOIA Appeal

b) The notice of appeal shall include a copy of the original request, a copy of the denial received by the requestor, and a statement of the reasons why the appeal should be granted.

2 Ill. Adm. Code 751.80 Director's Response to Appeal

The Director shall respond to an appeal within 7 working days after receiving notice thereof. The Director shall either affirm the denial or provide access to the requested public records. Failure to respond within 7 working days may be considered by the requestor an affirmation of the denial.

2 Ill. Adm. Code 751.90 Inspection of Records at Department Offices

a) Public records will be made available for inspection during normal working hours of the Department at the office of the Freedom of Information Officer.

b) Documents which the requestor wishes to have copied shall be segregated during the course of the inspection. All copying shall be done by Department employees unless otherwise required or allowed by the Department.

c) Inspection of records shall take place at the office of the Freedom of Information Officer unless other arrangements are agreed to by the Department.

d) An employee of the Department may be present throughout the inspection. A requestor may be prohibited from bringing bags, brief cases or other containers into the inspection room.

2 Ill. Adm. Code 751.100 Copies of Public Records

a) Copies of public records shall be provided to the requestor only upon payment of any charges which are due.

b) Fees

Charge for copies of public records shall be assessed in accordance with the following fee schedule for duplication of public records:

Type of Duplication

Per Copy Charge

Paper copy

standard size 8½" x 11" and

legal size 8½" x 14"

$.25 per copy (reduced to $.15 per copy if the request is in the public interest in accordance with Section 751.100(c)(2))

Electronic Copy

Assessed based upon the actual cost of reproduction

Some records possessed by the Department are in book or pamphlet form. A charge may be assessed for those materials based upon the cost incurred by the Department for those materials.

c) Waived or Reduced Charges

Charges shall be waived if the requestor is a State agency, a constitutional officer, or a member of the General Assembly, or if the response is fewer than 10 pages in its original format.
Charges shall be reduced if:

A) the requestor states the specific purpose for the request; and

B) the requestor indicates that a reduction of the fees is in the public interest. A reduction of fees is in the public interest if the principal purpose of the request is to access and disseminate information regarding the health, safety and welfare or the legal rights of the general public and is not for the principal purpose of personal or commercial benefit [5 ILCS 140/6(b)].

History

Source: Amended at 32 Ill. Reg. 8911, effective June 6, 2008

2 Ill. Adm. Code 751.110 General Materials Available from the Freedom of Information Officer

The Freedom of Information Officer shall make available to the public at no charge the following materials:

a) A brief description of the organizational structure and budget of the Department;

b) A brief description of the means for requesting information and public records; and

c) A list of types and categories of public records maintained by the Department.

Chapter IV Department of Children and Family Services

Part 775 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 775.10 Purpose

The public's right to know is the fundamental rationale behind opening government records and data to public access and inspection. This Subpart describes the Department's policies related to providing information to the public consistent with protecting the privacy and confidentiality rights of individuals and the ability of the Department to carry out its responsibilities.

2 Ill. Adm. Code 775.20 Definitions

"Adoptive Home" means a home in which the parents have legally adopted the child.

"Confidential" means certain records which are exempt from disclosure. These records are defined under Part 431 (89 Ill. Adm. Code 431), Confidentiality of Personal Information of Persons Served by the Department.

"Copying" means the reproduction of any public record by means of any photographic, electronic, mechanical or other process, device or means.

"Freedom of Information Officer" or "FOIA Officer" means that person designated by the Director of the Department of Children and Family Services to receive all requests for information made under the terms of the Freedom of Information Act.

"Guardianship Administrator" means that person designated by the Director of the Department of Children and Family Services to serve as guardian or custodian of children accepted by the Department pursuant to the Juvenile Court Act, "An Act creating the Department of Children and Family Services," the Abused and Neglected Child Reporting Act, and "An Act in relation to the adoption of persons" (Ill. Rev. Stat. 1981, ch. 40, pars. 1501 et seq.).

"Person" means any individual, corporation, partnership, firm, organization or association, acting individually or as a group.

"Pre-Decisional Information" means records, data, items of correspondence, reports and information prepared for use before an administrative or policy decision is made which is directly relevant to that decision. Pre-decisional information does not include budget information or performance information gathered on a routine basis to monitor the Department's activities and expenditures.

"Public records" means all records, reports, forms, writings, letters, memoranda, books, papers, maps, photographs, microfilms, cards, tapes, recordings, electronic data processing records, recorded information and all other documentary materials, regardless of physical form or characteristics, having been prepared, or having been or being used, received, possessed or under the control of any public body.

History

Source: Amended at 8 Ill. Reg. 17275, effective September 21, 1984

2 Ill. Adm. Code 775.30 Inquiries to Obtain Information

a) Initial written or oral inquiries for information from a member of the general public should be directed to the Department administrator responsible for community relations. The Department's legislative liaison will provide information to the members and staff of the Illinois General Assembly.

b) The Department will require a written information request when it determines that:

voluminous materials are being sought or these materials cannot be easily identified, assembled, reproduced and prepared for public disclosure; or
materials are being sought which may be confidential or exempt under Department rules and where denial of the request or partial disclosure may be needed; or
the request is being made specifically under the terms of the Freedom of Information Act; or
further information to clarify the request is needed.

History

Source: Amended at 8 Ill. Reg. 17275, effective September 21, 1984

2 Ill. Adm. Code 775.40 Disclosure of Information

a) Records and Information. All records and information shall be considered public information unless specific legal or statutory authority can be cited to maintain its confidentiality or unless it falls within a category which is exempt from disclosure as defined in this Part or other applicable Department rules. Administrative inconvenience is not grounds for non-disclosure of information.

b) Materials to be displayed. The Department shall prominently display and keep available for public inspection the following materials, at its eight regional offices and its central administrative office:

A brief description of the Department, including services offered, mission statement, organization charts, number and location of all its offices, total of its current operating budget, approximate number of full and part-time employees, and a complete list of advisory groups and their members.
Instructions on how interested persons may obtain information from the Freedom of Information Officer, including a schedule of fees.
Complete sets of Department rules and procedures.
A reasonably current list of other types of public records and informational materials which are maintained within the Department.

History

Source: Amended at 8 Ill. Reg. 17275, effective September 21, 1984

2 Ill. Adm. Code 775.50 Partial Disclosure of Information

Exempted or confidential information shall be separated out or deleted from records where possible so that other disclosable information can be released upon public request.

2 Ill. Adm. Code 775.60 Confidential Information

Confidential records are limited to:

a) client case or clinical records of the Department, other public agencies, and those private providers used by the Department;

b) medical records;

c) personnel records. However, a listing of the employee identifier, sex, race, date of appointment, grade, job title, and salary of Department employees is disclosable;

d) all investigation, evaluation and review records where there is a person named as a subject of the inquiry, except that these records shall be provided to the subject of the inquiry when required by law;

e) lists of adoptive homes;

f) pre-decisional Department memoranda, correspondence, and documents;

g) State Central Register records and records resulting from them; except when specifically disclosable as stated in the Abused and Neglected Child Reporting Act.

h) other information specifically exempt under law or rule.

2 Ill. Adm. Code 775.70 Lists of Licensed Child Care Providers

a) Lists of licensed child welfare agencies, licensed child care institutions, licensed group homes, licensed foster family homes, licensed day care agencies, licensed day care centers and licensed day care homes are disclosable. These lists shall contain the provider's name, address, and the type of child care facility.

b) Foster family homes and day care homes shall be excluded from these lists upon their request on the license application.

c) A written notice shall also be provided advising the requester that certain uses of these lists may constitute an invasion of the privacy rights of persons on the lists.

History

Source: Amended at 8 Ill. Reg. 17275, effective September 21, 1984

2 Ill. Adm. Code 775.80 Time Period for Disclosure of Information

a) The Department shall promptly provide, to any person who submits a written request to the Freedom of Information Officer, a copy of information requested (subject to any fees; see Section 775.110) within 7 working days after receipt of the request, or deny the request as described in Section 775.90. Failure to respond within the 7-day limit shall constitute denial of the request. An extension of 7 additional working days may be secured, if written notification is sent to the person requesting the information, for any of the following reasons:

The information requested is located at one or more places other than the office having charge of the requested records;
The amount of materials requested, or the scope of the materials, is so large that an inordinate amount of time is required to collect them;
Because of the age of the materials requested, or for other good reason, initial efforts to locate them have not been successful;
The materials requested need to be examined by appropriate staff to determine if they are exempt by law from disclosure in whole or in part;
Compliance with the request within 7 working days would place an undue burden on the operations of the office receiving the request, whether due to the nature of the request or to the total volume of pending requests in the office at the time;
Another public body or persons outside the Department have a substantial interest in the materials requested and need to be consulted before the Department can respond to the request.

b) Written notification of the need for an additional 7 working days shall be sent to the person making the written request within the first 7 days after receipt of the request, and will include the reasons for the extension of time. Failure to respond to the request, either within the first 7-day period or the second, if notice of need for an extension of time has been duly tendered, shall constitute a denial of the request.

History

Source: Amended at 8 Ill. Reg. 17275, effective September 21, 1984

2 Ill. Adm. Code 775.90 Denial of Request for Information

a) When a request for information must be denied, the FOIA Officer shall notify the person who made the request of the denial, including the reason(s) for denial, the name(s) and title(s) of any persons responsible for the decision to deny the request, and the right of appeal and the procedures by which to appeal the denial. Notification of denial shall be written and shall include any legal references used as justification and shall demonstrate that due consideration was given to the spirit of the Freedom of Information Act.

b) Repeated requests for the same public records by the same person shall be deemed unduly burdensome and shall be rejected.

c) Copies of all denials made under terms of the Freedom of Information Act shall be retained in the office of the FOIA Officer, organized both by the type of exemption claimed and, as far as possible, by the type of materials requested. The file of denied requests shall be open to inspection by the public.

History

Source: Former Section 775.90 renumbered to Section 775.100, new Section 775.90 adopted at 8 Ill. Reg. 17275, effective September 21, 1984

2 Ill. Adm. Code 775.100 Appeal of Denial of Request

a) Any person denied access to records and other information maintained by the Department may appeal the denial in writing to the Director of the Department. Upon receipt of the written appeal, the Director or designee shall review the material in question and determine whether access was denied justifiably under law. The person making the appeal shall be notified of such determination in writing, including reasons for the denial, within 7 working days of receipt of the written appeal.

b) If the Director of the Department upholds the decision to deny access to the materials requested, or if the Director fails to respond to the written notice of appeal within the specified period, the person making the appeal will be considered to have exhausted his or her administrative remedies in the matter and may file suit for relief in the circuit court of Sangamon County, where the Department maintains its principal administrative offices, or in the county of residence of the person making the original request.

History

Source: Former Section 775.100 renumbered to Section 775.110, new Section 775.100 renumbered from former Section 775.90 and amended at 8 Ill. Reg. 17275, effective September 21, 1984

2 Ill. Adm. Code 775.110 Reasonable Fees for Records

a) The Department will charge the following fees to defray actual cost of copying materials:

Original Documents

8½ X 11, one side

10¢ per copy

8½ X 14, one side

10¢ per copy

8½ X 11, two sides

20¢ per copy

8½ X 14, two sides

20¢ per copy

oversize or undersize

20¢ per copy

materials which will

not fit document handler

non-print materials

These materials will be copied

(audio tapes, video-

by commercial firms, since the

tapes, film, etc.)

Department has no equipment

for copying them. Charges will

be paid directly to the firms by

persons requesting copies and

will vary according to the length

and type of materials copied.

special binders or

Actual cost.

dividers when required

Computer Printouts

standard printouts

$4.10 per hundred pages

computer labels

$4.10 per thousand

b) When, in the judgment of the Freedom of Information Officer, supplying the materials requested is substantially in the public interest, the materials shall be furnished without charge or for a reduced fee.

c) The Department may utilize the services of a commercial firm to copy materials requested. The person making the request shall be responsible for paying the commercial firm.

History

Source: Former Section 775.110 renumbered to Section 775.120, new Section 775.110 renumbered from former Section 775.100 and amended at 8 Ill. Reg. 17275, effective September 21, 1984

2 Ill. Adm. Code 775.120 Meetings

a) Open meetings. All regular meetings of formally constituted councils, committees or other such deliberative or advisory bodies convened by the Department, except as specified in subsection (b), and supported by public monies shall be open to attendance by the general public. Instructions will be made available on how the public may participate in open meetings.

b) Closed meetings. Meetings to consider personnel matters or which are closed by Federal or State law are not open to the public.

c) Official Department Representatives. The Director of the Department shall appoint official Department representatives to attend open meetings at which the Department shall or may, at the Director's discretion, be represented. Only official Department representatives may speak in behalf of the Department at such meetings where members of the public may seek information related to the Department. However, nothing in this Section shall be interpreted to prohibit the attendance or participation of any Department staff at any open meeting whether or not that staff member has been designated as a Department representative. All Department employees may state their own views concerning Department policies and activities. In addition, nothing in this part shall be interpreted to prohibit a Department employee from attending any meeting covered by the Open Meetings Act.

History

Source: Former Section 775.120 renumbered to Section 775.130, new Section 775.120 renumbered from former Section 775.110 at 8 Ill. Reg. 17275, effective September 21, 1984

2 Ill. Adm. Code 775.130 Release of Information to the Media

a) Department news releases dealing with Department policies, investigations, audits, evaluations, or reviews shall be approved by the Director or his designee.

b) The production of documentary television programs or films, as contrasted with short news segments, which involve Department clients or children for whom the Department is legally responsible and which portray the mission and activities of the Department may only be authorized by the Director. Parental or caretaker approval is required for children for whom the Department is not legally responsible for participation in such programs or films if the programs and films are produced, financed, or authorized by the Department.

c) The Guardianship Administrator, or his designee, shall be consulted and written approval obtained whenever children for whom the Department is legally responsible are to be featured in any audio-visual presentation directed toward the public. This includes photographs, radio and television programs, or recordings. Before such material is published, the Guardianship Administrator, or his designee, shall sign a release form specifying the allowable use of such production or products. Such permission shall be subject to the following conditions:

Participation on the part of the child has been voluntary;
No photograph shall appear in any publication with faces masked to prevent identification;
All material shall be directed toward increasing the public's understanding of conditions, needs or interests of the participating children; and
Photographs taken for use in nationally circulated publications, including pictures for scientific, educational, or other special purposes, shall first be approved by the Director or his designee.

d) All Department administrators shall take precautions to preserve the confidentiality of each client's relationship with the Department or its providers and to guard against exploitation or embarrassment to Department clients.

History

Source: New Section 775.130 renumbered from Section 775.120 and amended at 8 Ill. Reg. 17275, effective September 21, 1984

2 Ill. Adm. Code 775.210 Purpose

The purpose of this Subpart is to comply with the Illinois Administrative Procedure Act requirement that each agency adopt and maintain a rule relating to the agency's rulemaking procedures.

2 Ill. Adm. Code 775.220 Definitions

"Administrative Procedure Act" is a law enacted by the Illinois General Assembly which makes provisions for all Illinois agencies of the executive, judicial, and legislative branches of state government to file all official rules with the Illinois Secretary of State.

"Clearinghouse" means that unit in the Department which makes sure that typewritten and printed information has received proper Department clearances before their release.

"Rule" means the written policy of the Department of Children and Family Services which has been approved by the Director of the Department and filed with the Secretary of State in accordance with the Administrative Procedure Act. Rules are policy statements which:

affect the rights of entitlements extended to the public served by the Department; or

affect the distribution of resources to children and their families served by the Department; or

affect rights and procedures available to persons outside the Department.

2 Ill. Adm. Code 775.230 Content of Rules

Department rules shall not expand the scope of any statute. They shall:

a) be based on sound programmatic rationale; and

b) provide services and treatment equally and without discriminatory impact; and

c) assure procedural fairness.

2 Ill. Adm. Code 775.240 Preparation of Rules

All rules of the Department shall be prepared in draft and final form by the Policy and Plans Division.

2 Ill. Adm. Code 775.250 External Review and Dissemination

a) The Policy and Plans Division shall be responsible for forwarding proposed rules to the Illinois Secretary of State in accordance with the Illinois Administrative Procedure Act and the Secretary of State's Rulemaking Procedures for Codified Rules (1 Ill. Adm. Code 100) for all actions required. In addition, the Policy and Plans Division shall be responsible for reviewing and incorporating any comments received during the public comment period upon approval by the Director of the Department.

b) The Department's Clearinghouse will coordinate the external dissemination of proposed rules filed with the Secretary of State and adopted rules of the Department.

2 Ill. Adm. Code 775.310 Purpose

This Subpart details the organizational structure of the Department of Children and Family Services and includes an appendix of Department organizational charts.

History

Source: Amended at 6 Ill. Reg. 14249, effective October 27, 1982

2 Ill. Adm. Code 775.320 Central Office Organization

The Department of Children and Family Services is administered by a Director appointed by the Governor and confirmed by the Illinois Senate. The agency is divided into five primary divisions, each headed by a Deputy Director who reports directly to the Director. These divisions are Program Operations, Management and Budget, Policy and Plans, Youth and Community Services and Child Protection. Other units whose chiefs report to the Director are Internal Audits, Legal Services, the Legislative Liaison, the Office of Communications and Community Relations and the Office of Personnel and Labor Relations.

History

Source: Amended at 6 Ill. Reg. 14249, effective October 27, 1982

2 Ill. Adm. Code 775.330 Field Office Organization

Direct client services are provided through the Division of Program Operations. The state is divided into eight regions for this purpose, with each administering a number of field offices.

History

Source: Amended at 6 Ill. Reg. 14249, effective October 27, 1982

2 Ill. Adm. Code 775.APPENDIX A Organization Charts

Section 775.TABLE A General Organization

History

Source: Amended at 6 Ill. Reg. 14249, effective October 27, 1982

2 Ill. Adm. Code 775.APPENDIX A Organization Charts

Section 775.TABLE B Division of Management and Budget

History

Source: Amended at 6 Ill. Reg. 14249, effective October 27, 1982

2 Ill. Adm. Code 775.APPENDIX A Organization Charts

Section 775.TABLE C Division of Program Operations

History

Source: Amended at 6 Ill. Reg. 14249, effective October 27, 1982

2 Ill. Adm. Code 775.APPENDIX A Organization Charts

Section 775.TABLE D Division of Policy and Plans

History

Source: Amended at 6 Ill. Reg. 14249, effective October 27, 1982

2 Ill. Adm. Code 775.APPENDIX A Organization Charts

Section 775.TABLE E Division of Youth and Community Services

2 Ill. Adm. Code 775.APPENDIX A Organization Charts

Section 775.TABLE F Division of Child Protection

History

Source: Amended at 6 Ill. Reg. 14249, effective October 27, 1982

Chapter V Department of Commerce and Economic Opportunity

Part 800 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 800.100 Public Information

a) Any person seeking information on programs administered by or wishing to make a request of the Department of Commerce and Community Affairs (department) may do so by contacting the department in writing at 620 East Adams, Springfield, Illinois 62701 or verbally at (217) 782-7500. Inquiries and requests will be forwarded to the appropriate departmental division(s)/office(s) for response.

b) Procedures for requesting access to public records are specified in the department rules entitled "Access to Information of Department of Commerce and Community Affairs" (2 Ill. Adm. Code 801).

c) The tourism hotline number is 1-800-252-8987.

d) The energy assistance hotline number is 1-800-252-8643.

e) The business hotline number is 1-800-252-2923.

2 Ill. Adm. Code 800.200 Rulemaking Procedures

a) Initiation of new or amended rules or the repeal of existing rules will begin at the direction of the Director, or when required by state statute or court decision.

b) The public and advisory organizations may propose the development, amendment, or repeal of a rule by writing to the Director, Department of Commerce and Community Affairs, 620 East Adams, Springfield, Illinois 62701. The written statement should cite the specific rules to be amended or repealed or should state proposed language for a new rule. Reasons for the proposals shall be included.

c) The Director shall file emergency and peremptory rules as required.

d) All rulemaking activities will be conducted in accordance with the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, pars. 1001-1 et seq.).

2 Ill. Adm. Code 800.300 Description of Organization Structure

a) Director serves as head of the Department and is appointed to this office by the Governor of the State of Illinois, by and with the advice and consent of the Senate.

b) Assistant Director serves as assistant to the Director under the direction, control, and supervision of the Director and is appointed to this office by the Governor of the State of Illinois, by and with the advice and consent of the Senate.

c) Audits is responsible for performing all internal audits of the department and its activities and coordinating internal audits of the department's State and Federal grants.

d) Executive Assistant to the Director serves as the department's chief of staff providing direction and coordination for personnel services, strategic planning, legal services, and all grant funding decisions through oversight of the Financial Commitment Committee.

e) Personnel handles all hiring, promotions, discharges and disciplinary activities, and all other personnel activities. Additionally, Personnel represents the department in labor negotiations.

f) Planning and Support coordinates and develops the department's long term planning process and is responsible for the department's training and conference activities.

g) Small Business Growth Corporation provides low interest, long term loans to small business to help finance expansion that will create new jobs for the State.

h) Legal is responsible for handling all legal affairs of the department.

i) Legislative Affairs serves as the department's legislative liaison.

j) Communications provides public information and coordinates relations with the media. Additionally, Communications coordinates the department's economic research activities.

k) Advertising is responsible for the advertisement and promotion of Illinois and all its attractions.

l) Marketing encourages and promotes the economic development of Illinois through activities conducted by its Springfield and Chicago divisions.

m) Films assists in the development of Illinois into a major motion picture and television production center.

n) Tourism promotes Illinois attractions and special events to increase tourism revenue in the State.

o) International Business promotes Illinois to businesses abroad and encourages firms to locate and expand business in Illinois.

p) Program Administration is responsible for coordinating a variety of assistance programs to businesses, industries, and local governments and administers programs which provide job training and other support services to unemployed and low-income people.

q) Business Finance and Program Development develops new programs to assist small business and coordinate a wide array of financial assistance programs for Illinois firms.

r) Grants Administration coordinates the establishment of grants for the administration of Federally funded programs and monitors the financial management of those grants.

s) Job Training System administers State and Federal training programs to foster Illinois economic development through a trained, skilled workforce.

t) Economic Opportunity administers program which assist low income individuals with paying their utility bills, weatherizing their homes, and helping them become independent and self-sufficient individuals.

u) Operations coordinates the department's support functions including accounting, budgeting, management information, and management services.

v) Management Services oversees the department's library, printing services and automobile use.

w) Administrative Services manages the department's accounting system and budgeting.

x) Management Information System develops and coordinates the department's automated data processing capabilities.

2 Ill. Adm. Code 800.310 Office Locations

The department maintains offices at the following locations:

a) 620 East Adams Street, Springfield, Illinois 62701,

b) 310 South Michigan Avenue, Chicago, Illinois 60604,

c) 2209 West Main Street, Marion, Illinois 62959,

d) 10 Collinsville Avenue, Room 305, East St. Louis, Illinois 62201,

e) Talcott Building, Suite 908, 321 West State Street, Rockford, Illinois 61101,

f) 2500 Carlyle Road, Belleville, Illinois 62221,

g) State of Illinois, Hall of States, 444 North Capitol, Washington, D.C. 20001,

h) State of Illinois, Far East Bureau, Sincere Building, Suite 1304, 173 Des Voeux Road, Central Hong Kong,

i) Illinois Bureau de Services Ltda., Cx. Postal 7801, 01000 Sao Paulo S.P., Brazil,

j) State of Illinois, European Office, 5 Place du Champs de Mars, Boite 14, 1050 Brussels, Belgium, and

k) Illinois Office in Japan, Ohara No. 3 Building 24, 3-Chome, Honmachi Higashi-Ku, Osaka 541, Japan.

2 Ill. Adm. Code 800.APPENDIX A Organization Chart

Part 801 Access to Information of Department of Commerce and Community Affairs

2 Ill. Adm. Code 801.101 Summary and Purpose

a) These rules are established to implement the provisions of the Freedom of Information Act (P.A. 83-1013, effective July 1, 1984, Supp. to Ill. Rev. Stat. 1983, ch. 116, par. 201 et. seq.). The purpose of these rules is to promote the policy of providing public access to the public records in the possession and control of the Department of Commerce and Community Affairs while, at the same time, protecting legitimate privacy interests and maintaining administrative efficiency.

b) These rules create a procedure by which the public may request and obtain public records. Therefore, they are being filed in accordance with Section 4.01 of the Illinois Administrative Procedures Act (Ill. Rev. Stat. 1983, ch. 127, par. 1004.01).

2 Ill. Adm. Code 801.102 Definitions

a) Terms used in these rules shall have the same meaning as in the Freedom of Information Act.

b) "FOIA" means the Freedom of Information Act.

c) "Freedom of Information Officer" means an individual responsible for receiving and responding to requests for public records.

d) "Requestor" means a person who submits a request for public records in accordance with these rules.

e) "Department" means the Illinois Department of Commerce and Community Affairs.

2 Ill. Adm. Code 801.201 Person to Whom Requests Are Submitted

Requests for public records shall be submitted to the Freedom of Information Officer of the Department of Commerce and Community Affairs. Requests shall be submitted to the following address:

Freedom of Information Officer

Communications Manager

Illinois Department of Commerce and Community Affairs

620 East Adams Street

Springfield, Illinois 62701

History

Source: Amended at 10 Ill. Reg. 20494, effective December 2, 1986

2 Ill. Adm. Code 801.202 Form and Content of Requests

a) Requests in accordance with the FOIA and these rules shall be made in writing. Such requests may be submitted on FOIA requests forms provided by the Department of Commerce and Community Affairs.

b) Oral requests will be handled expeditiously. However, the required response times and the appeal procedures contained in the FOIA and these rules do not apply to oral requests.

c) The requestor shall provide the following information in a request for public records:

The requestor's full name, address, and phone number.
A brief description of the public records sought, being as specific as possible.
Whether the request is for inspection of public records, copies of public records, or both.

2 Ill. Adm. Code 801.301 Timeline for Department Response

a) The Department shall respond to a written request for public records within 7 working days after the receipt of such request.

b) The Department may give notice of extension of time to respond which does not exceed an additional 7 working days. Such an extension is allowable only if written notice is provided within the original 7 working day time limit and only for the reasons provided in Section 3(d) of the FOIA. Such notice of extension shall state the reasons why the extension is necessary.

2 Ill. Adm. Code 801.302 Types of Department Responses

a) The Department shall respond to a request for public records in one of three ways:

Approve the request.
Approve in part and deny in part.
Deny the request.

b) Upon approval of a request for public records, the Department may either provide the materials immediately, give notice that the materials shall be made available upon payment of reproduction costs or give notice of the time and place for inspection of records.

e) Failure to respond to a written request within 7 working days may be considered by the requestor a denial of the request.

2 Ill. Adm. Code 801.401 Appeal of a Denial

a) A requestor whose request has been denied by the Freedom of Information Officer may appeal the denial to the Director of the Department. The notice of appeal shall be made in writing and sent to:

Director

Illinois Department of Commerce and Community Affairs

620 East Adams Street

Springfield, Illinois 62701

ATTN: FOIA Appeal

b) The notice of appeal shall include a copy of the original request, a copy of the denial received by the requestor, and a statement of the reasons why the appeal should be granted.

History

Source: Amended at 10 Ill. Reg. 20494, effective December 2, 1986

2 Ill. Adm. Code 801.402 Director's Response to Appeal

2 Ill. Adm. Code 801.501 Inspection of Records at Department Offices

a) Generally, public records will be made available for inspection during normal working hours of the Department at the office of the Freedom of Information Officer.

b) Documents which the requestor wishes to have copied shall be segregated during the course of the inspection. Generally, all copying shall be done by Department employees.

c) Unless otherwise arranged, the inspection of records shall take place at the office of the Freedom of Information Officer. For purposes of convenience, either the Department or the requestor may request that inspection take place in another Department office location.

d) An employee of the Department may be present throughout the inspection. A requestor may be prohibited from bringing bags, brief cases, or other containers into the inspection room.

2 Ill. Adm. Code 801.502 Copies of Public Records

a) Copies of public records shall be provided to the requestor only upon payment of any charges which are due.

b) Charges for copies of public records shall be assessed in accordance with the "Fee Schedule for Duplication of Public Records". A copy of the fee schedule is available at the reception desk at the Department's Chicago and Springfield offices.

c) Charges shall be waived if the requestor is a state agency, a constitutional officer, or a member of the General Assembly. Charges may be waived in any other case where the Freedom of Information Officer determines that the waiver serves the public interest.

2 Ill. Adm. Code 801.503 General Materials Available from the Freedom of Information Officer

The Freedom of Information Officer shall make available to the public at no charge the following materials:

a) A brief description of the organizational structure and budget of the Department;

b) A brief description of the means for requesting information and public records; and

c) A list of types and categories of public records maintained by the Department.

Chapter VI Department of Natural Resources

Part 825 Rulemaking and Organization

2 Ill. Adm. Code 825.5 Public Information and Records

Information concerning request for public information can be found in 17 Ill. Adm. Code 826.

History

Source: Amended at 11 Ill. Reg. 19079, effective November 5, 1987

2 Ill. Adm. Code 825.10 Record Search (repealed)

History

Source: Repealed at 11 Ill. Reg. 19079, effective November 5, 1987

2 Ill. Adm. Code 825.20 Appeal (repealed)

History

Source: Repealed at 11 Ill. Reg. 19079, effective November 5, 1987

2 Ill. Adm. Code 825.30 Fees (repealed)

History

Source: Repealed at 11 Ill. Reg. 19079, effective November 5, 1987

2 Ill. Adm. Code 825.110 Rulemaking

Rules are promulgated by the Department in accordance with the Illinois Administrative Procedure Act [5 ILCS 100]. Department staff may recommend rulemaking pursuant to the Department's Intra-Agency Policy Chapter 1, Section 1-2. The general public may recommend rulemaking pursuant to the procedures in this Part.

History

Source: Amended at 24 Ill. Reg. 2361, effective January 25, 2000

2 Ill. Adm. Code 825.120 Rules Recommended by Member of Public

a) Rules may be recommended by members of the public.

b) Two copies of each rule proposed for adoption, amendment or repeal shall be filed with the Department at the following address: 524 S. Second Street, Room 400, Attention: Administrative Rules Coordinator. Each proposal shall include:

The text of the proposed regulation or amendment; and
A statement of the reasons supporting the proposal, including a short and plain statement of facts known to the proponent which support the proposal, and a short and plain statement of the purpose and effect of the proposal. Where the proposal covers more than one substantive point, the supporting statement shall include such statements in support of each point.

c) The Department will review the proposal and determine whether to take appropriate rulemaking action.

d) The proponent will be advised in writing by the Department whether the proposal is accepted or denied and will be provided with the reasons for the determination.

e) In making a determination, the Department will take into consideration such factors as the proposal's compliance with the statutory authority and legislative intent upon which it is based, whether the proposal meets the definition of a rule pursuant to Section 1-70 of the Illinois Administrative Procedure Act, if the proposal is enforceable, and if the proposal is consistent with the responsibilities of the Department to conserve, preserve and enhance Illinois resources and to meet the needs of outdoor recreation.

History

Source: Amended at 24 Ill. Reg. 2361, effective January 25, 2000

2 Ill. Adm. Code 825.130 Request for a Public Hearing

a) Public Hearings shall be held to obtain public comment on proposed rules when required by criteria set forth in Section 5-40 of the Illinois Administrative Procedure Act. If a hearing is not required and a member of the public requests a hearing, the Director will determine whether to authorize a hearing. If the Department does not provide a public hearing, it shall notify the rule proponent of its decision and the reasons for denying the request.

b) If the Department authorizes a hearing, the Director shall designate a Hearing Officer, and shall notify the proponent of such designation.

History

Source: Amended at 24 Ill. Reg. 2361, effective January 25, 2000

2 Ill. Adm. Code 825.140 Notice of Hearing

The Hearing Officer shall set a time and place for hearing and shall give notice as follows, at least 20 days prior to the date of the hearing;

a) to the proponent, by mail;

b) to members of the general public, by means of a general news release and notice in the Illinois Register.

History

Source: Amended at 11 Ill. Reg. 19079, effective November 5, 1987

2 Ill. Adm. Code 825.150 Hearing Officer

The Hearing Officer shall have the duty to conduct a fair hearing, to take all necessary action to avoid delay, to maintain order, and to ensure development of a clear and complete record. He shall have all powers necessary to these ends including, but not limited to, the power to:

a) Require prior submission of expert testimony and exhibits in writing;

b) require all parties to state their position with respect to the proposal;

c) examine witnesses;

d) regulate the course and conduct of the hearing;

e) limit the number of times any witness may testify, limit repetitious or cumulative testimony, and establish reasonable limits on the amount of time each witness may testify;

History

Source: Amended at 11 Ill. Reg. 19079, effective November 5, 1987

2 Ill. Adm. Code 825.160 Written Comments

Any person may make a written comment on any proposal by filing it with the Department at the address referred to in Section 825.120.

History

Source: Amended at 11 Ill. Reg. 19079, effective November 5, 1987

2 Ill. Adm. Code 825.170 Record

a) A transcript of the hearing and all written testimony, all exhibits offered in connection with the hearing, and all written comments filed with the Department and before or after the close of hearings shall constitute the record. The Hearing Officer shall certify the record to the Department when it is complete.

b) The record will remain open for as long as is announced by the Department in the original publication of the Illinois Register or as announced by the Hearing Officer.

History

Source: Amended at 11 Ill. Reg. 19079, effective November 5, 1987

2 Ill. Adm. Code 825.180 Promulgation of Rulemaking Pursuant to Public Hearing

The Department may take appropriate action to adopt, amend, or repeal a rule in response to information obtained at the hearing and based on an examination of the subject matter or information gained at the hearing, the relative credibility of witnesses, expert qualifications or special knowledge possessed by parties offering testimony, and the relative amount of harm caused or benefits obtained by the Department's revision of a proposed rule.

History

Source: Amended at 11 Ill. Reg. 19079, effective November 5, 1987

2 Ill. Adm. Code 825.190 Filing and Publication of Adopted Rules

a) The Department shall file in the Office of the Secretary of State and in the Department's principal office a copy of each rule or repeal of any rule adopted by the Department.

b) The agency shall publish all rules in the Illinois Register. Copies of adopted rules will be sent to the Sheriff of every county in the State and will be available at all offices of the Department.

c) Certified copies of rules adopted by the Department may be obtained by contacting the Administrative Rules Coordinator; 524 S. Second Street, Room 400, Springfield, IL 62701.

History

Source: Amended at 24 Ill. Reg. 2361, effective January 25, 2000

2 Ill. Adm. Code 825.210 Organization Location

The principal offices of the Department of Conservation are located at 524 South Second Street, Springfield, Illinois 62701 and 100 W. Randolph, Chicago, Illinois 60601. There are five regional offices located throughout the state. At each regional office and in Springfield there are wildlife and fisheries biologists, foresters, land managers, and law enforcement officers who can assist the public with any specific conservation-related matter. Regional offices for the department are as follows:

Region I

2612 Locust Street

Sterling, IL 61081

Phone: (815)625-2968

Region II

110 James Road

Spring Grove, IL 60081

Phone: (815)675-2385

Region III

2005 Round Barn Road

Champaign, IL 61821

Phone: (217)333-5773

Region IV

4521 Alton Commerce Parkway

Alton, IL 62002

Phone: (618)462-1181

Region V

11731 State Highway 37

Benton, IL 62812

Phone: (618)435-8138

History

Source: Amended at 24 Ill. Reg. 2361, effective January 25, 2000

2 Ill. Adm. Code 825.220 Organization Structure

The Department is comprised of the Office of the Director, the Office of the Deputy Director and the Office of the Assistant Director, with various offices and divisions reporting to each. The responsibilities of the organizational structure are as follows:

a) Office of the Director

The Director supervises the two Deputy Directors and has ultimate supervisory authority over the entire Department. The Director has delegated to the two Deputy Directors oversight and ordinary supervision of the various Department offices.

b) Office of the Deputy Director

One Office of Deputy Director supervises the Office of Legal Counsel, the Office of Fiscal Management, the Office of Legislation and Constituency Services, the Office of Public Affairs, the Equal Opportunity Officer, the Office of Administration, the Office of Resource Conservation, the Office of Scientific Research, the Office of Realty and Environmental Planning, and the Division of Human Resources.

c) Office of the Deputy Director

The other Office of Deputy Director supervises the Office of Internal Audit, the Office of Mines and Minerals, the Office of Water Resources, the Office of Capitol Development, the Office of Land Management and Education, the Office of Law Enforcement, and the Office of Public Services.

History

Source: Amended at 24 Ill. Reg. 2361, effective January 25, 2000

2 Ill. Adm. Code 825.230 Organization Chart

A Department of Natural Resources Organization Chart is shown in Table A. A description of the specific responsibilities and duties of each office depicted on the Table and Department personnel positions is maintained in the Springfield Office and is available for public inspection.

History

Source: Amended at 24 Ill. Reg. 2361, effective January 25, 2000

2 Ill. Adm. Code 825.TABLE A Organization Chart

History

Source: Amended at 24 Ill. Reg. 2361, effective January 25, 2000

2 Ill. Adm. Code 825.EXHIBIT A Request for Doc Records (repealed)

History

Source: Repealed at 11 Ill. Reg. 19079, effective November 5, 1987

2 Ill. Adm. Code 825.EXHIBIT B Request for Agency Records - Doc Response (repealed)

History

Source: Repealed at 11 Ill. Reg. 19079, effective November 5, 1987

2 Ill. Adm. Code 825.EXHIBIT C Director's Response to Public Information Appeal Request (repealed)

History

Source: Repealed at 11 Ill. Reg. 19079, effective November 5, 1987

Part 826 Freedom of Information

2 Ill. Adm. Code 826.110 Summary and Purpose

a) This Part states the policy of the Department of Natural Resources (Agency) for making its records available for reasonable public inspection while, at the same time, protecting legitimate interests in confidentiality.

b) This Part:

Establishes the following classifications for records in the Agency's possession:

A) Records that shall be disclosed; and

B) Records that shall be withheld from disclosure.

Contains the procedures by which requesters may obtain records in the Agency's possession; and
Contains the procedures for claiming and determining that records submitted to the Agency are exempt from disclosure.

2 Ill. Adm. Code 826.120 Definitions

Terms not defined in this Section shall have the same meaning as in the Freedom of Information Act [5 ILCS 140]. The following definitions are applicable for purposes of this Part:

"Act" means the Department of Natural Resources Act [20 ILCS 801].

"Agency" means the Department of Natural Resources as established by the Act.

to access and disseminate information concerning news and current or passing events;

for articles or opinion or features of interest to the public; or

for the purpose of academic, scientific, or public research or education. (Section 2(c-10) of FOIA)

"Critical infrastructure information" means information not customarily in the public domain and related to the security of critical infrastructure or protected systems, as referenced in Section 2(4) of the Homeland Security Act, and as defined in Section 1016(e) of USA Patriot Act (42 USC 5195(e)).

"Director" means the Director of the Agency.

"FOIA" means the Freedom of Information Act [5 ILCS 140].

"Freedom of Information Officer" or "FOI Officer" means an individual or individuals responsible for receiving and responding to requests for public records.

"Person" means any individual, corporation, partnership, firm, organization or association, acting individually or as a group. (Section 2(b) of FOIA)

"Public Access Counselor" means an individual appointed to that office by the Attorney General under Section 7 of the Attorney General Act [15 ILCS 205].

"Requester" is any person who has submitted to the Agency a written request, electronically or on paper, for records.

2 Ill. Adm. Code 826.210 Records That Will Be Disclosed

Upon request meeting the requirements of this Part, the Agency shall disclose to the requester all records requested except that it shall not disclose certain records as provided in Section 826.220 or 826.230. Records covered under this Section shall include, but are not limited to:

a) Records of funds. All records relating to the obligation, receipt and use of public funds of the Agency are records subject to inspection and copying by the public. (Section 2.5 of FOIA)

c) Arrest Reports. Arrest and criminal history information maintained by the Department shall be furnished as soon as practical, but in no event later than 72 hours after the arrest:

information that identifies the individual, including name, age, address and photograph, when and if available;
detailed charges relating to the arrest;
time and location of the arrest;
name of investigating or arresting law enforcement agency;
if the individual is incarcerated, the amount of any bail or bond; and
if the individual is incarcerated, the time and date that the individual is incarcerated, the time and date that the individual was received into, discharged from, or transferred from the arresting agency's custody. (Section 2.15(a) of FOIA)

d) Criminal history records. The following documents maintained by the Agency pertaining to criminal history record information are records subject to inspection and copying by the public pursuant to FOIA:

Court records that are public;
Records that are otherwise available under State or local law; and
Records in which the requesting party is the individual identified, except as provided under Section 826.220(a)(5)(F) of this Part. (Section 2.15(b) of FOIA)

e) Settlement agreements. All settlement agreements entered into by or on behalf of the Agency are records subject to inspection and copying by the public, provided that information exempt from disclosure under Section 826.220 or 826.230 of this Part may be redacted. (Section 2.20 of FOIA)

f) The provisions of this Section do not supersede the confidentiality provisions for arrest records of the Juvenile Court Act of 1987. (Section 2.15(d) of FOIA)

2 Ill. Adm. Code 826.220 Records That Will Be Withheld from Disclosure

When a request is made to inspect or copy a record that contains information that is otherwise exempt from disclosure under this Section, but also contains information that is not exempt from disclosure, the Agency may elect to redact the information that is exempt. The Agency shall make the remaining information available for inspection and copying. (Section 7(1) of FOIA)

a) Subject to this requirement and Section 7 of FOIA, the following shall be exempt from inspection and copying:

Information specifically prohibited from disclosure by federal or State law or rules and regulations implementing federal or State law; (Section 7(1)(a) of FOIA)
Private information, unless disclosure is required by another provision of FOIA, a State or federal law or a court order; (Section 7(1)(b) of FOIA)
Files, documents, and other data or databases maintained by one or more law enforcement agencies and specifically designed to provide information to one or more law enforcement agencies regarding the physical or mental status of one or more individual subjects; (Section 7(1)(b-5) of FOIA)
Personal information contained within records, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy, unless the disclosure is consented to in writing by the individual subjects of the information. "Unwarranted invasion of personal privacy" means the disclosure of information that is highly personal or objectionable to a reasonable person and in which the subject's right to privacy outweighs any legitimate public interest in obtaining the information. The disclosure of information that bears on the public duties of public employees and officials shall not be considered an invasion of personal privacy; (Section 7(1)(c) of FOIA)
Records in the possession of any public body created in the course of administrative enforcement proceedings, and any law enforcement or correctional agency for law enforcement purposes, but only to the extent that disclosure would:

A) Interfere with pending or actually and reasonably contemplated law enforcement proceedings conducted by any law enforcement or correctional agency that is the recipient of the request;

B) Interfere with active administrative enforcement proceedings conducted by the public body that is the recipient of the request;

C) Create a substantial likelihood that a person will be deprived of a fair trial or an impartial hearing;

D) Unavoidably disclose the identity of a confidential source, confidential information furnished only by the confidential source, or persons who file complaints with or provide information to administrative, investigative, law enforcement, or penal agencies; except that the Agency will provide traffic accident reports, the identities of witnesses to traffic accidents, and rescue reports, except when disclosure would interfere with an active criminal investigation;

F) Endanger the life or physical safety of law enforcement personnel or any other person; or

G) Obstruct an ongoing criminal investigation by the Agency; (Section 7(1)(d) of FOIA)

Records that relate to or affect the security of correctional institutions and detention facilities; (Section 7(1)(e) of FOIA)
Records requested by persons committed to the Department of Corrections if those materials are available in the library of the correctional facility where the inmate is confined; (Section 7(1)(e-5) of FOIA)
Records requested by persons committed to the Department of Corrections if those materials include records from staff members' personnel files, staff rosters, or other staffing assignment information; (Section 7(1)(e-6) of FOIA)
Records requested by persons committed to the Department of Corrections if those materials are available through an administrative request to the Department of Corrections; (Section 7(1)(e-7) of FOIA)
Preliminary drafts, notes, recommendations, memoranda and other records in which opinions are expressed, or policies or actions are formulated, except that a specific record or relevant portion of a record shall not be exempt when the record is publicly cited and identified by the head of the Agency. The exemption provided in this subsection (a)(10) extends to all those records of officers and agencies of the General Assembly that pertain to the preparation of legislative documents; (Section 7(1)(f) of FOIA)
Trade secrets and commercial or financial information obtained from a person or business where the trade secrets or commercial or financial information are furnished under a claim that they are proprietary, privileged or confidential, and that disclosure of the trade secrets or commercial or financial information would cause competitive harm to the person or business, and only insofar as the claim directly applies to the records requested. All trade secrets and commercial or financial information obtained by a public body, including a public pension fund, from a private equity fund or a privately held company within the investment portfolio of a private equity fund as a result of either investing or evaluating a potential investment of public funds in a private equity fund. The exemption contained in this subsection (a)(11) does not apply to the aggregate financial performance information of a private equity fund, nor to the identity of the fund's managers or general partners. The exemption contained in this subsection (a)(11) does not apply to the identity of a privately held company within the investment portfolio of a private equity fund, unless the disclosure of the identity of a privately held company may cause competitive harm. Nothing in this subsection (a)(11) shall be construed to prevent a person or business from consenting to disclosure; (Section 7(1)(g) of FOIA)
Proposals and bids for any contract, grant, or agreement, including information that if it were disclosed would frustrate procurement or give an advantage to any person proposing to enter into a contract or agreement with the body, until an award or final selection is made. Information prepared by or for the body in preparation of a bid solicitation shall be exempt until an award or final selection is made; (Section 7(1)(h) of FOIA)
Valuable formulae, computer geographic systems, designs, drawings and research data obtained or produced by the Agency when disclosure could reasonably be expected to produce private gain or public loss. The exemption for "computer geographic systems" provided in this subsection (a)(13) does not extend to requests made by news media as defined in Section 826.120 when the requested information is not otherwise exempt and the only purpose of the request is to access and disseminate information regarding the health, safety, welfare or legal rights of the general public; (Section 7(1)(i) of FOIA)
The following information pertaining to educational matters:

A) Test questions, scoring keys, and other examination data used to administer an academic exam;

B) Information received by a primary or secondary school, college, or university under its procedure for the evaluation of faculty members by their academic peers;

C) Information concerning a school's or university's adjudication of student disciplinary cases, but only to the extent that disclosure would unavoidably reveal the identity of the student; and

D) Course materials or research materials used by faculty members; (Section 7(1)(j) of FOIA)

Architects' plans and engineers' technical submissions, and other construction related technical documents for projects not constructed or developed in whole or in part with public funds and for projects constructed or developed with public funds, including but not limited to power generating and distribution stations and other transmission and distribution facilities, water treatment facilities, airport facilities, sport stadiums, convention centers, and all government owned, operated, or occupied buildings, but only to the extent that disclosure would compromise security; (Section 7(1)(k) of FOIA)
Minutes of meetings of public bodies closed to the public as provided in the Open Meetings Act [5 ILCS 120] until the public body makes the minutes available to the public under Section 2.06 of the Open Meetings Act; (Section 7(1)(l) of FOIA)
Communications between the Agency and an attorney or auditor representing the Agency that would not be subject to discovery in litigation, and materials prepared or compiled by or for the Agency in anticipation of a criminal, civil or administrative proceeding upon the request of an attorney advising the Agency, and materials prepared or compiled with respect to internal audits of the Agency; (Section 7(1)(m) of FOIA)
Records relating to the Agency's adjudication of employee grievances or disciplinary cases; however, this exemption shall not extend to the final outcome of cases in which discipline is imposed; (Section 7(1)(n) of FOIA)
Administrative or technical information associated with automated data processing operations, including but not limited to software, operating protocols, computer program abstracts, file layouts, source listings, object modules, load modules, user guides, documentation pertaining to all logical and physical design of computerized systems, employee manuals, and any other information that, if disclosed, would jeopardize the security of the system or its data or the security of materials exempt under this Section; (Section 7(1)(o) of FOIA)
Records relating to collective negotiating matters between the Agency and its employees or representatives, except that any final contract or agreement shall be subject to inspection and copying; (Section 7(1)(p) of FOIA)
Test questions, scoring keys, and other examination data used to determine the qualifications of an applicant for a license or employment; (Section 7(1)(q) of FOIA)
The records, documents and information relating to real estate purchase negotiations until those negotiations have been completed or otherwise terminated. With regard to a parcel involved in a pending or actually and reasonably contemplated eminent domain proceeding under the Eminent Domain Act [735 ILCS 30], records, documents and information relating to that parcel shall be exempt except as may be allowed under discovery rules adopted by the Illinois Supreme Court. The records, documents and information relating to a real estate sale shall be exempt only until a sale is consummated; (Section 7(1)(r) of FOIA)
Any and all proprietary information and records related to the operation of an intergovernmental risk management association or self-insurance pool or jointly self-administered health and accident cooperative or pool. Insurance or self-insurance (including any intergovernmental risk management association or self-insurance pool) claims, loss or risk management information, records, data, advice or communications; (Section 7(1)(s) of FOIA)
Information contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an Agency responsible for the regulation or supervision of financial institutions or insurance companies, unless disclosure is otherwise required by State law; (Section 7(1)(t) of FOIA)
Information that would disclose or might lead to the disclosure of secret or confidential information, codes, algorithms, programs or private keys intended to be used to create electronic or digital signatures under the Electronic Commerce Security Act [5 ILCS 175]; (Section 7(1)(u) of FOIA)
Vulnerability assessments, security measures, and response policies or plans that are designed to identify, prevent, or respond to potential attacks upon a community's population or systems, facilities, or installations, the destruction or contamination of which would constitute a clear and present danger to the health or safety of the community, but only to the extent that disclosure could reasonably be expected to jeopardize the effectiveness of the measures or the safety of the personnel who implement them or the public. Information exempt under this subsection (a)(26) may include such things as details pertaining to the mobilization or deployment of personnel or equipment, to the operation of communication systems or protocols, or to tactical operations; (Section 7(1)(v) of FOIA)
Maps and other records regarding the location or security of generation, transmission, distribution, storage, gathering, treatment, or switching facilities owned by a utility, by a power generator, or by the Illinois Power Agency; (Section 7(1)(x) of FOIA)
Information contained in or related to proposals, bids, or negotiations related to electric power procurement under Section 1-75 of the Illinois Power Agency Act [20 ILCS 3855] and Section 16-111.5 of the Public Utilities Act [220 ILCS 5] that is determined to be confidential and proprietary by the Illinois Power Agency or by the Illinois Commerce Commission; (Section 7(1)(y) of FOIA)
Information about students exempted from disclosure under Section 10-20.38 or 34-18.29 of the School Code, and information about undergraduate students enrolled at an institution of higher education exempted from disclosure under Section 25 of the Illinois Credit Card Marketing Act of 2009 [110 ILCS 26]; (Section 7(1)(z) of FOIA)
Information the disclosure of which is exempted under the Viatical Settlements Act of 2009 [215 ILCS 159]; (Section 7(1)(aa) of FOIA)
Records and information provided to the mortality review team and records maintained by mortality review team appointed under the Department of Juvenile Justice Mortality Review Team Act [730 ILCS 195]. (Section 7(1)(bb) of FOIA)
Information regarding interments, entombments, or inurnments of human remains that are submitted to the Cemetery Oversight Database under the Cemetery Care Act [760 ILCS 100] or the Cemetery Oversight Act [225 ILCS 411], whichever is applicable. (Section 7(1)(cc) of FOIA)
Correspondence and records that may not be disclosed under Section 11-9 of the Public Aid Code or that pertains to appeals under Section 11-8 of the Public Aid Code [305 ILCS 5]. (Section 7(1)(dd) of FOIA)
The names addresses, or other personal information of persons who are minors and are also participants and registrants in programs of park districts, forest preserve districts, conservation districts, recreation agencies, and special recreation associations. (Section 7(1)(ee) of FOIA)
The names, addresses, or other personal information of participants and registrants in programs of park districts, forest preserve districts, conservation districts, recreation agencies, and special recreation associations where such programs are targeted primarily to minors. (Section 7(1)(ff) of FOIA)
Confidential information described in Section 1-100 of the Illinois Independent Tax Tribunal Act of 2012 [35 ILCS 1010]. (Section 7(1)(gg) of FOIA)

2 Ill. Adm. Code 826.230 Statutory Exemptions

To the extent provided for by the following statutes, the following shall be exempt from inspection and copying:

a) All information determined to be confidential under Section 4002 of the Technology Advancement and Development Act [20 ILCS 700].

b) Library circulation and order records identifying library users with specific materials under the Library Records Confidentiality Act [75 ILCS 70].

e) Information the disclosure of which is exempted under Section 30 of the Radon Industry Licensing Act [420 ILCS 44].

f) Firm performance evaluations under Section 55 of the Architectural, Engineering, and Land Surveying Qualifications Based Selection Act [30 ILCS 535].

g) Information the disclosure of which is restricted and exempted under Section 50 of the Illinois Prepaid Tuition Act [110 ILCS 979].

j) Information and data concerning the distribution of surcharge moneys collected and remitted by wireless carriers under the Wireless Emergency Telephone Safety Act [50 ILCS 751].

o) Information that is prohibited from being disclosed under Section 4 of the Illinois Health and Hazardous Substances Registry Act [410 ILCS 525].

q) Information prohibited from being disclosed by the Personnel Record Review Act [820 ILCS 40].

r) Information prohibited from being disclosed by the Illinois School Student Records Act [105 ILCS 10].

s) Information the disclosure of which is restricted under Section 5-108 of the Public Utilities Act [220 ILCS 5].

t) All identified or deidentified health information in the form of health data or medical records contained in, stored in, submitted to, transferred by, or released from the Illinois Health Information Exchange, and identified or de-identified health information in the form of health data and medical records of the Illinois Health Information Exchange in the possession of the Illinois Health Information Exchange Authority due to its administration of the Illinois Health Information Exchange. The terms "identified" and "de-identified" shall be given the same meanings as ascribed in the Health Insurance Accountability and Portability Act of 1996, Public Law 104-191, or any subsequent amendments thereto, and any regulations promulgated thereunder.

u) Records and information provided to an independent team of experts under Brian's Law (the Developmental Disability and Mental Health Safety Act [405 ILCS 82]).

v) Names and information of people who have applied for or received Firearm Owner's Identification Cards under the Firearm Owners Identification Card Act [430 ILCS 65] or applied for or received a concealed carry license under the Firearm Concealed Carry Act [430 ILCS 66], unless otherwise authorized by the Firearm Concealed Carry Act; and databases under the Firearm Concealed Carry Act, records of the Concealed Carry Licensing Review Board under the Firearm Concealed Carry Act, and law enforcement agency objections under the Firearm Concealed Carry Act.

w) Personally identifiable information that is exempted from disclosure under Section 19.1(g) of the Toll Highway Act [605 ILCS 10].

x) Information that is exempted from disclosure under Section 5-1014.3 of the Counties Code [55 ILCS 5] or Section 8-11-21 of the Illinois Municipal Code [65 ILCS 5].

y) Confidential information under the Adult Protective Services Act [320 ILCS 20] and its predecessor enabling statute, the Elder Abuse and Neglect Act, including information about the identity and administrative finding against any caregiver of a verified and substantiated decision of significant abuse, neglect, or financial exploitation of an eligible adult maintained in the Department of Public Health's Health Care Worker Registry.

z) Records and information provided to an at-risk adult fatality review team or the Illinois At-Risk Adult Fatality Review Team Advisory Council under Section 15 of the Adult Protective Services Act. (Section 7.5 of FOIA)

aa) Information that is exempted from disclosure under Section 2.37 of the Wildlife Code [520 ILCS 5]. (Section 7.5aa of FOIA)

2 Ill. Adm. Code 826.310 Submittal of Requests for Records

Requests for public records shall be submitted to the Freedom of Information Officer of the Illinois Department of Natural Resources by one of the following methods:

a) By mail to the following address:

Illinois Department of Natural Resources

Attn: Freedom of Information Officer

One Natural Resources Way

Springfield IL 62702-1271

b) By e-mail or online to:

DNR.FOIA@illinois.gov

c) By Fax to:

Attn: Freedom of Information Officer – 217/785-2438

2 Ill. Adm. Code 826.320 Information to Be Provided in Requests for Records

A request for records should include:

a) The complete name, mailing address and telephone number of the requester;

b) As specific a description as possible of the records sought. Requests that the Agency considers unduly burdensome or categorical may be denied. (See Section 3(g) of FOIA and Section 826.420.);

c) A statement as to the requested medium and format for the Agency to use in providing the records sought: for example, paper, specific types of digital or magnetic media, or videotape;

d) A statement as to the requested manner for the Agency to use in providing the records sought: for example, inspection at Agency headquarters or providing paper or electronic copies;

e) A statement as to whether the requester needs certified copies of all or any portion of the records, including reference to the specific documents that require certification; and

f) A statement as to whether the request is for a commercial purpose.

2 Ill. Adm. Code 826.330 Requests for Records for Commercial Purposes

b) The Agency shall respond to a request for records to be used for a commercial purpose within 21 working days after receipt. The response shall:

Provide to the requester an estimate of the time required by the Agency to provide the records requested and an estimate of the fees to be charged, which the Agency may require the person to pay in full before copying the requested documents;
Deny the request pursuant to one or more of the exemptions set out in Section 826.220 or 826.230;
Notify the requester that the request is unduly burdensome and extend an opportunity to the requester to attempt to reduce the request to manageable proportions; or
Provide the records requested. (Section 3.1(a) of FOIA)

2 Ill. Adm. Code 826.410 Timeline for Agency Response

a) Except as stated in subsection (b) or (c), the Agency will respond to any written request for records within 5 business days after its receipt of the request. Failure to comply with a written request, extend the time for response, or deny a request within 5 business days after its receipt shall be considered a denial of the request. If the Agency fails to respond to a request within the requisite periods in this subsection (a) but thereafter provides the requester with copies of the requested records, it will not impose a fee for those copies. If the Agency fails to respond to a request received, it will not treat the request as unduly burdensome as provided under Section 826.420. (Section 3(d) of FOIA) A written request from the Agency to provide additional information shall be considered a response to the FOIA request.

b) The time limits prescribed in subsection (a) may be extended for not more than 5 business days from the original due date for any of the following reasons:

The requested records are stored in whole or in part at locations other than the office having charge of the requested records;
The request requires the collection of a substantial number of specified records;
The request is couched in categorical terms and requires an extensive search for the records responsive to it;
The requested records have not been located in the course of routine search and additional efforts are being made to locate them;
The requested records require examination and evaluation by personnel having the necessary competence and discretion to determine if they are exempt from disclosure under Section 7 or 7.5 of FOIA or should be revealed only with appropriate deletions;
The request for records cannot be complied with by the Agency within the time limits prescribed by subsection (a) without unduly burdening or interfering with the operations of the Agency; or
There is a need for consultation, which shall be conducted with all practicable speed, with another public body or among two or more components of a public body having a substantial interest in the determination or in the subject matter of the request. (Section 3(e) of FOIA)

2 Ill. Adm. Code 826.420 Requests for Records That the Agency Considers Unduly Burdensome

2 Ill. Adm. Code 826.430 Recurrent Requesters

a) Notwithstanding any provision of this Part to the contrary, the Agency will respond to a request from a recurrent requester, as defined in Section 826.120, within 21 business days after receipt. The response shall:

provide to the requester an estimate of the time required by the Agency to provide the records requested and an estimate of the fees to be charged, which the Agency may require the person to pay in full before copying the requested documents;
deny the request pursuant to one or more of the exemptions set out in this Part;
notify the requester that the request is unduly burdensome and extend an opportunity to the requester to attempt to reduce the request to manageable proportions; or
provide the records requested.

b) Within 5 business days after receiving a request from a recurrent requester, the Agency will notify the requestor that the Agency is treating the request as a recurrent request, of the reasons why the Agency is treating the request as a recurrent request, and that the Agency will send an initial response within 21 business days after receipt in accordance with subsection (a). The Agency will also notify the requester of the proposed responses that can be asserted pursuant to subsection (a).

c) Unless the records are exempt from disclosure, the Agency will comply with a request within a reasonable period considering the size and complexity of the request. (Section 3.2 of FOIA)

2 Ill. Adm. Code 826.440 Requests for Records That Require Electronic Retrieval

a) A request for records that requires electronic retrieval will be treated the same as any other request for records, with the same timeline and extensions as allowed for other records.

b) The Agency will retrieve and provide electronic records only in a format and medium that is available to the Agency.

2 Ill. Adm. Code 826.450 Denials of Requests for Records

a) The Agency will deny requests for records when:

Compliance with the request would unduly burden the Agency, as determined pursuant to Section 826.420, and the requester has not reduced the request to manageable proportions; or
The records are exempt from disclosure pursuant to Section 7 or 7.5 of FOIA or Section 826.220 or 826.230 of this Part.

b) The denial of a request for records must be in writing.

The notification shall include a description of the records denied; the reason for the denial, including a detailed factual basis for the application of any exemption claimed; and the names and titles or positions of each person responsible for the denial (Section 9(a) of FOIA);
Each notice of denial shall also inform the person of the right to review by the Public Access Counselor and provide the address and phone number for the Public Access Counselor (Section 9(a) of FOIA); and
When a request for records is denied on the grounds that the records are exempt under Section 7 or 7.5 of FOIA, the notice of denial shall specify the exemption claimed to authorize the denial and the specific reasons for the denial, including a detailed factual basis and a citation to the supporting legal authority (Section 9(b) of FOIA).

d) If the Agency has given written notice pursuant to Section 826.410(d), failure to respond to a written request within the time permitted for extension may be treated as a denial for purposes of the right to review by the Public Access Counselor.

2 Ill. Adm. Code 826.460 Requests for Review of Denials - Public Access Counselor

e) The requester may, but is not required to, respond in writing to the answer within 7 business days and shall provide a copy of the response to the Agency. (Section 9.5(d) of FOIA)

g) A binding opinion from the Attorney General shall be binding upon both the requester and the Agency, subject to administrative review under Section 826.480. (Section 9.5(f) of FOIA)

i) Upon receipt of a binding opinion concluding that a violation of FOIA has occurred, the Agency will either take necessary action immediately to comply with the directive of the opinion or shall initiate administrative review under Section 826.480. If the opinion concludes that no violation of FOIA has occurred, the requester may initiate administrative review under Section 826.480. (Section 9.5(f) of FOIA)

k) If the requester files suit under Section 826.470 with respect to the same denial that is the subject of a pending request for review, the requester shall notify the Public Access Counselor. (Section 9.5(g) of FOIA)

2 Ill. Adm. Code 826.470 Circuit Court Review

2 Ill. Adm. Code 826.480 Administrative Review

A binding opinion issued by the Attorney General shall be considered a final decision of an administrative agency, for purposes of administrative review under the Administrative Review Law [735 ILCS 5/Art. III]. An action for administrative review of a binding opinion of the Attorney General shall be commenced in Cook County or Sangamon County. An advisory opinion issued to the Agency shall not be considered a final decision of the Attorney General for purposes of this Section. (Section 11.5 of FOIA)

2 Ill. Adm. Code 826.510 Inspection and Copy of Records

a) The Agency may make available records for personal inspection at the Agency's headquarters office located at One Natural Resources Way, or at another location agreed to by both the Agency and the requester. No original record shall be removed from State-controlled premises except under constant supervision of the agency responsible for maintaining the record. The Agency may provide records in duplicate forms, including, but not limited to, paper copies, data processing printouts, videotape, microfilm, audio tape, reel to reel microfilm, photographs, computer disks and diazo.

d) In order to maintain routine Agency operations, the requester may be asked to leave the inspection area for a specified period of time.

e) The requester will have access only to the designated inspection area.

f) Requesters shall not be permitted to take briefcases, folders or similar materials into the room where the inspection takes place. An Agency employee may be present during the inspection.

g) The requester shall segregate and identify the documents to be copied during the course of the inspection.

2 Ill. Adm. Code 826.520 Fees for Records

a) In accordance with Section 826.530, unless a fee is otherwise fixed by statute, the Agency will provide copies of records and certifications of records in accordance with the fee schedule set forth in Appendix A.

c) In order to expedite the copying of records that the Agency cannot copy, due to the volume of the request or the operational needs of the Agency, in the timelines established in Section 826.410, the requester may provide, at the requester's expense, the copy machine, all necessary materials, and the labor to copy the public records at the Agency headquarters in Section 826.510, or at another location agreed to by both the Agency and the requester. No original record shall be removed from State-controlled premises except under constant supervision of the agency responsible for maintaining the record.

d) Copies of records will be provided to the requester only upon payment of any fees due. The Agency may charge the requester for the actual cost of purchasing the recording medium, whether disc, diskette, tape, or other medium. If a request is not a request for a commercial purpose or a voluminous request, the Agency will not charge the requester for the costs of any search for and review of the records or other personnel costs associated with reproducing the records. Except to the extent that the General Assembly expressly provides, statutory fees applicable to copies of public records when furnished in a paper format shall not be applicable to those records when furnished in an electronic format. (Section 6(a) of FOIA) Payment must be by check or money order sent to the Agency, payable to "Treasurer, State of Illinois".

e) If a contractor is used to inspect or copy records, the following procedures shall apply:

The requester, rather than the Agency, must contract with the contractor;
The requester is responsible for all fees charged by the contractor;
The requester must notify the Agency of the contractor to be used prior to the scheduled on-site inspection or copying;
Only Agency personnel may provide records to the contractor;
The Agency must have verification that the requester has paid the Agency, if payment is due, for the copying of the records before providing the records to the contractor; and
The requester must provide to the Agency the contractor's written agreement to hold the records secure and to copy the records only for the purpose stated by the requester.

f) The Agency may charge up to $10 for each hour spent by personnel in searching for and retrieving a requested record. No fees shall be charged for the first 8 hours spent by personnel in searching for or retrieving a requested record. The Agency may charge the actual cost of retrieving and transporting public records from an off-site storage facility when the public records are maintained by a third-party storage company under contract with the Agency. If the Agency imposes a fee pursuant to this subsection (f), it must provide the requestor with an accounting of all fees, costs, and personnel hours in connection with the request for public records. The provisions of this subsection (f) apply only to commercial requests. (Section 6(f) of FOIA)

2 Ill. Adm. Code 826.530 Reduction and Waiver of Fees

Whether the principal purpose of the request is to disseminate information regarding the health, safety, welfare or legal rights of the general public; and
Whether the principal purpose of the request is personal or commercial benefit. For purposes of this subsection (a), "commercial benefit" shall not apply to requests made by news media when the principal purpose of the request is to access and disseminate information regarding the health, safety, welfare or legal rights of the general public. (Section 6(c) of FOIA)

b) In setting the amount of the waiver or reduction, the Agency will take into consideration the amount of materials requested and the cost of copying them. (Section 6(c) of FOIA)

2 Ill. Adm. Code 826.540 Records Maintained Online

a) Notwithstanding any provision of this Act to the contrary, a public body is not required to copy a public record that is published on the public body's website. The public body shall notify the requestor that the public record is available online and direct the requestor to the website where the record can be reasonably accessed.

b) If the person requesting the public record is unable to reasonably access the record online after being directed to the website pursuant to subsection (a) of this Section, the requestor may re-submit his or her request for the record stating his or her inability to reasonably access the record online, and the public body shall make the requested record available for inspection or copying as provided in Section 3 of this Act.

2 Ill. Adm. Code 826.APPENDIX A Fee Schedule for Duplication and Certification of Records

TYPE OF DUPLICATION

FEE (PER COPY)

Paper copy from original, up to and including 50 copies of black and white, letter or legal sized copies

No charge

Paper copy from original, in excess of 50 copies of black and white, letter or legal sized copies

$.15/page

Paper copy from microfilm original

$.15/page

Microfilm diazo from original

$.50/diazo

VHS video copy of tape

Actual cost of the reproduction

Audio tape copy of tape

Actual cost of the reproduction

CD ROM disk

Actual cost of the reproduction

Photograph from negative

Actual cost of the reproduction

Blueprints/oversized prints

Actual cost of the reproduction

Paper copies in color or in a size other than letter or legal

Actual cost of the reproduction

Certification fee

$1.00/record

NOTE: Expense for delivery other than by First Class U.S. Mail must be borne by the requester.

Chapter VII Department of Corrections

Part 850 Public Information, Rulemaking and Organization

2 Ill. Adm. Code 850.10 Applicability

This Subpart applies to any interested persons seeking or submitting information regarding subjects, programs and activities of the Department of Corrections. However, any interested persons seeking access to public records in the possession of the Department shall comply with 2 Ill. Adm. Code 851.

History

Source: Amended at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.15 Definitions

"Associate Director" means the highest ranking official of the Bureau of Operations within the Department.

"Department" means the Illinois Department of Corrections.

"Director" means the highest ranking official of the Department of Corrections.

History

Source: Amended at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.20 Public Requests

a) Any interested person should submit a request for information in writing. The request should include a complete description of the information requested, the reason for the request, and when applicable, timing requirements. Requests, other than requests for public records, should be directed to:

Director

Illinois Department of Corrections

1301 Concordia Court

P. O. Box 19277

Springfield, Illinois 62794-9277

b) The Department shall respond to such requests within 10 days of receipt, whenever possible. However, any interested persons seeking access to public records in the possession of the Department shall be directed to comply with 2 Ill. Adm. Code 851.

c) When confidential information is requested, or whenever release of information is limited or prohibited by statute, court order, or by any provision of 20 Ill. Adm. Code: Chapter I, the requestor shall be notified.

History

Source: Amended at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.30 Public Submissions

Any interested person may submit comments and recommendations regarding subjects, programs, and activities of the Department in writing to:

Director

Illinois Department of Corrections

1301 Concordia Court

P. O. Box 19277

Springfield, Illinois 62794-9277

History

Source: Amended at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.100 Applicability

This Subpart applies to all bureaus, divisions, and offices within the Department of Corrections and to any other interested persons.

History

Source: Amended at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.105 Responsibilities

a) Unless otherwise specified, the Director or members of the Executive Staff may delegate responsibilities stated in this Part to another person or persons or designate another person or persons to perform the duties specified.

b) No other individual may routinely perform duties whenever a Section in this Part specifically states the Director or members of the Executive Staff shall personally perform the duties. However, the Director or members of the Executive Staff may designate another person or persons to perform the duties during periods of their temporary absence or in an emergency.

History

Source: Added at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.110 Definitions

Statutory definitions shall apply to terms used in the Department rules, unless otherwise defined. For purposes of these rules:

"Department" means the Illinois Department of Corrections.

"Department rules" means 2 Ill. Adm. Code 850 and 851, 4 Ill. Adm. Code 475, 20 Ill. Adm. Code: Chapter I, and any other rules adopted by the Department in accordance with the Illinois Administrative Procedure Act [5 ILCS 100/1-1 et seq.].

"Director" means the highest ranking official of the Department.

"Offenders" means persons committed to the Department who have not been discharged, including those persons who have been released on parole or mandatory supervised release.

"Part" means a unified set of rules.

"Section" means a single rule.

"Subpart" means a unified set of rules within a Part.

History

Source: Amended at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.120 Procedure

a) Rules may be proposed by the Director and members of the Executive Staff in consultation with their staff. However, only rules approved by the Director shall be promulgated.

b) Any interested person may petition the Director to adopt, amend, or repeal a rule.

The preferred form of address of the petition is:

Director

Attn: Policy and Recruitment

Illinois Department of Corrections

1301 Concordia Court

P. O. Box 19277

Springfield, Illinois 62794-9277

The petition shall contain a clear statement of reasons for the proposed rule, amendment, or repeal and the exact language of the suggested new rule or amendment.
The petitioner shall be advised in writing, within 30 days whenever possible, of the decision in regard to the petition.

c) Rules shall be reviewed on an on-going basis and shall be adopted, amended, or repealed as necessary to maintain Department rules in accord with State and federal law and to appropriately address the concerns of Department facilities, staff, offenders, and the public.

d) Prior to initiation of formal rulemaking procedures pursuant to the Illinois Administrative Procedure Act [5 ILCS 100/1-1 et seq.], proposed rulemaking:

Shall be reviewed and approved by appropriate Department staff.
May, upon the approval of the Director, be reviewed by individuals or organizations other than Department staff.

e) Rules adopted by the Department shall be made available to employees, offenders, and the public.

f) Rules adopted by the Department shall be available for public inspection during normal working hours at the Policy and Directive Unit, 1301 Concordia Court, Springfield, Illinois. A request to inspect rules should be made in advance when possible via telephone at 217/522-2666.

History

Source: Amended at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.130 Public Hearings

a) The Director may conduct public hearings on proposed rulemaking whenever the interest of the State would be best served by such proceedings or as otherwise required by law.

b) A formal notice of a public hearing will be published in the Illinois Register at least ten days prior to the hearing. The notice shall include the date, time, and place of the proceedings.

c) Minutes of public hearings shall be recorded and shall be available for public inspection at the Policy and Directive Unit, 1301 Concordia Court, Springfield, Illinois.

History

Source: Amended at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.200 Applicability

This rule applies to all bureaus, divisions, and offices within the Department of Corrections.

History

Source: Amended at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.205 Definitions

"Department" means the Illinois Department of Corrections.

"Director" means the highest ranking official of the Department of Corrections.

History

Source: Amended at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.210 Department Organization

a) The Department shall have bureaus, divisions, and offices as designated by the Director.

b) The organization of the Department is illustrated in Table A. The Adult and Juvenile Advisory Boards and the School District #428, Board of Education, illustrated on this table by broken lines, are shown to reflect the advisory capacity and the interaction with the Department. These Boards are not within the organizational structure of the Department.

c) Due to the size and complexity, the organizational structure of the Districts 1, 2 and 3, and 4 and 5 and the Juvenile Division within the Bureau of Operations and the Office of Women and Family Services is illustrated in Tables I, J, K, L, and M, respectively.

History

Source: Amended at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.215 Central Office Locations

a) Concordia Complex

1301 Concordia Court

P. O. Box 19277

Springfield, Illinois 62794-9277

Telephone: 217/522-2666

b) State of Illinois Center

100 West Randolph St., Suite 4-200

Chicago, Illinois 60601-3219

Telephone: 312/814-3017

c) Joliet Complex

1125 So. Collins St.

P. O. Box 515

Joliet, Illinois 60432

Telephone: 217/727-6141

History

Source: Added at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.220 Adult Correctional Facilities

The following are designated as the correctional facilities for adult offenders. Unless otherwise noted, the facilities listed are for males. New facilities that are designated but that are not currently in operation are noted.

a) Correctional Centers

Big Muddy Correctional Center, Ina

Centralia Correctional Center, Centralia

Danville Correctional Center, Danville

Decatur Correctional Center, Decatur

Dixon Correctional Center, Dixon

Dwight Correctional Center, Dwight (female)

East Moline Correctional Center, East Moline

Graham Correctional Center, Hillsboro

Hill Correctional Center, Galesburg

Illinois River Correctional Center, Canton

Jacksonville Correctional Center, Jacksonville

Joliet Correctional Center, Joliet

Kankakee Minimum Security Unit, Manteno (female)

Lawrence Correctional Center, Sumner

Lincoln Correctional Center, Lincoln (female)

Logan Correctional Center, Lincoln

Menard Correctional Center, Menard

Pinckneyville Correctional Center, Pinckneyville

Pontiac Correctional Center, Pontiac

Robinson Correctional Center, Robinson

Shawnee Correctional Center, Vienna

Sheridan Correctional Center, Sheridan

Southwestern Illinois Correctional Center, E. St. Louis

Stateville Correctional Center, Joliet

Tamms Correctional Center, Tamms

Taylorville Correctional Center, Taylorville

Thomson Correctional Center, Thomson (not operational)

Vandalia Correctional Center, Vandalia

Vienna Correctional Center, Vienna

Western Illinois Correctional Center, Mt. Sterling

b) Work Camps

Clayton Work Camp, Clayton

East Moline Work Camp 1, East Moline

East Moline Work Camp 2, East Moline

Ed Jenison Work Camp, Paris

Hanna City Work Camp, Hanna City

Hardin County Work Camp, Cave-In-Rock

Pittsfield Work Camp, Pittsfield

Southwestern Illinois Work Camp, East St. Louis

Springfield Work Camp, Springfield

Tamms Work Camp, Tamms

Vandalia Work Camp, Vandalia

c) Impact Incarceration Program Facilities

Dixon Springs Impact Incarceration Program, Golconda (male and female)

DuQuoin Impact Incarceration Program, DuQuoin

Greene County Impact Incarceration Program, Roodhouse

d) Reception and Classification Units

Adult Reception and Classification Units are established within the following correctional centers:

Dwight (female)

Graham

Menard

Stateville

e) Adult Transition Centers

Crossroads Adult Transition Center, Chicago (contractual)

Decatur Adult Transition Center, Decatur

Fox Valley Adult Transition Center, Aurora (female)

Jessie "Ma" Houston Adult Transition Center, Chicago

Joliet Adult Transition Center, Romeoville

Metro Adult Transition Center, Chicago (female)

North Lawndale Adult Transition Center, Chicago

Peoria Adult Transition Center, Peoria

Southern Illinois Adult Transition Center, Carbondale

Urbana Adult Transition Center, Urbana

West Side Adult Transition Center, Chicago

Winnebago Adult Transition Center, Rockford

History

Source: Amended at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.230 Juvenile Correctional Facilities

The following are designated as the correctional facilities for juvenile offenders. Unless otherwise noted, the facilities listed are for males.

a) Youth Centers

Illinois Youth Center − Chicago, Chicago (male and female)

Illinois Youth Center − Harrisburg, Harrisburg

Illinois Youth Center − Joliet, Joliet

Illinois Youth Center − Kewanee, Kewanee

Illinois Youth Center − Murphysboro, Murphysboro

Illinois Youth Center − Pere Marquette, Grafton

Illinois Youth Center − Rushville, Rushville (not operational)

Illinois Youth Center − St. Charles, St. Charles

Illinois Youth Center − Valley View, St. Charles

Illinois Youth Center − Warrenville, Warrenville (female)

b) Reception and Classification Units

Juvenile Reception and Classification Units are established within the following youth centers:

St. Charles (male)

Warrenville (female)

History

Source: Amended at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.240 Community Services Division Correctional Facilities (repealed)

History

Source: Repealed at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.TABLE A Department Organization

History

Source: Amended at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.TABLE B Adult Institutions Organization (repealed)

History

Source: Repealed at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.TABLE C Juvenile Division Organization (repealed)

History

Source: Repealed at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.TABLE D Community Services Organization (repealed)

History

Source: Repealed at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.TABLE E Bureau of Administration and Planning Organization (repealed)

History

Source: Repealed at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.TABLE F Bureau of Policy Development Organization (repealed)

History

Source: Repealed at 9 Ill. Reg. 2478, effective February 7, 1985

2 Ill. Adm. Code 850.TABLE G Bureau of Inspections and Audits Organization (repealed)

History

Source: Repealed at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.TABLE H Bureau of Employee and Inmate Services Organization (repealed)

History

Source: Repealed at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.TABLE I Bureau of Operations, District 1 Organization

History

Source: Added at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.TABLE J Bureau of Operations, Districts 2 & 3 Organization

History

Source: Added at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.TABLE K Bureau of Operations, Districts 4 & 5 Organization

History

Source: Added at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.TABLE L Bureau of Operations, Juvenile Division Organization

History

Source: Added at 26 Ill. Reg. 9716, effective June 18, 2002

2 Ill. Adm. Code 850.TABLE M Women and Family Services Organization

History

Source: Added at 26 Ill. Reg. 9716, effective June 18, 2002

Part 851 Access to Records of the Department of Corrections

2 Ill. Adm. Code 851.100 Summary and Purpose

a) This Part states the policy of the Department of Corrections (Agency) for making its records available for reasonable public inspection while, at the same time, protecting legitimate interests in confidentiality.

b) This Part:

Establishes the following classifications for records in the Agency's possession:

A) Records that shall be disclosed; and

B) Records that shall be withheld from disclosure;

Contains the procedures by which requesters may obtain records in the Agency's possession; and
Contains the procedures for claiming and determining that records submitted to the Agency are exempt from disclosure.

2 Ill. Adm. Code 851.110 Definitions

Terms not defined in this Section shall have the same meaning as in the Freedom of Information Act [5 ILCS 140]. The following definitions are applicable for purposes of this Part:

"Agency" means the Department of Corrections as established by the Act.

to access and disseminate information concerning news and current or passing events;

for articles or opinion or features of interest to the public; or

for the purpose of academic, scientific, or public research or education. (Section 2(c-10) of FOIA)

"Director" means the Director of the Agency.

"FOIA" means the Freedom of Information Act [5 ILCS 140].

"Freedom of Information Officer" or "FOI Officer" means an individual or individuals responsible for receiving and responding to requests for public records.

"Person" means any individual, corporation, partnership, firm, organization or association, acting individually or as a group. (Section 2(b) of FOIA)

"Public Access Counselor" means an individual appointed to that office by the Attorney General under Section 7 of the Attorney General Act [15 ILCS 205].

"Requester" is any person who has submitted to the Agency a written request, electronically or on paper, for records.

2 Ill. Adm. Code 851.200 Records That Will Be Disclosed

Upon request meeting the requirements of this Part, the Agency will disclose to the requester all records requested except that it will not disclose certain records as provided in Section 851.210 or 851.220. Records covered under this Section shall include, but are not limited to:

a) Records of funds. All records relating to the obligation, receipt and use of public funds of the Agency are records subject to inspection and copying by the public. (Section 2.5 of FOIA)

Court records that are public;
Records that are otherwise available under State or local law; and
Records in which the requesting party is the individual identified, except as provided under Section 851.220. (Section 2.15(b) of FOIA)

d) Settlement agreements. All settlement agreements entered into by or on behalf of the Agency are records subject to inspection and copying by the public, provided that information exempt from disclosure under Section 851.210 or 851.220 may be redacted. (Section 2.20 of FOIA)

e) A record that is not in the possession of the Agency but is in the possession of a party with whom the Agency has contracted to perform a governmental function on behalf of the Agency, and that directly relates to the governmental function and is not otherwise exempt under FOIA, shall be considered a record of the Agency for purposes of Subpart C. (Section 7(2) of FOIA)

2 Ill. Adm. Code 851.210 Records That Will Be Withheld from Disclosure

For exemptions from FOIA that are stated in FOIA, see Section 7(1) of the Act.

2 Ill. Adm. Code 851.220 Statutory Exemptions

For exemptions from FOIA that are stated in other statutes, see Section 7.5 of the Act.

2 Ill. Adm. Code 851.300 Submittal of Requests for Records

a) Any request for public records should be submitted in writing to the FOI Officer at the Agency.

b) The Agency has one FOI Officer, located in the Springfield office.

c) Contact information for the FOI Officer can be found online at www. Illinois.gov/Pages/FOIAContacts.

d) FOIA requests may be submitted via mail, e-mail, fax or hand delivery. Requests should be mailed or hand delivered to:

Illinois Department of Corrections

1301 Concordia Court

P.O. Box 19277

Springfield IL 62794-9277

Attn: FOI Officer

e) E-mailed requests should be sent to DOC.FOIARequest@doc.illinois.gov, contain the request in the body of the e-mail, and indicate in the subject line of the e-mail that it contains a FOIA request. Faxed FOIA requests should be faxed to 217/558-5612, Attn: Freedom of Information Officer.

2 Ill. Adm. Code 851.310 Information to Be Provided in Requests for Records

A request for records should include:

a) The complete name, mailing address and telephone number of the requester;

c) A statement as to the requested medium and format for the Agency to use in providing the records sought; for example, paper, specific types of digital or magnetic media, or videotape;

d) A statement as to the requested manner for the Agency to use in providing the records sought; for example, inspection at Agency headquarters or providing paper or electronic copies;

e) A statement as to whether the requester needs certified copies of all or any portion of the records, including reference to the specific documents that require certification; and

f) A statement as to whether the request is for a commercial purpose.

2 Ill. Adm. Code 851.320 Requests for Records for Commercial Purposes

a) It is a violation of FOIA for a person to knowingly obtain a record for a commercial purpose without disclosing that it is for a commercial purpose, if requested to do so by the Agency. (Section 3.1(c) of FOIA)

b) The Agency shall respond to a request for records to be used for a commercial purpose within 21 working days after receipt. The response shall:

Provide to the requester an estimate of the time required by the Agency to provide the records requested and an estimate of the fees to be charged, which the Agency may require the person to pay in full before copying the requested documents;
Deny the request pursuant to one or more of the exemptions set out in Section 851.210 or 851.220;
Notify the requester that the request is unduly burdensome and extend an opportunity to the requester to attempt to reduce the request to manageable proportions; or
Provide the records requested. (Section 3.1(a) of FOIA)

c) Unless the records are exempt from disclosure, the Agency shall comply with a request within a reasonable period, considering the size and complexity of the request, and giving priority to records requested for non-commercial purposes. (Section 3.1(b) of FOIA)

2 Ill. Adm. Code 851.400 Timeline for Agency Response

a) Except as stated in subsection (b) or (c), the Agency will respond to any written request for records within 5 business days after its receipt of the request. Failure to comply with a written request, extend the time for response, or deny a request within 5 business days after its receipt shall be considered a denial of the request. If the Agency fails to respond to a request within the requisite periods in this subsection (a) but thereafter provides the requester with copies of the requested records, it will not impose a fee for these copies. If the Agency fails to respond to a request received, it will not treat the request as unduly burdensome under Section 851.410. (Section 3(d) of FOIA) A written request from the Agency to provide additional information shall be considered a response to the FOIA request.

b) The time limits prescribed in subsection (a) may be extended for not more than 5 business days from the original due date for any of the following reasons:

The requested records are stored in whole or in part at locations other than the office having charge of the requested records;
The request requires the collection of a substantial number of specified records;
The request is couched in categorical terms and requires an extensive search for the records responsive to it;
The requested records have not been located in the course of routine search and additional efforts are being made to locate them;
The requested records require examination and evaluation by personnel having the necessary competence and discretion to determine if they are exempt from disclosure under Section 7 or 7.5 of FOIA or should be revealed only with appropriate deletions;
The request for records cannot be complied with by the Agency within the time limits prescribed by subsection (a) without unduly burdening or interfering with the operations of the Agency; or
There is a need for consultation, which shall be conducted with all practicable speed, with another public body or among two or more components of a public body having a substantial interest in the determination or in the subject matter of the request. (Section 3(e) of FOIA)

2 Ill. Adm. Code 851.410 Requests for Records That the Agency Considers Unduly Burdensome

2 Ill. Adm. Code 851.420 Recurrent Requesters

a) Notwithstanding any provision of this Part to the contrary, the Agency will respond to a request from a recurrent requester, as defined in Section 851.110, within 21 business days after receipt. The response shall:

provide to the requester an estimate of the time required by the Agency to provide the records requested and an estimate of the fees to be charged, which the Agency may require the person to pay in full before copying the requested documents;
deny the request pursuant to one or more of the exemptions set out in this Part;
notify the requester that the request is unduly burdensome and extend an opportunity to the requester to attempt to reduce the request to manageable proportions; or
provide the records requested.

c) Unless the records are exempt from disclosure, the Agency will comply with a request within a reasonable period considering the size and complexity of the request. (Section 3.2 of FOIA)

2 Ill. Adm. Code 851.430 Requests for Records That Require Electronic Retrieval

a) A request for records that requires electronic retrieval will be treated the same as any other request for records, with the same timeline and extensions as allowed for other records.

b) The Agency will retrieve and provide electronic records only in a format and medium that is available to the Agency.

2 Ill. Adm. Code 851.440 Denials of Requests for Records

a) The Agency will deny requests for records when:

Compliance with the request would unduly burden the Agency, as determined pursuant to Section 851.410, and the requester has not reduced the request to manageable proportions; or
The records are exempt from disclosure pursuant to Section 7 or 7.5 of FOIA or Section 851.210 or 851.220 of this Part.

b) The denial of a request for records must be in writing.

The notification shall include a description of the records denied; the reason for the denial, including a detailed factual basis for the application of any exemption claimed; and the names and titles or positions of each person responsible for the denial (Section 9(a) of FOIA);
Each notice of denial shall also inform such person of the right to review by the Public Access Counselor and provide the address and phone number for the Public Access Counselor (Section 9(a) of FOIA); and
When a request for records is denied on the grounds that the records are exempt under Section 7 or 7.5 of FOIA, the notice of denial shall specify the exemption claimed to authorize the denial and the specific reasons for the denial, including a detailed factual basis and a citation to the supporting legal authority (Section 9(b) of FOIA).

d) If the Agency has given written notice pursuant to Section 851.400(d), failure to respond to a written request within the time permitted for extension may be treated as a denial for purposes of the right to review by the Public Access Counselor.

2 Ill. Adm. Code 851.450 Requests for Review of Denials - Public Access Counselor

e) The requester may, but is not required to, respond in writing to the answer within 7 business days and shall provide a copy of the response to the Agency. (Section 9.5(d) of FOIA)

g) A binding opinion from the Attorney General shall be binding upon both the requester and the Agency, subject to administrative review under Section 851.470. (Section 9.5(f) of FOIA)

i) Upon receipt of a binding opinion concluding that a violation of FOIA has occurred, the Agency will either take necessary action immediately to comply with the directive of the opinion or shall initiate administrative review under Section 851.470. If the opinion concludes that no violation of FOIA has occurred, the requester may initiate administrative review under Section 851.470. (Section 9.5(f) of FOIA)

k) If the requester files suit under Section 851.460 with respect to the same denial that is the subject of a pending request for review, the requester shall notify the Public Access Counselor. (Section 9.5(g) of FOIA)

2 Ill. Adm. Code 851.460 Circuit Court Review

2 Ill. Adm. Code 851.470 Administrative Review

A binding opinion issued by the Attorney General shall be considered a final decision of an administrative agency, for purposes of administrative review under the Administrative Review Law [735 ILCS 5/Art. III]. An action for administrative review of a binding opinion of the Attorney General shall be commenced in Cook County or Sangamon County. An advisory opinion issued to the Agency shall not be considered a final decision of the Attorney General for purposes of this Section. (Section 11.5 of FOIA)

2 Ill. Adm. Code 851.500 Inspection and Copy of Records

a) The Agency may make available records for personal inspection at the Agency's Springfield, office located at 1301 Concordia Court, Springfield IL 62702, the Chicago office located at the James R. Thompson Center, 100 W. Randolph Street, Chicago IL 60601 or the Marion office located at 2309 W. Main Street, Marion IL 62959, or at another location agreed to by both the Agency and the requester. No original record shall be removed from State-controlled premises except under constant supervision of the agency responsible for maintaining the record. The Agency may provide records in duplicate forms, including, but not limited to, paper copies, data processing printouts, videotape, microfilm, audio tape, reel to reel microfilm, photographs, computer disks and diazo.

c) A requester may inspect records by appointment only, scheduled subject to space availability. The Agency will schedule inspection appointments to take place during normal business hours Monday through Friday, exclusive of State holidays. If the requester must cancel the viewing appointment, the requester shall so inform the Agency as soon as possible before the appointment.

d) In order to maintain routine Agency operations, the requester may be asked to leave the inspection area for a specified period of time.

e) The requester will have access only to the designated inspection area.

f) Requesters shall not be permitted to take briefcases, folders or similar materials into the room where the inspection takes place. An Agency employee may be present during the inspection.

g) The requester shall segregate and identify the documents to be copied during the course of the inspection.

2 Ill. Adm. Code 851.510 Fees for Records

a) In accordance with Section 851.520, unless a fee is otherwise fixed by statute, the Agency will provide copies of records and certifications of records in accordance with the fee schedule set forth in Appendix A.

c) In order to expedite the copying of records that the Agency cannot copy, due to the volume of the request or the operational needs of the Agency, in the timelines established in Section 851.400, the requester may provide, at the requester's expense, the copy machine, all necessary materials, and the labor to copy the public records at the Agency headquarters listed in Section 851.500, or at another location agreed to by both the Agency and the requester. No original record shall be removed from State-controlled premises except under constant supervision of the agency responsible for maintaining the record.

d) Copies of records will be provided to the requester only upon payment of any fees due. The Agency may charge the requester for the actual cost of purchasing the recording medium, whether disc, diskette, tape or other medium, but the Agency will not charge the requester for the costs of any search for and review of the records or other personnel costs associated with reproducing the records, except as allowed by subsection (f). (Section 6(a) of FOIA) Payment must be by check or money order sent to the Agency, payable to "Treasurer, State of Illinois".

e) If a contractor is used to inspect or copy records, the following procedures shall apply:

The requester, rather than the Agency, must contract with the contractor;
The requester is responsible for all fees charged by the contractor;
The requester must notify the Agency of the contractor to be used prior to the scheduled on-site inspection or copying;
Only Agency personnel may provide records to the contractor;
The Agency must have verification that the requester has paid the Agency, if payment is due, for the copying of the records before providing the records to the contractor; and
The requester must provide to the Agency the contractor's written agreement to hold the records secure and to copy the records only for the purpose stated by the requester.

f) For commercial requests only,the Agency may charge up to $10 for each hour spent by personnel in searching for and retrieving a requested record. No fees shall be charged for the first 8 hours spent by personnel in searching for or retrieving a requested record. The Agency may charge the actual cost of retrieving and transporting public records from an off-site storage facility when the public records are maintained by a third-party storage company under contract with the Agency. If the Agency imposes a fee pursuant to this subsection (f), it must provide the requestor with an accounting of all fees, costs, and personnel hours in connection with the request for public records. (Section 6(f) of FOIA)

2 Ill. Adm. Code 851.520 Reduction and Waiver of Fees

Whether the principal purpose of the request is to disseminate information regarding the health, safety, welfare or legal rights of the general public; and
Whether the principal purpose of the request is personal or commercial benefit. For purposes of this subsection (a), "commercial benefit" shall not apply to requests made by news media when the principal purpose of the request is to access and disseminate information regarding the health, safety, welfare or legal rights of the general public. (Section 6(c) of FOIA)

b) In setting the amount of the waiver or reduction, the Agency will take into consideration the amount of materials requested and the cost of copying them. (Section 6(c) of FOIA)

2 Ill. Adm. Code 851.APPENDIX A Fee Schedule for Duplication and Certification of Records

TYPE OF DUPLICATION

FEE (PER COPY)

Paper copy from original, up to and including 50 copies of black and white, letter or legal sized copies

No charge

Paper copy from original, in excess of 50 copies of black and white, letter or legal sized copies

$.15/page

Paper copy from microfilm original

$.15/page

Microfilm diazo from original

$.50/diazo

VHS video copy of tape

Actual cost of the reproduction

Audio tape copy of tape

Actual cost of the reproduction

CD ROM disk

Actual cost of the reproduction

Photograph from negative

Actual cost of the reproduction

Blueprints/oversized prints

Actual cost of the reproduction

Paper copies in color or in a size other than letter or legal

Actual cost of the reproduction

Certification fee

$1.00/record

NOTE: Expense for delivery other than by First Class U.S. Mail must be borne by the requester.

Chapter IX Department of Financial Institutions

Part 901 Freedom of Information

2 Ill. Adm. Code 901.10 Purpose

Pursuant to the authority set forth by The Freedom of Information Act, these rules are established to accomplish the following purposes:

a) Create a procedure by which the public may request and obtain public records.

b) Support the policy of providing public access to the public records in the possession of the Department of Financial Institutions.

c) Protect legitimate privacy interests and maintain administrative efficiency.

2 Ill. Adm. Code 901.20 Definitions

For the purpose of these rules, all terms used shall have the same meaning and interpretation as in The Freedom of Information Act, with specifics defined as:

a) "FOIA" means The Freedom of Information Act.

b) "Department" means the Department of Financial Institutions.

c) "Freedom of Information Officer" designates the individual responsible for receiving and responding to written requests for public records.

d) "Public Records" are all records, documents and materials having been prepared, or having been or being used, received, possessed or under the control of the Department unless specifically exempt for inspection and copying under the FOIA.

e) "Requestor" means a person who submits a written request for public records in accordance with these rules.

2 Ill. Adm. Code 901.30 Person to Whom Requests Are Submitted

a) Requests for Public Records shall be submitted to the Freedom of Information Officer of the Department.

b) Requests shall be submitted (in writing) to the following address:

Freedom of Information Officer

State of Illinois

Department of Financial Institutions

160 North LaSalle Street, Room 500

Chicago, Illinois 60601.

2 Ill. Adm. Code 901.40 Procedural Requirements

a) Requests shall be made in writing and may be submitted on FOIA request forms as provided by the Department.

b) Requests should provide the following information:

The requestor's full name, address and phone number.
A brief description of the public records sought, being as specific as possible.
The purpose of the request − whether the request is for inspection of public records, copies of public records, etc.

2 Ill. Adm. Code 901.50 Timetable for Department Compliance

a) The Department shall respond to a written request for public records within seven (7) working days after receipt of such by the Freedom of Information Officer.

b) The Department may give notice of an extension of time to comply; however, this time cannot exceed an additional seven (7) working days.

This extension is allowable only for reasons as listed in Section 3(d) of the FOIA.
A notice of extension must state the reasons why, in accordance with terms and conditions of the FOIA, the extension is deemed necessary.

2 Ill. Adm. Code 901.60 Types of Department Responses

a) The Department shall respond to a request for public records as follows:

Approve the request.

A) The Department may provide the materials immediately;

B) The Department may give notice that the materials shall be made available upon payment of reproduction costs; or

C) The Department may give notice of the time and place for inspection of records.

Approve In Part and Deny In Part the Request.
Deny the Request.

A) The Department shall deny the request in writing; however, failure to respond to a written request within seven (7) working days may be considered by the requestor a denial of the request.

B) The Department shall state the reasons for the denial as allowable under terms of the FOIA.

C) The Department shall give notice to the requestor that he/she has a right to appeal to the Director of the Department.

b) The Department shall deny categorical requests creating undue burden on the Department; but only after extending to the requestor an opportunity to confer in an attempt to reduce the request to manageable proportions.

2 Ill. Adm. Code 901.70 Appeal Procedures of a Denied Request

a) A requestor whose request has been denied by the Freedom of Information Officer may appeal the denial to the Director of the Department.

The notice of appeal shall be in writing and sent to:

Director

State of Illinois

Department of Financial Institutions

160 North LaSalle, Room 500

Chicago, Illinois 60601.

The notice of appeal shall include:

A) A copy of the original request.

B) A copy of the denial received by the requestor.

C) A statement of the reasons why the appeal should be granted.

b) The Director shall respond as follows to this appeal within seven (7) working days after receiving notice of appeal (however, failure to respond within allotted time may be considered by the requestor an affirmation of the denial):

The Director shall either affirm the denial; or
The Director shall provide access to the requested public records.

c) A requestor may file suit in Circuit Court for injunctive or declaratory relief where a denial is affirmed by the Director.

2 Ill. Adm. Code 901.80 Fee Schedule for Duplication of Public Records

a) Copies of public records shall be provided to the requester only upon payment of any charges which are due.

b) These charges for copies of public records shall be assessed as follows:

Type of Duplication

Per Copy Charge

Paper Copy from Paper Original

$ .50

Paper Copy from Microfilm Original

$ .75

c) Some records possessed by the Department are in other form than those above – book, computer printout or pamphlet form. A charge may be assessed for these materials based upon the cost of such incurred by the Department.

d) Charges may be waived as follows:

When the requestor is a State Agency;
When the requestor is a Constitutional Officer;
When the requestor is a member of the General Assembly; or
When the Freedom of Information Officer determines that a waiver serves public interest.

2 Ill. Adm. Code 901.90 Inspection of Records at Department Offices

a) Public records will generally be made available for inspection during normal working hours of the Department at the Office of the Freedom of Information Officer. For purposes of convenience, either the Department or the requestor may request that inspection take place in another Department location.

b) Public Records which the requestor wishes to have copies shall be segregated during the course of inspection.

An employee of the Department shall be present throughout the inspection.
During course of inspection, a requestor may be prohibited from bringing bags, brief cases or other containers into the inspection area.

c) All copying of public records will generally be done by Department employees.

2 Ill. Adm. Code 901.100 General Materials Available from the Freedom of Information Officer

The Freedom of Information Officer shall prominently display and make available, at both the Department's Springfield and Chicago locations, to the public at no charge the following:

a) A brief description of the Department's Structure, Purpose, and Budget.

b) A brief description of the means for requesting information and public records.

c) A list of types and categories of public records maintained by the Department.

d) A list of identification and members of any Board, Commission or Council which operates in an advisory capacity to the Department.

2 Ill. Adm. Code 901.APPENDIX A Freedom of Information Request Form

Name of Agency

City

INSTRUCTIONS:

Requestor should fill out the request portion (the top half) and sign the Requestor's Signature block. Send copies 1 and 2 to the Agency. Keep the 3rd copy for references. Send no money at this time. Unless notified otherwise the Agency's response for APPROVED, DENIED or DEFERRED will be sent back within 7 working days after receipt of the form.

Address

Requestor's Name (or business name if applicable)

Date of Request

Phone Number

Street Address

CERTIFICATION REQUESTED YES NO

Requestor's Signature

City

State

Zip

DESCRIPTION OF RECORDS REQUESTED:

REQUESTING COPIES

TO INSPECT RECORDS

AGENCY RESPONSE (REQUESTOR DOES NOT FILL IN BELOW THIS LINE)

APPROVED

The documents requested are enclosed.

The documents will be made available upon payment of copying costs ............................................... $_____________

You may inspect the record at ___________________________________________________________________________

on the date of ______________________.

DENIED

The request creates an undue burden on the public body in accordance with Section 3(f) of the Freedom of Information Act, and we are unable to negotiate a more reasonable request.

The materials requested are exempt under Section 7____ of the Freedom of Information Act for the following reasons:

INDIVIDUAL(S) THAT DETERMINED REQUEST TO BE DENIED

RIGHT TO APPEAL

If desired, submit the attached APPEAL form (No. 2) along with copies of the original REQUEST and reasons for appeal to:

DEFERRED

Request delayed, for the following reasons (in accordance with 3(d) of the DOIA):

You will be notified by the date of ___________________________ as to action taken on your request.

The information required by this form is MANDATORY in order to comply with P.A. 83-1013. Failure to so provide may result in this form not being processed. This form is approved by the Form

Management Center.

FOIA Officer

Date of Reply

IL-001 – 0005 (6/84)

LEGEND FOR REQUESTOR: 1st copy (white) – send to Agency; 2nd copy (yellow) – send to Agency; 3rd copy (pink) – Requestor's copy

2 Ill. Adm. Code 901.APPENDIX B Freedom of Information Appeal Form

Date Appeal Received in State Agency

INSTRUCTIONS:

Requestor should fill out Sections – DESCRIPTION OF RECORDS, and REASONS FOR APPEALING. Send copies 1 and 2 to the Director of the Agency which original request was sent to. (The block for the Agency's name and address is aligned for window envelopes. Please use if appropriate.) Unless notified otherwise the Agency's response will be within 7 working days after receipt of appeal.

Requestor's Name (Or business name if applicable)

Send Appeal To: (Director and Agency)

Street Address

City

State

Zip

City

State

Zip

DESCRIPTION OF RECORDS THAT APPEAL IS BEING MADE FOR:

REASONS FOR APPEALING

DIRECTOR'S RESPONSE TO APPEAL

Noted below is the action I have taken on your appeal from the denial of your request for the above captioned records.

I hereby approve your appeal to the following extent and for the following reasons:

I affirm the denial of your request made by the Freedom of Information Officer.

Note: You are entitled to judicial review of any denial pursuant to Section 11 of the Freedom of Information Act.

The information required by this form is MANDATORY in order to comply with P.A. 83-1013. Failure to so provide may result in this form not being processed. This form is approved by the Forms Management Center.

Director's Signature

Date of Reply

IL001-0006 (6/84)

LEGEND FOR REQUESTOR: 1st copy (white) – send to Agency; 2nd copy (Yellow) – send to Agency; 3rd copy (pink) – Requestor's copy

Chapter X Department of Human Rights

Part 925 Rulemaking and Organization

2 Ill. Adm. Code 925.10 Public Information (repealed)

History

Source: Repealed at 18 Ill. Reg. 525, effective January 4, 1994

2 Ill. Adm. Code 925.110 Rulemaking

Any person may request that the Department promulgate, amend or repeal a rule by submitting a written petition to the Director. The petition shall be to typewritten on standard letter-size paper, shall set forth in particular the rulemaking action desired, and should contain the person's arguments or reasons in support thereof. At least two copies shall be sent or delivered to the Director at the Department's Chicago office. Any petition filed in accordance herewith shall be considered by the Director and the petitioner shall be notified in writing as to its disposition. The Director shall not hear oral arguments or presentations upon such a petition unless clarification of the issues raised therein is desired. If the proposed amendments are approved by the Director, the rulemaking provisions of the Illinois Administrative Procedure Act shall be followed in adopting the amendment.

History

Source: Amended at 18 Ill. Reg. 525, effective January 4, 1994

2 Ill. Adm. Code 925.120 Petition for Rulemaking (repealed)

History

Source: Repealed at 18 Ill. Reg. 525, effective January 4, 1994

2 Ill. Adm. Code 925.210 Structure of the Department

The Department of Human Rights is headed by a Director appointed by the Governor with the advice and consent of the Senate. The Department is organized in four divisions: Administration, Legal, Charge Processing and Compliance. The Department's structure is depicted in Appendix A.

History

Source: Amended at 18 Ill. Reg. 525, effective January 4, 1994

2 Ill. Adm. Code 925.220 Administration Division (repealed)

History

Source: Repealed at 18 Ill. Reg. 525, effective January 4, 1994

2 Ill. Adm. Code 925.230 Legal Division (repealed)

History

Source: Repealed at 18 Ill. Reg. 525, effective January 4, 1994

2 Ill. Adm. Code 925.240 Charge Processing Division (repealed)

History

Source: Repealed at 18 Ill. Reg. 525, effective January 4, 1994

2 Ill. Adm. Code 925.250 Compliance Division (repealed)

History

Source: Repealed at 18 Ill. Reg. 525, effective January 4, 1994

2 Ill. Adm. Code 925.APPENDIX A Organizational Chart

DIRECTOR

Deputy Director

Human Resources

Office of Executive Director for the Commission on Discrimination & Hate Crimes

Administration Division

Charge Processing Division

Fair Housing Division

Legal Division

Institute for Training and Development

Legislative Affairs

Fiscal

Mgt. Operations

Planning

R & D

Intake Investigations

Operations

Mediation

Intake Investigations

Community Relations

(Outreach, Education & Training)

Liaison

Public Contracts

History

Source: Amended at 33 Ill. Reg. 6293, effective April 17, 2009

Part 926 Access to Records of the Department of Human Rights

2 Ill. Adm. Code 926.110 Summary and Purpose

a) This Part states the policy of the Department of Human Rights (Agency) for making its records available for reasonable public inspection while, at the same time, protecting legitimate interests in confidentiality.

b) This Part:

Establishes the following classifications for records in the Agency's possession:

A) Records that shall be disclosed; and

B) Records that shall be withheld from disclosure.

Contains the procedures by which requesters may obtain records in the Agency's possession; and
Contains the procedures for claiming and determining that records submitted to the Agency are exempt from disclosure.

2 Ill. Adm. Code 926.120 Definitions

Terms not defined in this Section shall have the same meaning as in the Freedom of Information Act [5 ILCS 140]. The following definitions are applicable for purposes of this Part:

"Act" means Illinois Human Rights Act [775 ILCS 5].

"Agency" means the Department of Human Rights as established by the Act.

"Charge" means the document alleging a civil rights violation, which is filed with or initiated by the Agency in accordance with Section 7A-102 or 7B-102 of the Act.

to access and disseminate information concerning news and current or passing events;

for articles of opinion or features of interest to the public; or

for the purpose of academic, scientific, or public research or education. (Section 2(c-10) of FOIA)

"Director" means the Director of the Agency.

"FOIA" means the Freedom of Information Act [5 ILCS 140].

"Freedom of Information Officer" or "FOI Officer" means an individual or individuals responsible for receiving and responding to requests for public records.

"Person" means any individual, corporation, partnership, firm, organization or association, acting individually or as a group. (Section 2(b) of FOIA)

"Public Access Counselor" means an individual appointed to that office by the Attorney General under Section 7 of the Attorney General Act [15 ILCS 205].

"Requester" is any person who has submitted to the Agency a written request, electronically or on paper, for records.

2 Ill. Adm. Code 926.210 Investigation Records and Files

a) This Section pertains to oral requests for files and written requests that do not comply with Section 926.420. All contents of files maintained by the Agency pertaining to charges shall be confidential and not subject to public disclosure. The only exceptions are as follows:

The parties to a charge may request permission to inspect portions of a file, pursuant to subsection (b) of this Section, excluding:

A) internal memoranda;

B) work papers and draft documents;

C) fact-finding conference notes and U.S. Equal Employment Opportunity Commission investigator's notes;

D) materials reflecting the deliberative processes, mental impressions, or legal theories and advice of the Agency;

E) material generated in preparation for judicial or administrative proceedings;

F) the identities of confidential witnesses; and

G) documents maintained by the Agency pertaining to conciliation, mediation, or other settlement effort conducted upon any charge, including but not limited to any reports furnished to or prepared by the Agency in connection with conciliation efforts, unless all parties and the Agency agree in writing to disclosure and to the persons to whom they may be disclosed.

If the Director determines that the disclosure of information is in the public interest, at any stage of the proceedings, the Director may authorize release; however, documents that are privileged pursuant to subsection (a)(1) may not be disclosed unless the Director finds in writing that disclosure would be in the public interest.

b) Parties to a charge may inspect materials that are disclosable pursuant to subsection (a)(1) of this Section upon making arrangements with the Agency at any time subsequent to:

Written notification of substantial evidence, notice of default, or notice of dismissal;
Administrative closure; or
Approval of terms of settlement by the Human Rights Commission.

c) During Request for Review proceedings, the Agency's Chief Legal Counsel may inspect the Agency's investigation file, except for documents listed in subsections (a)(1)(A) through (E) and (G) of this Section. The Chief Legal Counsel may review documents listed in subsection (a)(1)(F) of this Section.

d) The Agency may acknowledge publicly the existence of a charge, the names of the parties and the stage of the proceedings at which it is pending.

e) Notwithstanding any other provision of this Section, the Director may assert a privilege with respect to any item available for inspection by a party under this Section if disclosure might jeopardize or prejudice pending proceedings or reveal the identity of a confidential informant, or if such item otherwise qualifies for a privilege against disclosure under applicable law.

2 Ill. Adm. Code 926.220 Training

a) Illinois Department of Human Rights Institute for Training and Development (Training Institute) provides training to governmental as well as to non-governmental entities. The Training Institute course offerings may be found at www2.Illinois.gov/dhr.

b) A request for training may be submitted by telephone, via mail or via e-mail to the Department's Training Institute. The request should state the course desired, the number of anticipated participants in the training and the name of the contact person. The Department's Training Institute will respond to the request for training by providing the cost of training and dates when Department staff is available.

c) The cost for on-site training for non-governmental, for-profit entities with more than 50 employees and not-for-profit entities with more than 50 employees will be $1,050 for a 3-hour training session for up to 35 attendees, plus reimbursement for travel expenses. The cost for on-site training for non-governmental, for-profit entities with 50 employees or fewer will be $500 for a 3-hour training session for up to 35 attendees, plus reimbursement for travel expenses. The Training Institute will charge $5 for each person over 35 attendees. The entity seeking training shall send its payment in the form of certified check, money order or cashier's check payable to "Illinois Department of Human Rights", along with confirmation of the scheduled training date to Illinois Department of Human Rights, Institute for Training and Development, 100 West Randolph Street, Suite 10-100, Chicago IL 60601. The Department may cancel the training if payment is not received 5 business days prior to the scheduled training date.

d) Open-to-the-public training sessions, training for governmental entities and training for not-for-profit entities with 50 or fewer employees are each provided free of charge.

History

Source: Amended at 41 Ill. Reg. 11555, effective August 29, 2017

2 Ill. Adm. Code 926.230 Access by Government Agencies

Nothing in this Part shall preclude the Department from sharing materials in its files with other agencies of federal, state or local government having concurrent jurisdiction, pursuant to such agreements as the Director may approve with such agencies. All such agreements shall be available for public inspection.

2 Ill. Adm. Code 926.240 Copies

The Agency may furnish copies of documents that are available for inspection in accordance with Appendix A of this Part. However, for requests for copies that are not made pursuant to FOIA, as a means of expediting copying of documents, a contractor and a requester may agree to pay fees exceeding those specified in Appendix A.

2 Ill. Adm. Code 926.310 Records That Will Be Disclosed

Upon request meeting the requirements of this Part, the Agency shall disclose to the requester all records requested except that it shall not disclose certain records as provided in Section 926.320 or 926.330. Records covered under this Section shall include, but are not limited to:

a) Records of funds. All records relating to the obligation, receipt and use of public funds of the Agency are records subject to inspection and copying by the public. (Section 2.5 of FOIA)

Court records that are public;
Records that are otherwise available under State or local law; and
Records in which the requesting party is the individual identified, except as provided under Section 926.320(a)(5)(F) of this Part. (Section 2.15(b) of FOIA)

d) Settlement agreements. All settlement agreements entered into by or on behalf of the Agency are records subject to inspection and copying by the public, provided that information exempt from disclosure under Section 926.320 or 926.330 of this Part may be redacted. (Section 2.20 of FOIA)

2 Ill. Adm. Code 926.320 Records That Will Be Withheld from Disclosure

When a request is made to inspect or copy a record that contains information that is otherwise exempt from disclosure under this Section, but also contains information that is not exempt from disclosure, the Agency may elect to redirect the information that is exempt. The Agency shall make the remaining information available for inspection and copying. (Section 7(1) of FOIA)

a) Subject to this requirement and Section 7 of FOIA, the following shall be exempt from inspection and copying:

Information specifically prohibited from disclosure by federal or State law or rules and regulations implementing federal or State law, including investigation reports and documents in an investigation file that would not be disclosed pursuant to a request in accordance with Section 926.210; (Section 7(1)(a) of FOIA)
Private information, unless disclosure is required by another provision of FOIA, a State or federal law or a court order; (Section 7(1)(b) of FOIA)
Files, documents, and other data or databases maintained by one or more law enforcement agencies and specifically designed to provide information to one or more law enforcement agencies regarding the physical or mental status of one or more individual subjects; (Section 7(1)(b-5) of FOIA)
Personal information contained within records, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy, unless the disclosure is consented to in writing by the individual subjects of the information. "Unwarranted invasion of personal privacy" means the disclosure of information that is highly personal or objectionable to a reasonable person and in which the subject's right to privacy outweighs any legitimate public interest in obtaining the information. The disclosure of information that bears on the public duties of public employees and officials shall not be considered an invasion of personal privacy; (Section 7(1)(c) of FOIA)
Records in the possession of any public body created in the course of administrative enforcement proceedings, and any law enforcement or correctional agency for law enforcement purposes, but only to the extent that disclosure would:

A) Interfere with pending or actually and reasonably contemplated law enforcement proceedings conducted by any law enforcement or correctional agency that is the recipient of the request;

B) Interfere with active administrative enforcement proceedings conducted by the public body that is the recipient of the request;

C) Create a substantial likelihood that a person will be deprived of a fair trial or an impartial hearing;

D) Unavoidably disclose the identity of a confidential source, confidential information furnished only by the confidential source, or persons who file complaints with or provide information to administrative, investigative, law enforcement, or penal agencies; except that the Agency will provide traffic accident reports, the identities of witnesses to traffic accidents, and rescue reports, except when disclosure would interfere with an active criminal investigation;

F) Endanger the life or physical safety of law enforcement personnel or any other person; or

G) Obstruct an ongoing criminal investigation by the Agency; (Section 7(1)(d) of FOIA)

Records that relate to or affect the security of correctional institutions and detention facilities; (Section 7(1)(e) of FOIA)
Records requested by persons committed to the Department of Corrections if those materials are available in the library of the correctional facility where the inmate is confined; (Section 7(1)(e-5) of FOIA)
Records requested by persons committed to the Department of Corrections if those materials include records from staff members' personnel files, staff rosters, or other staffing assignment information; (Section 7(1)(e-6) of FOIA)
Records requested by persons committed to the Department of Corrections if those materials are available through an administrative request to the Department of Corrections; (Section 7(1)(e-7) of FOIA)
Preliminary drafts, notes, recommendations, memoranda and other records in which opinions are expressed, or policies or actions are formulated, except that a specific record or relevant portion of a record shall not be exempt when the record is publicly cited and identified by the head of the Agency. The exemption provided in this subsection (a)(10) extends to all those records of officers and agencies of the General Assembly that pertain to the preparation of legislative documents; (Section 7(1)(f) of FOIA)
Trade secrets and commercial or financial information obtained from a person or business where the trade secrets or commercial or financial information are furnished under a claim that they are proprietary, privileged or confidential, and that disclosure of the trade secrets or commercial or financial information would cause competitive harm to the person or business, and only insofar as the claim directly applies to the records requested. All trade secrets and commercial or financial information obtained by a public body, including a public pension fund, from a private equity fund or a privately held company within the investment portfolio of a private equity fund as a result of either investing or evaluating a potential investment of public funds in a private equity fund. The exemption contained in this subsection (a)(11) does not apply to the aggregate financial performance information of a private equity fund, nor to the identity of the fund's managers or general partners. The exemption contained in this subsection (a)(11) does not apply to the identity of a privately held company within the investment portfolio of a private equity fund, unless the disclosure of the identity of a privately held company may cause competitive harm. Nothing in this subsection (a)(11) shall be construed to prevent a person or business from consenting to disclosure; (Section 7(1)(g) of FOIA)
Proposals and bids for any contract, grant, or agreement, including information that if it were disclosed would frustrate procurement or give an advantage to any person proposing to enter into a contract or agreement with the body, until an award or final selection is made. Information prepared by or for the body in preparation of a bid solicitation shall be exempt until an award or final selection is made; (Section 7(1)(h) of FOIA)
Valuable formulae, computer geographic systems, designs, drawings and research data obtained or produced by the Agency when disclosure could reasonably be expected to produce private gain or public loss. The exemption for "computer geographic systems" provided in this subsection (a)(13) does not extend to requests made by news media as defined in Section 926.120 when the requested information is not otherwise exempt and the only purpose of the request is to access and disseminate information regarding the health, safety, welfare or legal rights of the general public; (Section 7(1)(i) of FOIA)
The following information pertaining to educational matters:

A) Test questions, scoring keys, and other examination data used to administer an academic exam;

B) Information received by a primary or secondary school, college, or university under its procedure for the evaluation of faculty members by their academic peers;

C) Information concerning a school's or university's adjudication of student disciplinary cases, but only to the extent that disclosure would unavoidably reveal the identity of the student; and

D) Course materials or research materials used by faculty members; (Section 7(1)(j) of FOIA)

Architects' plans and engineers' technical submissions, and other construction related technical documents for projects not constructed or developed in whole or in part with public funds and for projects constructed or developed with public funds, including but not limited to power generating and distribution stations and other transmission and distribution facilities, water treatment facilities, airport facilities, sport stadiums, convention centers, and all government owned, operated, or occupied buildings, but only to the extent that disclosure would compromise security; (Section 7(1)(k) of FOIA)
Minutes of meetings of public bodies closed to the public as provided in the Open Meetings Act [5 ILCS 120] until the public body makes the minutes available to the public under Section 2.06 of the Open Meetings Act; (Section 7(1)(l) of FOIA)
Communications between the Agency and an attorney or auditor representing the Agency that would not be subject to discovery in litigation, and materials prepared or compiled by or for the Agency in anticipation of a criminal, civil or administrative proceeding upon the request of an attorney advising the Agency, and materials prepared or compiled with respect to internal audits of the Agency; (Section 7(1)(m) of FOIA)
Records relating to the Agency's adjudication of employee grievances or disciplinary cases; however, this exemption shall not extend to the final outcome of cases in which discipline is imposed; (Section 7(1)(n) of FOIA)
Administrative or technical information associated with automated data processing operations, including but not limited to software, operating protocols, computer program abstracts, file layouts, source listings, object modules, load modules, user guides, documentation pertaining to all logical and physical design of computerized systems, employee manuals, and any other information that, if disclosed, would jeopardize the security of the system or its data or the security of materials exempt under this Section; (Section 7(1)(o) of FOIA)
Records relating to collective negotiating matters between the Agency and its employees or representatives, except that any final contract or agreement shall be subject to inspection and copying; (Section 7(1)(p) of FOIA)
Test questions, scoring keys, and other examination data used to determine the qualifications of an applicant for a license or employment; (Section 7(1)(q) of FOIA)
The records, documents and information relating to real estate purchase negotiations until those negotiations have been completed or otherwise terminated. With regard to a parcel involved in a pending or actually and reasonably contemplated eminent domain proceeding under the Eminent Domain Act [735 ILCS 30], records, documents and information relating to that parcel shall be exempt except as may be allowed under discovery rules adopted by the Illinois Supreme Court. The records, documents and information relating to a real estate sale shall be exempt only until a sale is consummated; (Section 7(1)(r) of FOIA)
Any and all proprietary information and records related to the operation of an intergovernmental risk management association or self-insurance pool or jointly self-administered health and accident cooperative or pool. Insurance or self-insurance (including any intergovernmental risk management association or self-insurance pool) claims, loss or risk management information, records, data, advice or communications; (Section 7(1)(s) of FOIA)
Information contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an Agency responsible for the regulation or supervision of financial institutions or insurance companies, unless disclosure is otherwise required by State law; (Section 7(1)(t) of FOIA)
Information that would disclose or might lead to the disclosure of secret or confidential information, codes, algorithms, programs or private keys intended to be used to create electronic or digital signatures under the Electronic Commerce Security Act [5 ILCS 175]; (Section 7(1)(u) of FOIA)
Vulnerability assessments, security measures, and response policies or plans that are designed to identify, prevent, or respond to potential attacks upon a community's population or systems, facilities, or installations, the destruction or contamination of which would constitute a clear and present danger to the health or safety of the community, but only to the extent that disclosure could reasonably be expected to jeopardize the effectiveness of the measures or the safety of the personnel who implement them or the public. Information exempt under this subsection (a)(26) may include such things as details pertaining to the mobilization or deployment of personnel or equipment, to the operation of communication systems or protocols, or to tactical operations; (Section 7(1)(v) of FOIA)
Maps and other records regarding the location or security of generation, transmission, distribution, storage, gathering, treatment, or switching facilities owned by a utility, by a power generator, or by the Illinois Power Agency; (Section 7(1)(x) of FOIA)
Information contained in or related to proposals, bids, or negotiations related to electric power procurement under Section 1-75 of the Illinois Power Agency Act [20 ILCS 3855] and Section 16-111.5 of the Public Utilities Act [220 ILCS 5] that is determined to be confidential and proprietary by the Illinois Power Agency or by the Illinois Commerce Commission; (Section 7(1)(y) of FOIA)
Information about students exempted from disclosure under Section 10-20.38 or 34-18.29 of the School Code, and information about undergraduate students enrolled at an institution of higher education exempted from disclosure under Section 25 of the Illinois Credit Card Marketing Act of 2009 [110 ILCS 26]; (Section 7(1)(z) of FOIA)
Information the disclosure of which is exempted under the Viatical Settlements Act of 2009 [215 ILCS 159]; (Section 7(1)(aa) of FOIA)
Records and information provided to the mortality review team and records maintained by mortality review team appointed under the Department of Juvenile Justice Mortality Review Team Act [730 ILCS 195]. (Section 7(1)(bb) of FOIA)
Information regarding interments, entombments, or inurnments of human remains that are submitted to the Cemetery Oversight Database under the Cemetery Care Act [760 ILCS 100] or the Cemetery Oversight Act [225 ILCS 411], whichever is applicable. (Section 7(1)(cc) of FOIA)
Correspondence and records that may not be disclosed under Section 11-9 of the Public Aid Code or that pertains to appeals under Section 11-8 of the Public Aid Code [305 ILCS 5]. (Section 7(1)(dd) of FOIA)
The names addresses, or other personal information of persons who are minors and are also participants and registrants in programs of park districts, forest preserve districts, conservation districts, recreation agencies, and special recreation associations. (Section 7(1)(ee) of FOIA)
The names, addresses, or other personal information of participants and registrants in programs of park districts, forest preserve districts, conservation districts, recreation agencies, and special recreation associations where such programs are targeted primarily to minors. (Section 7(1)(ff) of FOIA)
Confidential information described in Section 1-100 of the Illinois Independent Tax Tribunal Act of 2012 [35 ILCS 1010]. (Section 7(1)(gg) of FOIA)

2 Ill. Adm. Code 926.330 Statutory Exemptions