Title 56 Ill. Adm. Code — Labor and Employment

Chapter I Department of Labor

Subchapter a General Administrative Rules

Part 100 Prevailing Wage Hearing Procedures

56 Ill. Adm. Code 100.5 Applicability

This Part shall apply to all hearings conducted by this Department of Labor under Section 11a of the Prevailing Wage Act [820 ILCS 130/11a] (the Act) for purposes of debarring a contractor or subcontractor from contracting for public works as defined in the Act for a four year period. Such debarment is automatic after the contractor or subcontractor has received notice of a second violation of the Act within five years from the date of the notice of first violation, unless within 10 working days after receipt of the notice of a second violation he/she requests a hearing in writing in accordance with this Part.

History

• Source: Amended at 30 Ill. Reg. 16293, effective September 26, 2006

56 Ill. Adm. Code 100.10 Policy

All hearings shall be conducted in the most economic, expeditious and reasonable manner that is in accordance with Illinois law and the Department's Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120).

History

• Source: Amended at 30 Ill. Reg. 16293, effective September 26, 2006

56 Ill. Adm. Code 100.20 Applicability

History

• Source: Renumbered to Section 100.5 at 14 Ill. Reg. 13608, effective August 9, 1990

56 Ill. Adm. Code 100.22 Definitions

"Accurate records" means the payroll records required to be filed with the public body in charge of the project as required by Section 5 of the Act. Accurate records shall also mean the hourly rate paid for fringe benefits, including pension, health and welfare, training and vacations, and a designation of whether such fringe benefits were paid into a fund or paid directly to the employee.

"Act" means the Prevailing Wage Act [820 ILCS 130].

"Construction manager" includes, but is not limited to, the contractor, subcontractor or anyone overseeing any project covered by the Act for purposes of the posting requirement.

"Contract" means an agreement either written or oral or otherwise as agreed to between the parties.

"Decision" means that the Department has determined that a violation has occurred that warrants the Director or the Director's designee to issue a notice of violation to a contractor or subcontractor. Each specific finding listed in the notice of violation is a separate "Decision" that the Act has been violated.

"Director" means the Director of the Illinois Department of Labor or, at the Director's discretion, the Director's designee, deputy or agent.

"Employee", for purposes of the Act and this Part, means laborers, mechanics and other workers employed in any public works, as defined and covered under the Act, by anyone under contracts for public works.

"Employer", for purposes of the Act and this Part, means contractors and/or subcontractors who perform public works projects subject to the Act.

"Notice of second violation" is a notice issued by the Department advising a contractor or subcontractor that a violation as defined in this Section has occurred within five years from the date of the notice of first violation.

"Notice of violation" means the formal written notice to a contractor or subcontractor that the Department has made a decision that the contractor or subcontractor has violated the Act.

"Prevailing hourly rate of wages" means the hourly cash wages plus fringe benefits for health and welfare, insurance, training, vacations and pensions paid most frequently (numerically most occurring), in the county in which the public works is performed, to employees engaged on public works, as determined by the public body awarding the contract or the most recent revision as determined by the Department of Labor effective prior to the date when the contract was let for bids or, if not let for bids, when executed; and all revisions by the Illinois Department of Labor when effected.

"Violation" means a written decision by the Department that a contractor or subcontractor has: failed or refused to pay the prevailing wage to one or more laborers, workers, or mechanics under a single contract or subcontract as required by Section 3 of the Act; failed to keep accurate records as required by the Act or this Part; failed to produce to the Department accurate records or records not in compliance with the provisions of Section 6 of the Act; refused to submit records to the Department in response to a subpoena issued in accordance with Section 10 of the Act; refused to comply with the certified payroll provision of Section 5 of the Act; refused the Department access, at any reasonable hour or at any location designated by the Department, to inspect the contractor's or subcontractor's certified records and other records as required by the Act or this Part; failed to insert into each subcontract or lower tiered subcontract and into the project specifications for each subcontract or lower tiered subcontract a written stipulation that not less than the prevailing rate of wages be paid as required by Section 4 of the Act; or the contractor failed to obtain a bond that guarantees the faithful performance of the prevailing wage clause in the contract. A violation also means a written decision by the Department that a contractor or construction manager failed to post at a location on the project site of the public works the prevailing wage rates as required by Section 4 of the Act.

History

• Source: Amended at 30 Ill. Reg. 16293, effective September 26, 2006

56 Ill. Adm. Code 100.24 Notice of Violation

a) After receipt of a complaint or on the Department's initiative, the Director shall review the investigative file to determine whether there has been a violation or violations of which the contractor or subcontractor must be given notice. All information and observations made during an audit, investigation or survey shall be considered and shall constitute the basis for the Department's decision that the Act has been violated and that a notice of violation shall be issued. The notice of violation shall identify the specific violations of the Act.

b) The notice of violation shall state the amount of monies estimated due by the Department to be in controversy based on reasons contained in the investigation file.

c) In making a decision that a contractor or subcontractor has failed to allow the Director access to accurate payroll records, the Director shall rely on the information contained in the investigative file, the certified payroll records filed with the public body in charge of the project or any other information and shall assess a separate violation for each day worked by each worker on the subject project. Each decision of a separate violation under Section 5 of the Act shall be listed in the notice of violation.

d) In deciding that the Act has been violated and that the issuance of a notice of violation is required, the Director shall base the decision on one or any combination of the following reasons:

1. The severity of the violations. The Director will consider the following:

A) The amount of wages that are determined to be underpaid pursuant to the Act.

B) The activity or conduct complained of violates the requirements of the statute and was not merely a technical, non-substantive error. Examples of a technical error include, but are not limited to, a mathematical error, bookkeeping error, transposition of numbers, or computer or programming error.

2. The nature and duration of the present violations as well as prior history of the contractor or the subcontractor related to the Act. The prior history considered cannot exceed seven years before the date of the second notice of violation.

3. Whether the contractor or subcontractor filed certified payroll records with the public body in charge of the project; whether the contractor or subcontractor has kept the payroll records and accurate records for 3 years; whether the contractor or subcontractor produced certified payroll records in accordance with Section 5 of the Act.

4. Whether the contractor or subcontractor has violated any other provision of the Act.

e) The notices of the first and second violations shall be sent by the Department by certified mail, deposited in the United States mail, postage prepaid, addressed to the last known address of the persons, partnerships, associations, or corporations involved. Said notices shall contain a reference to the specific Sections of the Act or this Part alleged to have been violated; identify the particular public works project involved; the conduct complained of; an identification as to first or second notice and a statement of remedies available to the contractor or subcontractor and Department.

History

• Source: Amended at 30 Ill. Reg. 16293, effective September 26, 2006

56 Ill. Adm. Code 100.26 Initiation of Hearing

a) Request for Hearing for Notice of Second Violation. A hearing shall be initiated upon the request of a contractor or subcontractor after he/she has received the notice of a second violation of the Act within five years from the date of the notice of first violation. Such request must be in writing and mailed by certified mail or delivered in person to the Department within 10 working days after receipt of the notice of the second violation. Failure to request a hearing as required by this Section will result in the contractor or subcontractor, its directors, officers, agents, representatives or other controlling persons acting through or on their behalf from being awarded any contracts for public works for four years.

b) Hearings shall be conducted pursuant to the Department's Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120).

History

• Source: Amended at 30 Ill. Reg. 16293, effective September 26, 2006

56 Ill. Adm. Code 100.28 Debarments

56 Ill. Adm. Code 100.30 Notice of Hearing (repealed)

History

• Source: Repealed at 30 Ill. Reg. 16293, effective September 26, 2006

56 Ill. Adm. Code 100.40 Intervention (repealed)

History

• Source: Repealed at 30 Ill. Reg. 16293, effective September 26, 2006

56 Ill. Adm. Code 100.50 Postponement or Continuance of Hearing (repealed)

History

• Source: Repealed at 30 Ill. Reg. 16293, effective September 26, 2006

56 Ill. Adm. Code 100.60 Hearing Examiner; Power and Duties (repealed)

History

• Source: Repealed at 30 Ill. Reg. 16293, effective September 26, 2006

56 Ill. Adm. Code 100.70 Pre-Hearing Conference (repealed)

History

• Source: Repealed at 30 Ill. Reg. 16293, effective September 26, 2006

56 Ill. Adm. Code 100.80 Consent Findings and Rules or Orders (repealed)

History

• Source: Repealed at 30 Ill. Reg. 16293, effective September 26, 2006

56 Ill. Adm. Code 100.90 Discovery (repealed)

History

• Source: Repealed at 30 Ill. Reg. 16293, effective September 26, 2006

56 Ill. Adm. Code 100.100 Hearing (repealed)

History

• Source: Repealed at 30 Ill. Reg. 16293, effective September 26, 2006

56 Ill. Adm. Code 100.110 Hearing Examiner's Decision (repealed)

History

• Source: Repealed at 30 Ill. Reg. 16293, effective September 26, 2006

56 Ill. Adm. Code 100.120 Judicial Review (repealed)

History

• Source: Repealed at 30 Ill. Reg. 16293, effective September 26, 2006

Part 110 Arbitration Policies, Functions, and Procedures

56 Ill. Adm. Code 110.10 Scope and Authority

This Part is issued by the Illinois Department of Labor under the Labor Arbitration Services Act [710 ILCS 10] (the Act). The Part applies to all arbitrators listed on the Department's Illinois Arbitration Service (IAS) Roster of Arbitrators, to all applicants for listing on the Roster, and to all persons or parties seeking to obtain from IAS either names or panels of names of Arbitrators listed on the Roster in connection with disputes which are to be submitted to arbitration or fact-finding.

History

• Source: Amended at 25 Ill. Reg. 7211, effective May 21, 2001

56 Ill. Adm. Code 110.20 Policy

a) The labor policy of the State of Illinois is designed to promote the settlement of issues between employers and represented employees through the processes of collective bargaining and voluntary arbitration. This policy encourages the use of voluntary arbitration to resolve disputes over the interpretation or application of collective bargaining agreements. Voluntary arbitration and fact-finding in disputes and disagreements over establishment or modification of contract terms are important features of constructive labor-management relations, as alternatives to economic strife in the settlement of disputes.

b) Additionally, it is the policy of the State to promote expeditious resolution of private employment contract disputes between an employer and employee, to provide to the judicial branch of government means of alternative resolution of suits regarding the interpretation or application of collective bargaining agreements or private employment contracts, and in general to offer these voluntary mechanisms of dispute resolution as needed by both the private and public sector of the economy.

56 Ill. Adm. Code 110.30 Administrative Responsibilities

a) Director: The Director of the Illinois Department of Labor has ultimate responsibility for all aspects of IAS arbitration and fact-finding activities (hereafter referred to as "arbitration") and is the final administrative authority on all questions concerning the Roster or IAS arbitration procedures.

b) Illinois Arbitration Service: The Illinois Arbitration Service maintains, subject to the Director's authority and instruction, a Roster of Arbitrators (the "Roster"); administers Sections 110.70 through 110.150 of this Part; assists, promotes, and cooperates in the establishment of programs for training and developing new arbitrators and fact-finders (hereafter termed "arbitrators"); collects information and statistics concerning the arbitration function, and performs other tasks in conjunction with the function that may be assigned by the Director.

c) Arbitrator Review Board:

1. The Arbitrator Review Board (the "Board") shall consist of a presiding officer and such members and alternate members as the Director may appoint, and who shall serve at the Director's pleasure and may be removed at any time. The Board shall be composed entirely of full-time officers or employees of the Illinois Department of Labor. The Board shall establish its own procedures for carrying out its duties.

2. Duties of the Board. The Board shall:

A) Review the qualifications of all applicants for listing on the Roster, interpreting and applying the criteria set forth in Section 110.50;

B) Review the status of all persons whose continued eligibility for listing on the Roster has been questioned under Section 110.50;

C) Make recommendations to the Director regarding acceptance or rejection of applicants for listing on the Roster, or regarding withdrawal of listing on the Roster for any of the reasons set forth herein.

56 Ill. Adm. Code 110.40 Roster of Arbitrators; Admission and Retention

a) The Roster: The IAS shall maintain a Roster of labor arbitrators consisting of persons who meet the criteria for listing contained in Section 110.50(a) and (b) and whose names have not been removed from the Roster in accordance with Section 110.50(b)(4).

b) Adherence to Standards and Requirements: Persons listed on the Roster shall comply with this Part and with any written instructions or forms provided to them in accordance with Sections 110.70 through 110.150. Arbitrators are also expected to conform to the ethical standards and procedures set forth in the Code of Professional Responsibility for Arbitrators of Labor Management Disputes, as approved by the Joint Steering Committee of the National Academy of Arbitrators (May 30, 1996, no subsequent dates or editions). Copies are available at the Department of Labor's Springfield office. Copies may also be obtained at <http://www.igc.org/naarb/ethics.html.

c) Status of Arbitrators: Persons who are listed on the Roster and are selected or appointed to hear arbitration matters or to serve as fact-finders do not become employees of the State of Illinois or the parties by virtue of their selection or appointment. Following selection or appointment, the arbitrator's relationship is solely with the parties to the dispute, except that arbitrators are subject to certain reporting requirements and to standards of conduct as set forth in this Section.

d) Role of IAS. IAS has no power to:

1. Compel parties to arbitrate or agree to arbitration;

2. Enforce an agreement to arbitrate;

3. Compel parties to agree to a particular arbitrator, except where the collective bargaining agreement indicates that IAS is to select and assign the particular panel rather than submit a roster and in the judgment of IAS the particular arbitrator assigned does not appear to be in a conflict of interest under either Section 110.50 or Section 110.60 of this Part.

e) Nominations and Panels: On request of the parties to an agreement to arbitrate or engage in fact-finding, or where arbitration or fact-finding may be provided for by statute, or as a court may request, IAS will provide a name or a panel of names drawn from the Roster. Where an agreement specifies only that the Service is to provide arbitration or an arbitrator, the Service shall designate one named arbitrator. The provision of a named arbitrator or a panel of arbitrators shall be without charge if pursuant to a request of court or if pursuant to a collective bargaining agreement or private employment agreement executed prior to July 1, 1987. In all other instances an application fee shall be charged as determined by the Director during the period during which the request is made to the Service pursuant to Section 110.130(a). Procedures for obtaining these services are in Section 110.70. Neither the submission of a nomination or panel nor the appointment of an arbitrator constitutes a determination by IAS that an agreement to arbitrate or enter fact-finding proceedings exists; nor does such action constitute a ruling that the matter in controversy is arbitrable under any agreement.

f) Rights of Person Listed on the Roster: No person, including any employee of the Illinois Department of Labor, shall have any right to be listed or to remain listed on the Roster. The Department of Labor retains authority, ultimately subject to the Director's authority, to assure that the needs of the parties using its facilities are served. To accomplish this purpose it may establish procedures for the preparation of panels or the appointment of arbitrators or fact-finders which include consideration of such factors as background, experience, availability, acceptability to possible parties, geographical location and the expressed preferences of the parties. (Reference Section 110.90, Nominations and Designations of Arbitrators)

History

• Source: Amended at 25 Ill. Reg. 7211, effective May 21, 2001

56 Ill. Adm. Code 110.50 Listing on the Roster; Criteria for Listing and Retention

a) Persons presently utilized by the Service as arbitrators who are employees of the Illinois Department of Labor may continue to perform such work and be placed on the Roster as their supervisors permit and as their workload dictates, subject to removal as set out in this part. Persons who are or later become employees of the Department of Labor may be considered for placement on the Roster subject to these provisions and the consent of their supervisors and their work requirements.

b) Both future Department employees and private ad hoc persons who seek to be listed on the Roster must complete and submit an application form which may be obtained from the Illinois Arbitration Service. Upon receipt of an executed form, IAS will review the application, assure that it is complete, make inquiries as to references, institutions of training and written decisions, and submit the application to the Arbitrator Review Board. The Board will review the completed applications under the criteria set forth in subsection (1), (2) and (3) of this section, and forward to the Director its recommendation on each applicant. The Director makes all final decisions as to whether an applicant may be listed as set out in this application and the inquiries made. Each applicant shall be notified in writing of the Director's decision and the reasons therefore. The IAS may, with the approval of the Director, determine periods of time during which applications may be made, such application-periods to be initiated when the Roster-complement appears to be in danger of generating delays in hearings, whether as to the total case load or that within some industry or particular geographic area. In instances where additions to the Roster are sought due to case loads within a geographic area or industry, applications may be limited to services within that area or industry.

1. General Criteria: Applicants for the Roster will be listed on the Roster subject to the above general provision upon a determination that they:

A) Are experienced, competent and acceptable in decision-making roles in the resolution of labor relations disputes; or

B) Have extensive experience in relevant positions in collective bargaining and have had adequate training to facilitate acting in a decision-making role in the resolution or labor relations disputes; and

C) Are capable of conducting an orderly hearing, can analyze testimony and exhibits and can prepare clear and concise findings and awards within reasonable time limits; and

D) Possess the factors of background and experience, availability, acceptability, geographical location and the expressed preferences of the parties, or a combination thereof, which demonstrate that inclusion on the Roster will lead to a useful role in resolving disputes.

2. Proof of Qualification: The qualifications listed in subsection (1) above of this section are preferably demonstrated by the submission of actual arbitration awards prepared by the applicant while serving as an impartial arbitrator chosen by the parties to disputes. Equivalent experience acquired in training, internship or other development programs, or experience such as that acquired as a hearing officer or judge in labor relations controversies shall also be considered by the Board. A suitable background as an advocate in the presentation and preparation of cases in dispute as documented in briefs, combined with a reputation of fairness as an advocate and a recommendation(s) from a neutral(s) who has heard the applicant before him in a labor-management dispute and who believes the advocate could conduct fair and impartial hearings and resolutions, combined with training, internship or other development programs, shall also be considered by the Board.

3. Conflict of Interest; Advocacy: An arbitrator may not act as an arbitrator as to disputes in which an employee organization or employer is involved for which he performs services or through which directly or indirectly he receives income. Thus, for example, a person on the Roster may not act as Arbitrator in a dispute which involves a labor organization or employer for which he performs services or which refers to him individuals for whom he performs services. Similarly, a person on the Roster cannot act as an arbitrator in any dispute as to which a person with whom he is directly associated (such as a partner or employee of a law firm) would be prohibited as acting as an arbitrator were he on the Roster. A person receiving a pension from a labor organization or its affiliate or from an employer or its affiliates or subsidiaries is similarly prohibited from acting as an arbitrator in a dispute involving that labor organization or employer. It is expected that any individual who has relationships which might, in some future dispute, result in a prohibition as described in this subsection will disclose such relationships to the IAS and Board and that his biographical data furnished to parties will bear such information. No person who was or is listed on the Roster at any time who fails to divulge advocacy or conflicts of interest of this nature at that time or as they thereafter arise may continue to be listed. The Service may restrict the panels on which a person may appear to avoid the appearance of conflicts of interest.

4. Duration of Listing, Retention: Initial listing may be for a period not to exceed three years, and may be renewed thereafter for periods not to exceed two years, provided upon review that the listing is not cancelled by the Director as set forth below. Department of Labor employees may be removed at any time upon request of their supervisor due to work requirements. Notice of cancellation may be given to the member whenever the member:

A) No longer meets the criteria for admission as set out in subsections (1)-(3) of this Section as determined by his performance and awards made pursuant to this Part;

B) Has been repeatedly and flagrantly delinquent in submitting awards as specified in Section 110.120;

C) Has refused to make reasonable and periodic reports to IAS, as required in Sections 110.70 through 110.150, concerning activities pertaining to arbitration;

D) Has been the subject of complaints by parties who use IAS facilities, and the Director, after consulting with the member's supervisor, concludes that just cause for cancellation has been shown;

E) Is determined by the Director to be unacceptable to a substantial number of parties who use IAS arbitration facilities. The Director shall base a determination of unacceptability on the IAS records showing the number of times the arbitrator's name has been proposed to the parties and the number of times it has been selected.

5. The determination of whether to give notice will be based upon the severity of the violation(s); the number of violations; the damage to the credibility and efficiency of the IAS and the arbitration process as exemplified by the inability of the IAS to maintain timely records and fewer parties using the service; the pecuniary harm to the parties.

6. No listing may be cancelled without at least sixty (60) days notice of the reasons for the proposed removal. An arbitrator's listing will be suspended without notice pending a final decision if the credibility of the IAS and the arbitration process would be damaged or if a party would suffer pecuniary harm. The member shall have an opportunity to submit a written response showing why the listing should not be cancelled and/or to request the appointment of a hearing officer. The Director shall appoint a hearing officer upon a member's request or if the director is unable to conduct his own own inquiry. The hearing officer shall conduct an inquiry into the facts of any proposed cancellation by consulting with the member, the member's supervisor and reviewing awards and related materials prepared by the member. The hearing officer shall make a recommendation to the Director who will make a final decision based upon the findings of the hearing officer.

7. Suspension: During the time a member is listed on the Roster it may occur that certain automatic reasons for suspension come about. Such suspensions shall last only for the length of the reason for the suspension, and the duration of the members' listing shall be extended thereafter so as ensure that the working duration of the listing remains unchanged. An automatic suspension occurs when a member who is an employee of the Department is removed from the Roster due to his supervisor's request based on work requirements. An automatic suspension occurs on request of a member due to health or occupational reasons or temporary unavailability. An automatic suspension also occurs when a member is appearing as a party or representative of a party in a matter before the Department or before a court or appears as a representative of the Department in such a matter, except for Department employees.

56 Ill. Adm. Code 110.60 Freedom of Choice

Nothing contained herein should be construed to limit the rights of parties who use IAS arbitration facilities jointly to select any arbitrator or arbitration procedure acceptable to them.

56 Ill. Adm. Code 110.70 Procedures for Arbitration Services

The Illinois Arbitration Service has been delegated the responsibility for administering all requests for arbitration services under this part.

a) The IAS will designate an Arbitrator to a dispute upon request by the parties or a request pursuant to an agreement which does not require the IAS to provide a panel. Where such an agreement was executed prior to July 1, 1987, the IAS will designate an employee of the Department who is on the Roster.

b) The IAS will refer a panel of arbitrators to the parties upon a request or a request pursuant to an agreement that calls for the IAS to provide a panel. Where an agreement was executed prior to July 1, 1987, the names on the panel will consist of employees of the Department.

c) The IAS prefers to act upon a joint request which should be addressed to the Illinois Arbitration Service, Room 300, #1 West Old State Capitol Plaza, Springfield, Illinois, 62701-1217. In the event that the request is made by only one party, pursuant to the provisions of their Collective Bargaining Agreement, the IAS will submit a panel or designate an arbitrator in accordance with the above; however, any submission of a panel should not be construed as anything more than compliance with a request and does not necessarily reflect the contractual requirements of the parties.

d) The parties are urged to use the Request for Arbitration or Mediation form which has been prepared by the IAS and which is available in quantity at all Department of Labor regional offices and field officer stations or upon request to the Illinois Arbitration Service, Room 300, #1 West Old State Capitol Plaza, Springfield, Illinois 62701-1217. Those forms are reproduced herein for purposes of identification.

e) A brief statement of the issues in dispute should accompany the request to enable the IAS to submit the names of arbitrators qualified for the issues involved or to designate a qualified arbitrator. The request should also include a current copy of the arbitration section of the collective bargaining agreement or stipulation to arbitrate, as well as its date of execution.

f) If the forms are not utilized, the parties may request a panel or designation by letter which must include names, addresses, and phone numbers of the parties, the location of the contemplated hearing, the issue in dispute, the number of names desired on a panel request or that it is requested that the IAS designate an arbitrator, the industry involved and any special qualifications of the panel or designee desired.

56 Ill. Adm. Code 110.80 Arbitrability (repealed)

History

• Source: Repealed at 25 Ill. Reg. 7211, effective May 21, 2001

56 Ill. Adm. Code 110.90 Nominations and Designations of Arbitrators

a) Upon request, the IAS will submit to the parties the names of five arbitrators unless the applicable collective bargaining agreement as submitted calls for a different number in a panel, or unless the parties themselves request a different number, or unless the agreement or stipulation calls for the IAS to designate the arbitrator. Together with the submission of a panel, the IAS will provide a biographical sketch for each member of the panel. This sketch states the background, qualifications, experience, and per diem fee established by the arbitrator. It states the existence, if any, of other fees such as cancellation, postponement, rescheduling or administrative fees. (Reference Section 110.130 (b) and (c))

b) When a panel is submitted or an arbitrator designated, an IAS-Department case control number is assigned. All future communication between the parties and the IAS should refer to the case control number.

c) The IAS considers many factors when selecting names for inclusion on a panel or for designation to a dispute, but the agreed-upon wishes of the parties are paramount. Special qualifications of arbitrators experienced in certain issues or industries, or possessing certain backgrounds, shall be identified for purposes of submitting panels or designating an arbitrator to accomodate the parties. The IAS shall also consider such things as industry familiarity, geographical location, general experience, availability, size of fee, and the need to expose new arbitrators to the selection process in preparing panels or designating arbitrators. The IAS has no obligation to put an individual on any given panel or to designate an individual or place him on a minimum number of panels in any fixed period such as a month or a year.

1. If at any time both parties request, that a name or names be omitted from panels or from designation, such name or names will be omitted, unless such requests are excessive in number.

2. If at any time both parties request that name or names be included on a panel or be designated, such name or names will be included.

3. If only one party requests that a name or names be omitted from a panel, or that specific individuals be added to the panel, or that an individual be designated or not be designated to a dispute, such request shall not be honored.

4. If the issue described in the request appears to require special technical experience or qualifications, arbitrators who possess such qualifications will, where possible, be included on the panel submitted to the parties or be designated.

5. In almost all cases, an arbitrator is chosen from one panel. However, if either party requests another panel, the IAS shall comply with the request providing that an additional panel is permissible under the terms of the agreement or the other party agrees. Requests for more than two panels must be accompanied by a statement of explanation and will be considered based on availability of Arbitrators.

56 Ill. Adm. Code 110.100 Selection and Appointment of Arbitrators

a) The parties should notify the IAS of their selection of an arbitrator. The arbitrator, upon notification by the parties, shall notify the IAS of his selection and willingness to serve. Upon notification of the parties' selection of an arbitrator, the IAS will make a formal appointment of the arbitrator.

b) Where the contract is silent on the manner of selecting arbitrators, the parties may wish to consider one of the following methods for selection of an arbitrator from a panel:

1. Each party alternately strikes a name from the submitted panel until one remains.

2. Each party advises the IAS of its order of preference by numbering each name on the panel and submitting the numbered list in writing to IAS. The name on the panel that has the lowest accumulated numerical number will be appointed.

3. Informal agreement of the parties by whatever method they choose.

c) The IAS will, on joint or unilateral request of the parties, submit a panel or, when the applicable collective bargaining agreement authorizes, will make a direct appointment of an arbitrator. Submission of panel or name signifies nothing more than compliance with a request and in no way constitutes a determination by the IAS that the parties are obligated to arbitrate the dispute in question. Resolution as to the propriety of such a submission or appointment rests solely with the parties.

d) The arbitrator, upon notification of appointment, is required to communicate with the parties immediately to arrange for preliminary matters, such as date and place of hearing. Hearings are to held within twenty-five (25) days of the date of appointment, unless otherwise dictated by the schedule of the parties.

56 Ill. Adm. Code 110.110 Conduct of Hearings

All proceedings conducted by the arbitrator shall be in conformity with the contractual obligations of the parties. The arbitrator must conduct all proceedings in conformity with Section 110.40 (b). The conduct of the arbitration proceeding is under the arbitrator's jurisdiction and control and the arbitrator's decision is to be based upon the evidence and testimony presented at the hearing or otherwise incorporated in the record of the proceeding. The arbitrator may, unless prohibited by law, proceed in the absence of any party who, after due notice, fails to be present or to obtain postponement. An award rendered in an ex parte proceeding of this nature must be based upon evidence presented to the arbitrator.

56 Ill. Adm. Code 110.120 Decision and Award

a) Arbitrators are required to render awards postmarked not later than thirty calendar days from the date of closing the record as determined by the arbitrator, unless agreed upon by the parties or specified by law. A failure to render timely awards reflects upon the performance of an arbitrator and may lead to his removal from the IAS Roster. (Reference Section 110.50 (b)(4)(B)

b) The parties should inform the IAS whenever a decision is delayed. The arbitrator shall notify the IAS if and when the arbitrator

1. cannot schedule, hear and determine issues promptly, or

2. learns a dispute has been settled by the parties prior to the decision.

c) After an award has been submitted to the parties, the arbitrator is required to submit a Fee and Award Statement showing a breakdown of the fee and expense charges so that the IAS may be in a position to review conformance with stated charges under Section 110.130. Filing the Statement within fifteen (15) days after rendering an award is required of all arbitrators. The Statements are not used for the purpose of compelling payment of fees.

d) The IAS encourages the publication of arbitration awards and actively will solicit such publications in professional publications as well as publish and make available decisions and awards by various means in the state. However, the IAS expects arbitrators it has nominated or appointed not to give publicity on their own to awards they issue. A statement is to be given to the parties at the Hearing regarding professional publication and returned to the IAS along with a copy of the award and decision and the Statement already mentioned.

56 Ill. Adm. Code 110.130 Fees and Charges of Arbitrators and the Service

a) Except for collective bargaining agreements executed prior to July 1, 1987, or stipulations to arbitrate executed prior to that date, an administrative filing fee is charged by the IAS. In instances of a joint request to arbitrate, the administrative fee (payable by two checks or one) is a total of $200. Where a request is made for a panel or designation of an arbitrator, the fee chargeable to that party is $100; a bill will be sent to the other party with the designation or panel list notification.

b) The current policy of the IAS permits each of its nominees or appointees to charge a per diem fee, except for Department of Labor employees, who will not charge for their services. All other nominees or appointees will be enabled to charge a per diem fee and other predetermined fees for services, the amount of which has been certified in advance to the IAS and is less than or equal to the maximum allowed by the IAS. The arbitrator's fees will be set forth on a biographical sketch which is sent to the parties when panels are submitted and are the controlling fees, if in compliance with the IAS limitations. The arbitrator shall not change any fee or add charges without giving at least 30 days advance notice to the IAS.

c) The IAS's maximum limitations are $40 an hour or $200 a day, applicable to each day of hearing and to up to and including two days of consideration and award writing, for the per diem fee. An arbitrator may charge in addition for the costs of phone calls, postage, and up to and including 30 per page for copies. An arbitrator may charge for mileage at the rate of 32 per mile, measured from either his stated location or a point of departure nearer the hearing in going to a hearing, or measured from the place of hearing to his stated location or a nearer point of ending his journey, on return. Plane and train or bus fares may be charged on the basis of cost, in which a case copy of the receipt must be included in the statement of expenses and fees to the parties and the IAS, as must be car rental fees and motel fees and meals.

d) The IAS requests that it be notified of any arbitrator's deviation from the policies expressed in this Section. However, the IAS will not attempt to resolve any fee dispute.

History

• Source: Amended at 25 Ill. Reg. 7211, effective May 21, 2001

56 Ill. Adm. Code 110.140 Reports and Biographical Sketches

a) Arbitrators listed on the Roster shall execute and return all materials related to the case. They shall also keep the IAS informed of changes of address, telephone number, availability, and of any business or other connection or relationship which involves labor-management relations, or which creates or gives the appearance of advocacy as defined in Section 110.50 (b)(3).

b) The IAS may require each arbitrator listed on the Roster to prepare at the time of initial listing, and to revise, biographical information in accordance with a format to be provided by the IAS at the time of initial listing or biennial review. Arbitrators may also request revision of biographical information at other times to reflect changes in fees, the existence of additional charges, address, experience and background, or other relevant data. The IAS reserves the right to decide and approve the format and content of biographical sketches.

56 Ill. Adm. Code 110.150 Status of Hearings

It is the understanding of the IAS that hearings conducted under this regulation remain private hearings of the parties and are not subject to any open meeting act provisions contained in any statute. In providing the IAS, the Department does not require or request that an arbitrator report to the State, the Department or the IAS violations of any state statutes revealed or that agreements be interpreted to conform to the State or Department position on any matter of law.

Part 120 Rules of Procedure in Administrative Hearings

56 Ill. Adm. Code 120.100 Applicability

This Part shall apply to all administrative hearings concerning contested cases conducted under the jurisdiction of the Director of Labor and/or the Department of Labor, except for formal hearings conducted under the Wage Payment and Collection Act [820 ILCS 115]. This Part shall apply to all formal hearings before the Department, unless the application of this Part would cause delay or otherwise affect the rights of the parties. The review procedures in Sections 120.640 and 120.650 are effective for any case pending on August 15, 2014 in which testimony was heard and evidence was received into the record, but for which a decision had not been issued from the ALJ, on that date.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.110 Definitions

"Administrative Law Judge" or "ALJ" means an attorney, licensed to practice law in the State of Illinois, presiding over an administrative hearing convened under this Part.

"Contested case" means an adjudicatory proceeding (not including ratemaking, rulemaking, or quasi-legislative, informational, or similar proceedings) in which the individual legal rights, duties, or privileges of a party are required by law to be determined by an agency only after an opportunity for a hearing. [5 ILCS 100/1-30]

"Day" means a calendar day.

"Department" means the Department of Labor.

"Director" means the Director of the Department of Labor or the Director's designee.

"Document" means pleading, notice, motion, affidavit, memorandum, brief, petition, or other paper or combination of papers required or permitted to be filed.

"Evidence" means those matters considered evidence under the Illinois Rules of Evidence [735 ILCS 5/Art. VIII].

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

"Party" means each person or agency named or admitted as a party or properly seeking and entitled as of right to be admitted as a party. [5 ILCS 100/1-55]

"Person" means any individual, partnership, corporation, limited liability company, association, governmental subdivision, or public or private organization of any character other than an agency of State government.

"Statement" means a written statement made by a witness and signed or otherwise adopted or approved by the witness, or a stenographic, mechanical, electrical or other recording, or a transcription of the recording that is a substantially verbatim recital of an oral statement made by the witness to an agent of the person obliged to produce the statement and recorded contemporaneously with the making of this oral statement.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.115 Non-Applicability of the Rules (repealed)

56 Ill. Adm. Code 120.120 Burden and Standard of Proof

The party applicant or complainant shall have the burden of proof. The standard of proof for any hearing conducted under this Part shall be the preponderance of the evidence.

56 Ill. Adm. Code 120.130 Filing and Service

a) Documents and requests permitted or required to be filed with the Director or the Department in connection with a hearing shall be addressed and mailed or delivered to the Department's Chicago office, 160 N. LaSalle, C-1300, Chicago IL 60601. The Department's Chicago office is open from 8:30 a.m. to 5:00 p.m. Monday through Friday, except for national and State legal holidays. When the Act or this Part requires the filing of a motion, brief, exception or other paper in any proceeding, the document must be received by the Department or the officer or agent designated to receive that matter before the official closing time of the receiving office on the last day of the time limit, if any, for the filing or extension of time that may have been granted. Filings received after 5:00 p.m. will be considered filed on the following business day..

b) In computing any period of time prescribed or allowed by this Part, the day of the act, event or default after which the designated period of time begins to run is not to be included. The period of time shall run until the end of the last day, or the next following business day if the last day is a Saturday, Sunday or legal holiday. A request for an extension of time to file a document shall be filed no later than 5:00 p.m. at the Chicago Office on the date on which the document is due. Requests for extensions of time filed within three days after the due date must be grounded upon circumstances not reasonably foreseeable in advance.

c) Documents may be filed with the Department by certified or First Class mail, by messenger service, private delivery service, or personally at the Department's Chicago office. Filing by electronic transmission, such as telefax machine or electronic mail (e-mail), will not be accepted, except when specifically requested or ordered by the ALJ.

d) The date of service shall be the day when the matter served is deposited in the United States mail, or is deposited with a private delivery service that will provide a record showing the date the document was tendered to the delivery service, or is delivered in person. When service is made by facsimile transmission or e-mail, the date of service shall be the date on which transmission is sent. The date of filing shall be the day when the matter is received by the Department as provided by subsection (b). Service of documents by a party on other parties may be made personally, by certified mail, regular mail, e-mail (if the document was filed electronically) or private delivery service. Unless otherwise specified in this Part, service on all parties shall be made in the same manner as that utilized in filing the document with the Department, or in a more expeditious manner; however, when filing with the Department is done by hand, the other parties shall be promptly notified of that action by telephone or electronic mail, followed by service of a copy in a manner designed to insure receipt by the close of the next business day following the filing with the Department.

e) When service is made by certified mail, the return post office receipt shall be proof of service. When service is made by a private delivery service, the receipt from that service showing delivery shall be proof of service. However, these methods of proof of service are not exclusive. Any sufficient proof may be relied upon to establish service.

f) Failure to comply with the requirements of this Section relating to timeliness of service on other parties shall be a basis for either:

1. rejection of the document; or

2. withholding or reconsidering any ruling on the subject matter raised by the document until after service has been made and the served party has had reasonable opportunity to respond.

g) The person or party serving the papers or process on other parties shall submit to the Department a written statement of service stating the names of the persons served and the date and manner of service. Proof of service shall be required by the Department only if, subsequent to the receipt of the statement of service, a question is raised with respect to proper service.

h) Whenever this Part requires or permits the service of pleadings or other papers upon a party, service shall be deemed satisfied by service on the attorney or other representative of the party who has entered a written appearance in the proceeding on behalf of the party. If a party is represented by more than one attorney or representative, service upon any one of those persons, in addition to the party, shall satisfy this requirement. Service by the Department or its agents of any documents upon any attorney or other representative may be accomplished by any means of service permitted by this Section, including regular mail.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.140 Form of Papers Filed

a) A document shall clearly show the title of the subject proceedings, nature of the document (i.e., motion, petition), the relevant statute that relates to the proceeding, the case number and the ALJ who is hearing the matter;

b) Documents shall be typewritten or reproduced from typewritten copy on 8½ by 11-inch plain white paper, shall have margins no less than one inch on each side, shall be in a typeface no smaller than 12 point type, and shall be double spaced (except that quotations and footnotes may be single spaced). Carbon copies shall not be filed and will not be accepted. Nonconforming papers may, at the Director's or ALJ's discretion, be rejected;

c) Exhibits, when possible, shall be reduced or enlarged to conform to the size requirements of subsection (b). A party is not prohibited from enlarging an exhibit at hearing for demonstrative purposes as long as the exhibit is reduced to the size requirement in this subsection (c) for the record; and

d) One copy of each document filed shall be signed by the party or by its authorized representative or attorney. All documents shall bear the business address, e-mail address, fax number, if any, and telephone number of the attorney filing the document, or of the party who appears on his or her own behalf.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.150 Computation of Time (repealed)

History

• Source: Repealed at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.160 Referral to Illinois Supreme Court Rules and Code of Civil Procedure (repealed)

History

• Source: Repealed at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.200 Notice of Hearing

a) All hearings shall be initiated by the Director's issuance of a written Notice of Hearing, which shall be served upon all known parties to the hearing. Hearings under the Child Labor Law [820 ILCS 205] shall take priority over all other hearings.

b) Service shall be complete when the Notice of Hearing is served:

1. in accordance with how a summons is served on a person under Part 2 of the Civil Practice Law [735 ILCS 5/Art. II, Part 2];

2. by certified U.S. Mail, postage prepaid, addressed to the last known address of the person involved not less than 15 days before the day designated for the hearing; or

3. by U.S. mail, postage prepaid, to the address on file with the Department.

c) A Notice of Hearing served under this Part shall include:

1. The time, place and nature of the hearing;

2. The legal authority and jurisdiction under which the hearing is to be held;

3. A reference to the particular Section of the statutes and rules involved;

4. A short and plain statement of the matters asserted, except when a more detailed statement is otherwise provided for by law; and

5. A designation of an ALJ to preside over the hearing and the address of the ALJ.

d) A copy of a Notice of Hearing served pursuant to this Part shall be referred to the ALJ designated in the Notice, together with the original complaint, application or report and any written request for a hearing filed pursuant to this Part.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.210 Manner of Service (repealed)

History

• Source: Repealed at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.220 Appearance

a) Any person entitled to participate in proceedings may appear as follows:

1. A natural person may appear on his or her own behalf or by an attorney at law licensed and registered to practice in the State of Illinois.

2. A corporation may appear through any officer designated or authorized to act on behalf of the corporation, employee, or representative, or by an attorney at law licensed and registered to practice in the State of Illinois.

3. Any other person, including the State of Illinois, its agencies and all political subdivisions, may appear through any officer, employee, or representative, or by an attorney licensed and registered to practice in the State of Illinois.

b) Attorneys not licensed and registered to practice in the State of Illinois may request to appear on a particular matter by filing a motion pro hac vice with the Administrative Law Judge.

c) An attorney appearing in a representative capacity shall file a separate written notice of appearance with the Administrative Law Judge, together with proof of service and notice of filing on all parties. The appearance shall contain the name of the party or parties, the attorney representatives, the attorney's business address, telephone number, fax number and ARDC number if licensed in the State of Illinois.

d) An attorney who has appeared in a representative capacity and who wishes to withdraw from that representation shall file a notice of withdrawal with the Administrative Law Judge, together with proof of service and notice of filing on all parties.

History

• Source: Amended at 30 Ill. Reg. 10424, effective May 24, 2006

56 Ill. Adm. Code 120.300 Answer

a) Any party receiving a complaint and Notice of Hearing shall file a written answer to the complaint not later than 15 days after receiving the complaint and Notice of Hearing. The respondent shall specifically admit, deny or explain each of the facts alleged in the complaint. However, if the respondent is without knowledge, the respondent shall so state and that statement operates as a denial. All allegations in the complaint, if no answer is filed, or any allegation in the complaint not specifically denied or explained in an answer filed, unless the answer states that the respondent is without knowledge, shall be deemed to be admitted to be true and shall be so found by the ALJ, unless good cause to the contrary is shown.

b) When a hearing is scheduled in a matter in which a complaint is not issued, an answer shall not be required and the matter shall proceed under this Part.

c) An original and one copy of the answer shall be filed with the ALJ. Immediately upon the filing of the answer, the respondent shall serve a copy on the Director and other parties. An answer of a party represented by counsel or non-attorney representative shall be signed by at least one attorney or non-attorney representative of record in his or her individual name, whose address shall be stated. A party who is not represented by an attorney or non-attorney representative shall sign his or her answer and state his or her address. Except when otherwise specifically provided by rule or statute, an answer need not be verified or accompanied by affidavit. The signature of the attorney or non-attorney party representative constitutes a certificate by him or her that he or she has read the answer; that, to the best of his or her knowledge, information and belief, there is good ground to support it; and that it is not interposed for delay. If an answer is not signed or is signed with intent to defeat the purpose of this Section, it may be stricken as a sham and false and the action may proceed as though the answer had not been served. For a willful violation of this Section an attorney or non-attorney party representative may be subjected to appropriate disciplinary action. Similar action may be taken if scandalous or indecent matter is inserted.

d) The ALJ before whom the hearing is scheduled may by written order extend the time within which the answer shall be filed.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.301 Motions

a) All motions made before or during a hearing shall be made to the ALJ and, unless made orally on the record during a hearing or unless the ALJ directs otherwise, a motion shall be in writing and shall be accompanied by any affidavits or other evidence relied upon and, when appropriate, by a proposed order. Two copies of all motions shall be filed with the ALJ, and at least one copy shall be served on each additional party, if any, to the hearing.

b) Within 7 days after service of a written motion or other document, or other period as the ALJ may allow, a party may file a response in support of or in opposition to the motion and, if necessary, accompanied by affidavits or other evidence. A party filing a motion has the right to request from the ALJ leave to file a reply to a response.

c) No oral argument will be heard on a motion unless the ALJ directs otherwise. A written brief may be filed with a motion or an answer to a motion stating the arguments and authorities relied upon. The brief will be no longer than 15 pages in length unless, prior to the filing date, leave is granted to file a brief greater than 15 pages.

d) A written motion filed prior to a hearing will be disposed of by written order and on notice of all parties, except for motions made at or after the opening of a hearing, in which case the ALJ shall announce his or her ruling orally on the record at the hearing. All motions, rulings and orders shall become a part of the record, except that rulings on motions to revoke subpoenas shall become a part of the record only upon the request of the party aggrieved. Except as provided in subsection (i), rulings by the ALJ on motions and/or objections, and orders in connection with those motions and/or objections, shall not be appealed directly to the Director but shall be considered by the Director in reviewing the record if exception to the ruling or order is included in the statement of exceptions filed with the Director pursuant to Sections 120.640 and 120.650.

e) The ALJ shall rule upon all motions, except that the ALJ shall have no authority to dismiss or decide a hearing on the merits without granting all parties to the proceeding a right to be heard in accordance with the procedures for motions in this Section, which shall constitute the record.

f) Unless otherwise ordered, the filing of an answer or motion shall not stay the proceeding or extend the time for the performance of any act.

g) A party may participate in the proceeding without forfeiting any jurisdictional objection, if the objection is made within 10 days after the receipt of notice of hearing. Any party may file a response to the objection within 10 days after service. The right to make motions or to object to rulings upon motions shall not be deemed waived by the filing of an answer or by other participation in the proceedings before the ALJ.

h) A party has a right to file an emergency motion setting forth why an emergency exists and the ALJ can deny the emergency motion solely on the basis that the motion did not demonstrate that an emergency exists.

i) If any motion in the nature of a motion to dismiss or for summary judgment is granted by the ALJ before filing his or her final decision in a matter scheduled for hearing, any party may obtain a review of the granting of the motion by filing a request with the Director stating the grounds for review and, immediately upon filing, shall serve a copy of the request on the other parties. Unless the request for review is filed within 15 days from the date of the order of dismissal or granting of summary judgment, the decision of the ALJ shall become final.

j) A party has the right to appeal any order issued by an ALJ during the pendency of a proceeding.

History

• Source: Added at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.310 Consolidation and Severance of Matters

In the interest of convenient, expeditious and complete determination of matters, the Administrative Law Judge may consolidate or sever hearing proceedings involving any number or parties or issues, and may join or sever parties for the complete administration of justice.

History

• Source: Amended at 30 Ill. Reg. 10424, effective May 24, 2006

56 Ill. Adm. Code 120.320 Intervention

a) Permission to Intervene

1. Upon timely written application, the ALJ may, in his or her discretion, permit any party to intervene in a hearing proceeding, subject to the necessity for conducting an orderly and expeditious hearing, when:

A) The party is so situated that he or she may be adversely affected by a final order arising from the hearing;

B) The party requesting intervention is a necessary party to the hearing proceeding; or

C) A party's claim or defense and the main action have a question of law or fact in common.

2. In exercising discretion under this subsection (a), the ALJ shall consider whether the intervention will unduly delay or prejudice the adjudication of the rights of the original parties.

b) Two copies of a petition for intervention shall be filed with the ALJ, and one copy shall be served on each party.

c) An intervenor shall have all the rights of an original party subject to the order of the ALJ, except that the ALJ may, in his or her order allowing intervention, provide that the party shall not raise issues that might more properly have been raised at an earlier stage of the proceeding, that the party shall not raise new issues or add new parties, or that in other respects the party shall not interfere with the conduct of the hearing, as justice and the avoidance of undue delay may require.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.330 Postponement or Continuance of Hearing

A hearing may be postponed or continued for due cause by the Administrative Law Judge upon his or her own motion or upon the motion of a party to the hearing. A motion by a party shall set forth facts demonstrating that the request for continuance is not for the purposes of delay. Examples of due cause include the unavailability of the Administrative Law Judge, a witness or a party due to an accident, illness or other circumstances beyond the person's control. Notice of any postponement or continuance shall be given in writing to all parties to the hearing within a reasonable time in advance of the previously scheduled hearing date. All parties involved in a hearing shall attempt to avoid undue delay caused by repetitive postponements or continuances so that the subject matter of the hearing may be resolved expeditiously.

History

• Source: Amended at 30 Ill. Reg. 10424, effective May 24, 2006

56 Ill. Adm. Code 120.400 Prehearing Conferences

a) Upon the ALJ's own motion or the motion of a party, the ALJ may direct the parties or their counsel to meet with the ALJ for a conference to consider:

1. Simplification of the issues;

2. Necessity or desirability of amending documents for purposes of clarification, simplification or limitation;

3. Stipulations and admissions of fact and of contents and authenticity of documents;

4. Limitation of the number of witnesses;

5. Propriety of prior mutual exchange between and among the parties who have prepared testimony or exhibits;

6. Rulings on pre-hearing motions; and

7. Taking such other action and addressing such other matters as may tend to expedite the disposition of the proceedings and to assure a just conclusion.

b) The ALJ shall make an order that recites the action taken at the conference, the amendments allowed to any pleadings that have been filed, and the agreements made between the parties as to any of the matters considered and that limits the issues for hearings to those not disposed of by admissions or agreements. The order, when entered, controls the subsequent course of the hearing unless modified at the hearing to prevent manifest injustice. A party may file any objections to a prehearing order to preserve its position for the record.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.410 Discovery

a) General discovery (e.g., deposition, interrogatories or request to produce or admit) shall not be permitted.

b) Disclosure of the following shall be required in accordance with the time periods set forth in this subsection (b) unless otherwise modified by the ALJ in the order issued pursuant to the pre-hearing conference:

1. Unless otherwise ordered by the ALJ at least 21 days prior to the commencement of the hearing, each party shall provide all parties with a copy of any document that it may offer into evidence. This subsection (b)(1) shall not require any party to provide copies of documents already provided. Each party shall provide newly discovered documents, except for witness statements, as they become known to the party intending to introduce the document.

2. Unless otherwise ordered by the ALJ at least 21 days prior to the commencement of the hearing, each party shall provide all parties with a list containing the name and address of any witness who may be called to testify. Each party shall provide newly discovered witnesses as they become known to the party intending to call the witness.

3. Unless otherwise ordered by the ALJ, after a witness called by the Department or a party has testified in a hearing, the ALJ shall, upon motion of a party, order the production of any statement, as defined in Section 120.110, of the witness in the possession of the Department, which relates to the subject matter to which the witness has testified. If the entire contents of any statement relate to the subject matter of the testimony of the witness, the ALJ shall order it to be delivered directly to the requesting party for examination and use for the purpose of cross-examination. If the Department claims that any statement ordered to be produced under this subsection (b)(3) contains matter that does not relate to the subject matter of the testimony of the witness, the ALJ shall order the Department to deliver the statement for the inspection of the ALJ in camera. Upon delivery, the ALJ shall excise the portions of the statement that do not relate to the subject matter of the testimony of the witness, except that the ALJ may, in the ALJ's discretion, decline to excise portions that, although not relating to the subject matter of the testimony of the witness, do relate to other matters raised by the pleadings. With the material excised, the ALJ shall then direct delivery of the statement to the requesting party for use on cross-examination. If, pursuant to this procedure, any portion of the statement is withheld and the requesting party objects to the withholding, the entire text of the statement shall be preserved by the Department and, in the event the requesting party files exceptions with the Director based upon the withholding, shall be made available to the Director for the purpose of determining the correctness of the ruling of the ALJ. If the Department elects not to comply with the order of the ALJ directing delivery of any statement, or portion of a statement as the ALJ may direct, the ALJ shall strike from the record the testimony of the witness.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.420 Subpoenas

a) The ALJ shall, on the written application of any party, issue subpoenas to a party allowing that party to require the attendance and testimony of witnesses and the production of any evidence, including books, records, correspondence or documents. The Director shall have the authority to sign and issue subpoenas on behalf of the Department. Applications for subpoenas made before or during the hearing shall be filed with the ALJ. Applications for subpoenas may be made ex parte. The subpoena shall show on its face the name and address of the party at whose request the subpoena was issued.

b) Subpoenas may be served by personal delivery, by certified mail with return receipt signed by private delivery service, or by U.S. regular mail, postage prepaid. Any person served with a subpoena, whether ad testificandum (for witness testimony) or duces tecum (for document production), who does not intend to comply with the subpoena, shall, within 5 days after the date of service of the subpoena, petition in writing to revoke the subpoena. The date of service for purposes of computing the time for filing a petition to revoke shall be the date the subpoena is received. All petitions to revoke subpoenas shall be served on the party at whose request the subpoena was issued. The petition to revoke, if made prior to or during the hearing shall be filed with the ALJ.

c) The ALJ, upon motion made promptly and, in any event, at or before the time specified in the subpoena for compliance, may quash or modify the subpoena if it is unreasonable, is oppressive or requests material that is irrelevant. The ALJ will rule upon motions to quash or modify material requested in the subpoena. The ALJ may deny, limit or condition the production of information when necessary to prevent undue delay, undue expense, harassment or oppression. The ALJ can take these actions if the subpoena does not describe with sufficient particularity the evidence whose production is required, or if, for any other reason sufficient in law, the subpoena is otherwise invalid. The ALJ can also take these actions to protect materials from disclosure consistent with a protective order issued by the ALJ. If the Request for Subpoena is denied or modified, the ALJ shall proceed to conduct the hearing, and the specific reasons for denying or modifying the request shall be made part of the record.

d) If a party or organization within control of a party fails to obey a subpoena, and the ALJ finds the subpoena to have been validly served and the material requested to be relevant and material, the ALJ may impose such sanctions as are appropriate, including but not limited to: prohibiting testimony by the party who has refused to comply with the subpoena; drawing an adverse inference against the party required to comply; or recognizing the evidence required by the subpoena but not produced as establishing the truth of the position of the party who subpoenaed the document. If a nonparty fails to obey a subpoena, the party seeking enforcement shall be responsible for preparing an application for enforcement and shall file it in a court of appropriate jurisdiction.

e) Witnesses summoned before the ALJ, other than those summoned by the Department, shall be paid the same fees and mileage that are paid witnesses in the court of the county where the hearing is being held. Witness fees and mileage shall be paid by the party at whose instance the witnesses appear.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.500 Authority of Administrative Law Judge

An ALJ presiding over a hearing shall have all powers necessary and appropriate to conduct a full, fair and impartial hearing, including the following:

a) To administer oaths and affirmations;

b) To rule upon offers of proof and receive relevant evidence;

c) To issue subpoenas as provided in Section 120.420;

d) To rule on issues relating to document exchange;

e) To regulate the course of the hearing and the conduct of the parties and their counsel;

f) To consider and rule upon procedural requests;

g) To hold conferences for the settlement or simplification of the issues;

h) To examine witnesses and direct witnesses to testify, limit the number of times any witness may testify, limit repetition or cumulative testimony, and set reasonable limits on the amount of time each witness may testify;

i) To make or to cause to be made an inspection of the employment or place of employment involved; and

j) To make decisions in accordance with the appropriate Act and rules, this Part and the IAPA.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.510 Ex Parte Communications

a) No party may engage in any ex parte communication with an Administrative Law Judge or with any member of the Department regarding matters pending before an Administrative Law Judge. However, when the Department is a party to the proceeding, Department representatives (excluding the Administrative Law Judge) may engage in communications with the other party outside the presence of the Administrative Law Judge.

b) The Administrative Law Judge shall not initiate ex parte communications, directly or indirectly, in any matter in connection with any substantive issue, with any interested person or party. If the Administrative Law Judge receives any such ex parte communication, including any documents, he or she shall inform the other parties of the substance of any such oral communication or documents. The other parties shall be given an opportunity to review any such ex parte communication.

c) Nothing shall prevent the Administrative Law Judge from communicating ex parte about routine matters such as requests for continuances or opportunities to inspect the file, as long as all parties are informed of the substance of the ex parte communication. The date and type of communication, the persons involved and the results of such routine communications shall be part of the record. A member of the Department may communicate with other members of the Department and a Department member or Administrative Law Judge may have the aid and advice of one or more personal assistants.

History

• Source: Amended at 35 Ill. Reg. 10134, effective June 7, 2011

56 Ill. Adm. Code 120.520 Disqualification of Administrative Law Judge

At any time prior to the issuance of the Administrative Law Judge's decision or recommendations, a party may move to disqualify the Administrative Law Judge on the grounds of bias or conflict of interest. The motion shall be made in writing to the General Counsel, with a copy to the Director and the Administrative Law Judge, setting out the specific instances of bias or conflict of interest. The General Counsel will assign the matter for a determination to an Administrative Law Judge not challenged in the motion. An adverse decision or ruling, in and of itself, is not grounds for disqualification. The Administrative Law Judge's employment or contract as an Administrative Law Judge by the Department is not, in and of itself, a conflict of interest. The case shall be suspended until the neutral Administrative Law Judge rules on the motion. The neutral Administrative Law Judge may decline to disqualify the presiding Administrative Law Judge or appoint another Administrative Law Judge to hear the case.

History

• Source: Amended at 30 Ill. Reg. 10424, effective May 24, 2006

56 Ill. Adm. Code 120.530 Contumacious Conduct

a) Contumacious conduct at any hearing before the ALJ shall be grounds for exclusion from the hearing.

b) If a witness or a party refuses to answer a question after being directed to do so or refuses to obey an order to provide documents, the ALJ may make those orders with regard to the refusal as are just and appropriate, including, but not limited to, excluding the testimony of witnesses, entering an order of default, entering an order that certain facts are deemed admitted for purpose of the proceeding, or entering an order denying the application or complaint of a party.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.540 Consent Decree

If the parties to the proceeding resolve, settle or compromise their dispute and as part of the settlement agreement and the parties desire the Administrative Law Judge to enter a consent decree in order to resolve the matter, the Administrative Law Judge shall enter the Consent Decree as long as the proposed Consent Decree does not violate the Act under which the contested case was brought and rules adopted under that Act.

History

• Source: Amended at 30 Ill. Reg. 10424, effective May 24, 2006

56 Ill. Adm. Code 120.545 Settlement Agreements

56 Ill. Adm. Code 120.550 Conduct of Hearings

a) All hearings shall be public unless required by statute to be otherwise.

b) The following shall be the order of proceeding of all hearings, subject to modification by the presiding Administrative Law Judge for good cause:

1. Presentation, argument and disposition of motions preliminary to a hearing on the merits of the matters raised in the notice or answer;

2. Presentation of applicant's or complainant's opening statement;

3. Presentation of objector's or respondent's opening statement;

4. Applicant's or complainant's case;

5. Objector's or respondent's case;

6. Applicant's or complainant's case in rebuttal;

7. Objector's or complainant's closing statement;

8. Applicant's or respondent's closing statement;

9. Set dates for any and all motions, written briefs, findings of fact and conclusions of law;

10. Presentation of written brief or proposed findings of fact, conclusions of law and order; and

11. The filing of the decision of the Administrative Law Judge.

History

• Source: Amended at 30 Ill. Reg. 10424, effective May 24, 2006

56 Ill. Adm. Code 120.560 Rules of Evidence

The Illinois Rules of Evidence shall apply to the extent practicable unless, by such application, the ALJ determines that application of the rule would be an injustice or preclude the introduction of evidence of the type commonly relied upon by a reasonably prudent person in the conduct of his or her affairs. The ALJ must state on the record his or her reasons for that determination. Any objection with respect to the conduct of the hearing, including any objection to the introduction of evidence, may be stated orally, accompanied by a short statement of the grounds for the objection, and included in the record. No objection shall be deemed waived by further participation in the hearing.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.570 Official Notice

Official notice may be taken of any material fact not appearing in evidence in the record if the Circuit Courts of this State could take judicial notice of the fact. In addition, notice may be taken of generally recognized technical or scientific facts within the Department's specialized knowledge. Parties shall be notified either before or during the hearing or by reference in preliminary reports or otherwise of the material noticed, including any staff memoranda or data, and they shall be afforded an opportunity to contest the facts noticed. The Department's expertise, technical competence and specialized knowledge may be utilized in the evaluation of the evidence.

56 Ill. Adm. Code 120.580 Hostile or Adverse Witnesses

a) If the Administrative Law Judge determines that a witness is hostile or unwilling or adverse, he or she may be examined by the party calling him or her as if under cross-examination.

b) The party calling an occurrence witness, upon the showing that he or she called the witness in good faith and is surprised by his or her testimony, may impeach the witness by proof of prior inconsistent statements.

56 Ill. Adm. Code 120.600 Default

Failure of a party to appear at the hearing or failure to proceed as ordered by the Administrative Law Judge shall constitute a default. The Administrative Law Judge shall enter the appropriate default order.

History

• Source: Amended at 30 Ill. Reg. 10424, effective May 24, 2006

56 Ill. Adm. Code 120.610 Record in Contested Cases

a) A full and complete record shall be kept of all proceedings. The record shall consist of the following:

1. All pleadings, including all notices and responses to those pleadings;

2. A transcript of the hearing, if any, and all evidence received;

3. A statement of matters officially noticed;

4. Any offers of proof, objections to that proof, and rulings on that proof;

5. Any proposed findings and acceptance;

6. Any decision, opinion or report by the ALJ;

7. All staff memoranda or data submitted to the ALJ or employees of the Department in connection with their consideration of the case; and

8. Any ex parte communication prohibited by Section 10-60 of the IAPA, but those communications shall not form the basis for any finding of fact.

b) The record shall also contain the following:

1. Subpoenas;

2. Requests for Subpoenas;

3. Cover letters;

4. Notices of Filing; and

5. Certificates of mailing for regular mail and return receipts for certified mail.

c) The Department shall be the official custodian of the records of administrative hearings held by the Department.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.620 Briefs

The ALJ may require or allow parties to submit written briefs to the ALJ within 10 days after the close of the hearing or other reasonable time as the ALJ shall determine, consistent with the Director's responsibility for an expeditious decision. Briefs shall be limited to 25 pages, unless permission is granted by the ALJ.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.630 Administrative Law Judge's Findings and Opinions (repealed)

History

• Source: Repealed at 30 Ill. Reg. 10424, effective May 24, 2006

56 Ill. Adm. Code 120.640 Administrative Law Judge's Decision and Order

a) The ALJ's decision shall be in writing and, when necessary, include findings of fact and conclusions of law and opinions. The findings of fact shall be based exclusively on the evidence presented at hearing or known to all parties, including matters officially noticed. The ALJ shall, in addition to the decision, issue an appropriate order. The decision in the case shall become effective immediately upon the execution of the order by the ALJ or as otherwise specified within the order or an applicable statute. A copy of the order shall be delivered or mailed to each party of record and to each attorney of record. This Section applies to all formal hearings held pursuant to the Child Labor Law [820 ILCS 205], Day and Temporary Labor Services Act [820 ILCS 175], Nurse Agency Licensing Act [225 ILCS 510], Prevailing Wage Act [820 ILCS 130/9 and 11a], Health and Safety Act [820 ILCS 225], Safety Inspection and Education Act [820 ILCS 220], Illinois Worker Adjustment and Retraining Notification Act [820 ILCS 65], Employee Classification Act [820 ILCS 185/25], Private Employment Agency Act [225 ILCS 515/12], One Day Rest in Seven Act [820 ILCS 140/6] and Carnival and Amusement Rides Safety Act [430 ILCS 85/2-8.1, 2-12 and 2-15].

b) The ALJ shall forward a copy of his or her decision, including findings of fact, opinions, recommendations and order, to each party of record. Each party of record shall be allowed 10 days in which to submit exceptions to the findings, opinions, recommendations and order of the ALJ and to present a brief in support of those exceptions. In the event no timely or proper exceptions are filed, the findings, conclusions, recommendations and order shall automatically become the decision and order of the Director. All objections and exceptions to the Director's decision and order shall be deemed waived for all purposes. Service of the ALJ's decision and of the order transferring the case to the Director shall be complete upon mailing.

c) Exceptions

1. Each exception shall:

A) set forth specifically the questions of procedure, fact, law or policy to which exception is taken;

B) identify that part of the ALJ's decision to which objection is made;

C) designate by precise citation of page the portions of the record relied on; and

D) concisely state the grounds for the exception.

2. If a supporting brief is filed, the exceptions document shall not contain any argument or citation of authority in support of the exceptions. Those matters shall be set forth only in the brief. If no supporting brief is filed, the exceptions document shall also include the citation of authorities and argument in support of the exceptions, in which event the exceptions document shall be subject to a 25 page limit. If a supporting brief is filed, it shall be subject to a 20 page limit.

d) Any exception to a ruling, finding, conclusion or recommendation that is not specifically stated shall be deemed to have been waived. Any exception that fails to comply with subsection (c) may be disregarded. Any brief in support of exceptions shall not refer to any matter not included within the scope of the exceptions and shall contain, in the order indicated, the following:

1. A clear and concise statement of the case, containing all that is material to the consideration of the questions presented.

2. A specification of the questions involved and to be argued, together with a reference to the specific exceptions to which they relate.

3. The argument, presenting clearly the points of fact and law relied on in support of the position taken on each question, with specific page reference to the record and the legal or other material relied on.

e) Within 10 days, or such further period as the Director may allow, from the last date on which exceptions and any supporting brief may be filed, a party opposing the exceptions may file an answering brief to the exceptions, in accordance with this subsection. The answering brief to the exceptions shall be limited to the questions raised in the exceptions and in the brief in support of the exceptions. It shall present clearly the points of fact and law relied on in support of the position taken on each question. When exception has been taken to a factual finding of the ALJ and the exception is proposed to support that finding, the answering brief should specify those pages of the record that, in the view of the party filing the brief, support the ALJ's finding. The answering brief shall be limited to 20 pages.

f) Requests for extension of time to file an answering brief to the exceptions shall be in writing and copies shall be served promptly on the other parties.

g) Any matter not included in the exceptions may not thereafter be raised to the Director or in any further proceeding and is deemed waived for all purposes.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.650 Administrative Law Judge's Recommendations

a) When the Director is required by law to be the sole, personal acting officer, the ALJ shall, in lieu of decision and order under Section 120.640, make recommendations by way of proposal for decision. The recommendations shall be made upon consideration of the record as a whole or portion of the record as may be supported by competent, material and substantial evidence.

b) The ALJ shall forward a copy of his or her proposed findings of fact, opinions and recommendations to each party of record and each party of record shall be allowed 10 days in which to submit exceptions to the findings, opinions and recommendations of the ALJ and to present a brief in support of those exceptions. In the event no timely or proper exceptions are filed, all objections and exceptions to the ALJ's recommendation shall be deemed waived for all purposes. The Director shall review the record and issue a final Decision and Order.

c) Exceptions and briefs in support of exceptions or in answer to exceptions shall comply with Section 120.640(c) through (f).

d) Any matter not included in the exceptions may not thereafter be raised to the Director or in any further proceeding and is deemed waived for all purposes.

e) This Section applies to formal hearings held pursuant to the Environmental Protection Act [415 ILCS 5/52(c)], Private Employment Agency Act [225 ILCS 515], Prevailing Wage Act [820 ILCS 130/11b] and Victims' Economic Security and Safety Act [820 ILCS 180].

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.660 Order of the Director

Upon receipt of an ALJ's recommendation by way of Recommended Decision or an ALJ Decision and Order, to which exceptions have been filed, the Director shall review the record and the ALJ's findings, opinions and recommendations, together with exceptions and briefs, and shall issue an order as set forth by applicable statutes within a reasonable time. The decision in the case will become effective immediately upon the execution of the order or as otherwise specified within the order or an applicable statute. A copy of the order shall be delivered or mailed to each party and to each attorney of record.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

56 Ill. Adm. Code 120.670 Judicial Review

a) If a party seeks judicial review of an Administrative Law Judge's Decision and Order or a Decision and Order of the Director, that party will pay the actual cost to the Department of preparing the administrative record and filing it in court. Payment shall be by certified check made payable to the Illinois Department of Labor.

b) Actions for judicial review under this Section shall be filed where the hearing proceedings took place, which is in the circuit court of either Cook County or Sangamon County.

History

• Source: Amended at 38 Ill. Reg. 17631, effective August 15, 2014

Subchapter b Regulation of Working Conditions

Part 200 Paid Leave for All Workers Act

56 Ill. Adm. Code 200.100 Scope

This Part implements the Paid Leave for All Workers Act [820 ILCS 192].

56 Ill. Adm. Code 200.110 Definitions

In addition to the terms set forth in Section 10 of the Act, all other terms used in this Part shall have the meanings set forth in this Section.

"Accrual" or "accrue" is the practice of accumulating paid time off over a period of time, proportionately to hours worked.

"Act" means the Paid Leave for All Workers Act [820 ILCS 192].

"Administrative Law Judge" means an individual authorized by the Department to determine the merits of claims alleging violations of the Act.

"Aggrieved Employee" means an employee affected by a possible violation of the Act, regardless of whether the employee has filed a claim with the Department.

"Complaint" means a signed document alleging a violation of the Act, accompanied by any supporting documentation required by the Department.

"Construction industry" means any constructing, altering, reconstructing, repairing, rehabilitating, refinishing, refurbishing, remodeling, remediating, renovating, custom fabricating, maintenance, landscaping, improving, wrecking, painting, decorating, demolishing, or adding to or subtracting from any building, structure, highway, roadway, street, bridge, alley, sewer, ditch, sewage disposal plant, waterworks, parking facility, railroad, excavation or other structure, project, development, real property, or improvement, or to do any part thereof, whether or not the performance of the work herein described involves the addition to or fabrication into, any structure, project, development, real property, or improvement herein described of any material or article of merchandise. The definition also includes moving construction-related materials on the job site or to or from the job site, snow plowing, snow removal, and refuse collection. [820 ILCS 192/10]

"Day" means a calendar day.

"Department" means the Illinois Department of Labor, its Director, and the Director's authorized representatives. [820 ILCS 192/110]

"Domestic work" means housekeeping, house cleaning, home management, nanny services including childcare and child monitoring, caregiving, personal care or home health services for elderly persons or persons with an illness, injury, or disability who require assistance in caring for themselves, laundering, cooking, companion services, chauffeuring; or other household services for members of households or their guests in or about a private home or residence or any other location where the domestic work is performed, as defined by the Domestic Workers' Bill of Rights Act. [820 ILCS 192/10]

"Domestic worker" means a person, including independent contractors, sole proprietors, and partnerships, who performs domestic work. [820 ILCS 192/10]

"Domicile" for purposes of the definition of "employee," means a true, fixed, and permanent legal home of a person or the place to which the person intends to return even though the person may reside elsewhere. As a further explanation, "a person may have more than one residence but only one domicile". [625 ILCS 5/1-115.5]

"Employee" means an individual permitted to work in an occupation by an employer and:

whose base of operations, regional office, or headquarters is in Illinois and that employee's work is primarily performed in Illinois, or

if either of the following is true:

The work is primarily performed in Illinois for an employer that performs substantial business in the State, markets its services in the State, or maintains a registered agent within the State of Illinois; or

The work is primarily performed in Illinois and individual is domiciled in Illinois.

For the purposes of this Part, when considering whether work is performed primarily in Illinois, the Department will consider the following factors:

The amount of work performed in Illinois compared to the amount of work performed outside of Illinois;

Whether the work performed inside of Illinois is isolated, temporary, or transitory; and

Whether the work performed outside of Illinois is the of same nature or has the same duties of the work performed in Illinois.

The definition of "employee" does not include the following:

An employee as defined in the federal Railroad Unemployment Insurance Act (45 U.S.C. 351) or the federal Railway Labor Act (45 U.S.C. 151);

A student enrolled in and regularly attending classes in a college or university who is also working less than full-time temporary basis at the same college or university;

An employee of a college or university who works for less than 2 consecutive quarters and the employee does not have a reasonable expectation to be rehired by the same employer for the same service in the subsequent calendar year; or

A bona fide independent contractor except an individual working as a domestic worker as defined by the Domestic Workers' Bill of Rights Act and by this Part. [820 ILCS 192/10]

The definition of "employee" includes domestic workers.

"Employer" means any individual, sole proprietor, partnership, association, corporation, limited liability company, business trust, employment and labor placement agency where wage payments are made directly or indirectly by the agency or business for work undertaken by employees under hire to a third party pursuant to a contract between the business or agency with the third party, State or local unit of government, any political subdivision of the State, or any State or local government agency, including all branches of State government, employing individuals in Illinois, except for the following:

Public school districts organized under the School Code [105 ILCS 5]; and

Park districts organized under the Park District Code [70 ILCS 1205]. [820 ILCS 192/10]

"Foreseeable" means reasonably able to be known or anticipated.

"Frontload" means to make available the minimum number of hours of paid leave time, subject to pro rata requirements provided in 820 ILCS 192/15(b), to an employee on the first day of employment or the first day of the 12-month period. [820 ILCS 192/15(c)]

"Independent contractor" means an individual, other than a domestic worker, who:

has been and will continue to be free from control and direction over the performance of the individual's work, both under the contract of service with the employer and in fact; and

performs work that is either outside the usual course of business or is performed outside all of the employer's places of business, unless the employer is in the business of contracting with third parties for the placement of employees; and

is in an independently established trade, occupation, profession, or business. [820 ILCS 115/2]

"Paid leave", "paid leave time", or "paid leave hours" means time off from work for which the employer is required to pay the employee.

"Party" means any employee affected by a possible violation of the Act or any employer whose compliance with the Act is in question.

"Practical" means realistically capable of being accomplished in the actual circumstances.

"Qualifying pre-existing paid leave policy" means a bona fide paid leave policy that an employer has enacted prior to January 1, 2024, that, in practice, satisfies the minimum amount of leave required by subsection 15(a) if the policy offers an employee the option, at the employee's discretion, to take paid leave for any reason.

"Rate of pay" means:

for an employee who is not engaged in an occupation in which gratuities or commissions have customarily and usually constituted part of remuneration for hire, an employee's hourly rate of pay; and

for an employee who is engaged in an occupation in which gratuities or commissions have customarily and usually constituted part of remuneration for hire, the full minimum wage in the jurisdiction where the employee is employed or the agreed-upon hourly base wage rate, whichever is higher. [820 ILCS 192/5]

"Shared services" means services provided by a domestic worker to more than one employer that are intentionally coordinated by the employers. For example, in the context of childcare services, shared services are commonly referred to as a "nanny share".

"State agency" means all boards, commissions, agencies, institutions, authorities, bodies politic and corporate of the State created by or pursuant to the constitution or statute, of the executive branch of State government.

"Unforeseeable" means not reasonably able to be known or anticipated.

"Writing" or "Written" means a printed or printable communication in physical or electronic format, including a communication that is transmitted through electronic mail, text message, or a computer system or is otherwise sent or stored electronically. [820 ILCS 192/10]

56 Ill. Adm. Code 200.120 Incorporated and Referenced Materials

The following regulations and standards are incorporated in this Part. All incorporations by reference refer to the regulations, guidelines and standards on the date specified and do not include any editions or amendments subsequent to the date specified.

a) The following State statutes are referenced in this Part:

1. Illinois Vehicle Code [625 ILCS 5];

2. School Code [105 ILCS 5];

3. Park District Code [70 ILCS 1205];

4. Forms Notice Act [20 ILCS 435];

5. Illinois Wage Payment and Collection Act [820 ILCS 115]; and

6. Illinois Administrative Procedure Act [5 ILCS 100/Art. 10].

b) The following State regulations are referenced in this Part:

1. Minimum Wage Law Code (56 Ill. Adm. Code 210);

2. Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120); and

3. Payment and Collection of Wages and Final Compensation (56 Ill. Adm. Code 300).

c) The Fair Labor Standards Act of 1938, as amended (29 U.S.C. 207 and 213).

56 Ill. Adm. Code 200.200 General Provisions

a) Minimum Paid Leave Time Requirements

1. An employee is entitled to earn a minimum of 40 hours of paid leave during a 12-month period or a pro rata number of hours of paid leave during a 12-month period, consistent with Section 15(a) and Section 15(b) of the Act and Section 200.220 of this Part. [820 ILCS 192/15]

2. Employers may provide such leave via accrual or frontloading.

3. An employer may choose to provide more than the minimum number of paid leave hours to an employee under this subsection or otherwise adopt a more generous paid leave policy as long as the policy meets the minimum requirements of the Act and this Part.

b) An employer who has a qualifying pre-existing paid leave policy in effect on January 1, 2024, is not required to modify the pre-existing paid leave policy. If, after January 1, 2024, the employer modifies a pre-existing paid leave policy in such a way that it no longer provides a minimum of 40 hours of paid leave to be used for any reason in accordance with Section 15(a) of the Act, that policy will no longer be considered a qualifying pre-existing paid leave policy.

EXAMPLE A: Employer A has provided all employees with at least two weeks' vacation every year since 2010. The vacation policy requires at least two weeks' advance notice and manager approval, but the leave can be taken for any reason. Per the employer's policy, unused vacation time is paid out to the employee at the end of employment. Employer A does not need to modify anything about this policy after January 1, 2024, because it complies with the definition of "qualifying pre-existing paid leave policy".

EXAMPLE B: Employer B has provided all employees with 15 sick days every year since 2015, but no other form of paid leave such as vacation or paid time off. The employees can call in sick for their shift any time prior to the start of their shift without penalty so long as they have that amount of sick time available; however, the sick time is only to be used for illness, injury, and medical appointments of the employee or a family member of the employee. Employer B's policy is not a "qualifying pre-existing paid leave policy" because it does not allow employees to take leave for any reason. Therefore, on or before January 1, 2024, Employer B must modify their policy to allow at least five days of that leave to be used for any reason, or add five days that can be used for any reason in accordance with the Act.

EXAMPLE C: Employer C has provided full time employees with five days' (40 hours) vacation since 2018. Employer C does not provide any paid time off to part time employees. On or before January 1, 2024, Employer C must develop a policy to provide paid leave to part time employees at the rate of at least one hour of paid leave for every 40 hours worked, but does not need to modify its policy for full time employees.

EXAMPLE D: Employer D did not provide any paid leave to its employees prior to January 1, 2024. On January 1, 2024, Employer D adopts a paid leave policy that provides all employees 40 hours of paid leave, and the terms of that policy comply with all provisions in the Act. The following year, Employer D decides to offer an additional five days of paid leave to its employees who have been employed by them for five years or more. The employer would like to require advanced written notice in order to take that additional leave. The provisions of this Act do not apply to the additional paid leave time the employer has chosen to provide for longer-tenured employees and the employer can set different terms and conditions for use of this leave.

56 Ill. Adm. Code 200.210 Start of Paid Leave Benefits

An employee shall begin to earn paid leave hours, via frontloading or accrual, at the commencement of the individual's employment with the employer or on January 1, 2024, whichever is the later date. [820 ILCS 192/15]

56 Ill. Adm. Code 200.220 Accruing Paid Leave Over a 12-Month Period

a) If an employer requires employees to earn paid leave hours via accrual, an employee is entitled to accrue paid leave hours at the rate of one hour of paid leave for every 40 hours worked during a 12-month period up to a minimum of 40 hours of paid leave over the same 12-month period. [820 ILCS 192/15] An employer may choose to provide leave in smaller, proportional, increments, if the rate of benefit accrual is at least 1 hour of paid leave for every 40 hours worked. For the purpose of this Section, work periods must be counted on a minute-by-minute basis or may be rounded up to the next 15 minutes. An employer may not round down time worked.

b) Except as provided in subsection (c), an employer is required to count all time that an employee works, including overtime hours worked, for purposes of calculating accrual. An employer is not required to count time when an employee is on paid or unpaid leave or other non-compensable time where the employee is not performing work for the employer as time worked for accrual purposes.

c) Employees exempt from the overtime requirements of the federal Fair Labor Standards Act (29 U.S.C 213(a)(1)) shall be deemed to work 40 hours in each workweek for purposes of paid leave time accrual if that employee regularly works 40 or more hours in a workweek. [820 ILCS 192/20] If such employee's regular workweek is less than 40 hours, the employee's paid leave time accrues based on the number of hours in their regular workweek.

1. An overtime-exempt employee who regularly works 40 hours or more in a workweek is entitled a minimum of 40 hours of paid leave during a 12-month period.

2. An overtime-exempt employee who regularly works less than 40 hours in a workweek is entitled to accrue paid leave hours based on the number of hours worked in that workweek consistent with Sections 200.200 and 200.220.

d) Accrual calculation examples.

EXAMPLE A: Employee A works 15 hours per week, 52 weeks per year. Employee A is entitled to accrue 19.5 hours of paid leave annually. (15 times 52 = 780 hours worked per year. 780 divided by 40 = 19.5 hours of paid leave time.)

EXAMPLE B: Employee B works 50 hours per week, 52 weeks per year. Employee B is entitled to accrue at least 40 hours of paid leave annually. Employee B's employer may choose to provide more than 40 hours, either via accrual or frontloading.

EXAMPLE C: Employee C is paid on a salary basis and qualifies for the "administrative" exemption under the Fair Labor Standards Act. Employee C's office hours are regularly 37.5 hours per week, but in some weeks, this employee's work hours may be fewer or more, depending on workload. Employee C's employer requires employees to earn paid leave via accrual. Employee C's paid leave shall accrue on the basis of 37.5 hours per week, even in weeks when they work fewer hours.

56 Ill. Adm. Code 200.230 Frontloading Paid Leave at the Start of a 12-Month Period

a) If an employer frontloads leave by providing to its employees the minimum required number of paid leave hours available for use on the employee's first day of employment or the first day of any 12-month period, the employer is subject to the following requirements:

1. The employer shall give written notice to the employee informing the employee of how many paid leave hours that employee is receiving on or before the first day of initial employment or on or before the first day of the initial 12-month period, and before the employer changes the amount of leave the employee receives via frontloading.

A) If an employer chooses a fixed date for the beginning of the 12-month period, such as January 1 or July 1, the employer may pro-rate the amount of frontloaded paid leave time that an employee who begins employment mid-12-month period shall receive. The employer shall then frontload the full 12-month period's worth of paid leave time to that employee at the next regular fixed date.

B) An employer may choose to use each employee's employment start date as the start of that employee's 12-month period.

C) An employer may not retroactively diminish benefits that the employer has already provided to an employee. Therefore, an employer may not recoup or require an employee to repay paid leave time that was frontloaded at the beginning of the 12-month period if the employee's employment ends before the end of the 12-month period.

2. Each 12-month period shall renew consecutively for the duration of employment unless employer does all of the following (see Section 15(d) of the Act):

A) Gives written notice to the employee at least 30 days prior to the end of the 12-month period, informing them that the 12-month period is changing or ending;

B) Gives the employee written documentation of the number of hours worked during the 12-month period, the number of paid leave hours accrued, the number of paid leave hours taken, and the remaining paid leave hours balance; and

C) Ensures that the changing of the 12-month period does not reduce the number of paid leave hours the employee is otherwise entitled to in a 12-month period.

3. An employee who receives frontloaded paid leave on the first day of any 12-month period shall continue to receive paid leave hours on the first day of any consecutive 12-month period unless the employer does the following (see Section 15(d) of the Act):

A) Gives written notice the employee at least 30 days prior to the end of the 12-month period that the 12-month period is changing or ending;

B) Gives the employee written documentation of the number of hours worked during the 12-month period, the number of paid leave hours accrued, the number of paid leave hours taken, and the remaining paid leave hours balance; and

C) Ensures that the changing of the 12-month period does not reduce the number of paid leave hours the employee is otherwise entitled to in a 12-month period.

b) The number of hours of paid leave provided under this Section shall not be less than what the employee would be entitled to earn if the employer had not provided all paid leave hours on the first day of employment or the first day of the 12-month period.

c) With appropriate notice to the employee and documentation, employers may frontload paid leave time for part-time employees at a pro rata amount consistent with the employee's anticipated work schedule for that 12-month period. However, if the employee works more hours than the employer anticipated, the employee is entitled to accrue additional hours at a rate of 1 hour of paid leave for every 40 hours worked in that same 12-month period, up to 40 hours of paid leave. If a part-time employee works fewer hours in the 12-month period than anticipated by their employer, the employer may not diminish or recoup used or unused frontloaded paid leave benefits in any way.

56 Ill. Adm. Code 200.240 Mixed-Earning Policies

a) An employer may provide some of its employees paid leave in form of frontloading, and other employees paid leave via accrual, if the employer's paid leave policy or policies meets all of the requirements of the Act and this Part.

b) An employer shall not illegally discriminate or otherwise violate state or federal law when determining which employees qualify for frontloading or accrual.

56 Ill. Adm. Code 200.250 Notice and Accounting

If an employee accrues paid leave based on Section 200.220 and requests information regarding that employee's paid leave balance, then the employer shall provide such information to the employee as soon as is practical.

56 Ill. Adm. Code 200.260 Collective Bargaining Agreements

a) Employees covered under a bona fide collective bargaining agreement may negotiate minimum standards of paid leave meeting or exceeding what is required by the Act.

b) No term or provision of an existing bona fide collective bargaining agreement, in effect on January 1, 2024, shall be affected by the Act. [820 ILCS 192/15] Employers and employees who are parties to such an agreement shall not be subject to this Act until the expiration of that agreement.

c) For a bona fide collective bargaining agreement that takes effect on or after January 1, 2024, covered employees may waive the requirements of the Act only if the language of the waiver is clear, unambiguous, and explicitly waives the requirements of the Act. [820 ILCS 192/15] In the absence of a clear, unambiguous, and explicit waiver in a collective bargaining agreement taking effect after January 1, 2024, the employer shall be subject to the Act and this Part.

d) The provisions of this Act do not apply to:

1. an employee who works in the construction industry and is covered by a bona fide collective bargaining agreement, regardless of whether that collective bargaining agreement is in effect before or after January 1, 2024; [820 ILCS 192/20] or

2. an employee who works for an employer that provides services nationally and internationally of delivery, pickup, and transportation of parcels, documents, and freights and is covered by a bona fide collective bargaining agreement, regardless of whether that collective bargaining agreement is in effect before or after January 1, 2024. [820 ILCS 192/15]

e) If an employee works for a State Agency and is covered by a bona fide collective bargaining agreement in effect on July 1, 2024, then nothing in the Act shall affect the validity or change the terms of the agreement applying to the employee. Employees covered under a bona fide collective bargaining agreement with a State Agency may only waive the requirements of the Act in such agreement under the following conditions:

1. If the language of the waiver is clear, unambiguous, and explicitly waives the requirements of the Act; and

2. The collective bargaining agreement is in effect after January 1, 2024. [820 ILCS 192/15]

56 Ill. Adm. Code 200.270 Local Paid Leave Ordinances

a) The Act and this Part shall not apply to any employer that is covered by a municipal or county ordinance that is in effect on January 1, 2024 that requires employers to give any form of paid leave to their employees, including paid sick time or paid leave. [820 ILCS 192/15]

b) An employer that qualifies for subsection (a) but who employs employees who are not covered by such municipal or county ordinance, is required to provide paid leave to such employees in accordance with the Act.

EXAMPLE: Employer A is located in the city of Commerce, Illinois, which has a local paid leave ordinance. Employer A also has a branch location located in the city of Anytown, Illinois, which does not have a local paid leave ordinance. Employer A provides paid leave in accordance with that ordinance to its employees in Commerce. Employer A is required to comply with the Act and this Part in relation to its employees working in Anytown.

c) Notwithstanding the provisions of subsection (a), any employer that is not required to provide paid leave to its employees, including paid sick leave, under a municipal or county ordinance that is in effect on January 1, 2024 shall be subject to the provisions of the Act and this Part if the employer would be required to provide paid leave under the Act to its employees. This shall include employers located in municipalities or counties that have opted out of an overlapping jurisdiction's paid leave law.

d) If a municipality or county enacts or amends a local law or ordinance to provide paid leave time, including paid sick leave, after January 1, 2024, and the local law or ordinances provides equal or greater paid leave benefits, rights, and remedies than the Act, then the employer shall comply with the local law or ordinance.

e) If a municipality or county enacts or amends a local law or ordinance to provide paid leave time, including paid sick leave, after January 1, 2024, and the local law or ordinances provides less paid leave benefits, rights, or remedies than the Act, then the employer shall comply with the minimum requirements of the Act.

56 Ill. Adm. Code 200.300 General Provisions

a) An employee is entitled to begin using earned paid leave time 90 calendar days after commencement of employment or March 31, 2024, whichever is later. [820 ILCS 192/15]

EXAMPLE A: The Paid Leave for All Workers Act takes effect on January 1, 2024. Six months later, Employee A starts a new job on Monday, July 1, 2024, and works 40 hours per week. Employee A starts accruing paid leave on their first day (July 1) but must wait 90 days (until September 29, 2024) before using any of their accrued paid leave time. See Section 15(g) of the Act.

EXAMPLE B: Employee B is hired to begin employment in an office job on September 1, 2024, which is the beginning of the employer's pay period. The office is closed on September 1 because it is a weekend, and it's also closed on Monday, September 2 for Labor Day, so Employee B's first day performing work is Tuesday, September 3. Because Employee B's employment status began on September 1, that day is the beginning of the 90-day waiting period. See Section 15(g) of the Act.

EXAMPLE C: Employee C has worked for an employer since 2019 but did not previously get paid time off. Employee C is entitled to earn paid leave beginning January 1, 2024 (the effective date of the Act). Employee C's employer frontloads its employees' paid leave in accordance with the Act, but Employee C must wait 90 days before being entitled to use any of their paid leave time. See Section 15(g) of the Act.

EXAMPLE D: Employee D works 40 hours per week between June 1 and August 15 (75 days) and does not work the rest of the year. Although Employee D is entitled to accrue 1 hour of paid leave for every 40 hours worked, they are not entitled to use that leave during that time because they are not employed for 90 days or longer. If Employee D returns to work for that employer within 12 months, their accrued but unused leave shall be carried over or reinstated. See Section 15(k) of the Act.

b) An employee is entitled to use paid leave earned under the Act and this Part for any reason of the employee's choosing. [820 ILCS 192/15]

1. An employer shall not require an employee to provide a reason for taking paid leave time.

2. An employer shall not require an employee provide any type of documentation, including a certificate or form, as proof or support for the reason to use the paid leave time. [820 ILCS 192/15]

EXAMPLE: Employee A has accrued a sufficient number of hours under the Act to take a paid leave day. Employer A has scheduled a business closure for a major holiday. In the past, Employer A has allowed employees to choose whether to go unpaid for that holiday, or to use paid leave time available to them. Employer A may not require Employee A to use their accrued paid leave hours for the holiday closure.

c) If an employer maintains a written paid leave policy, handbook, or manual, that policy, handbook, or manual must be consistent with the Act and this Part, including Section 200.310.

d) An employee shall be allowed to choose whether to use paid leave earned under the Act and this Part before using any other leave benefits provided by the employer or State law. [820 ILCS 192/15]

e) An employee shall be allowed to choose whether to use any other leave benefits provided by the employer or State law before using paid leave earned under the Act and this Part.

f) An employer who offers more than one type of leave should confirm and document what category of leave the employee wishes to draw from for any use of leave.

g) Employees shall have the discretion to determine how many paid leave hours they need to use in a 12-month period except:

1. If an employee's scheduled workday is more than two hours, then the employer may restrict the use of paid leave to increments of no less than 2 hours per day.

2. If an employee's scheduled workday is less than two hours, then the employer may restrict the amount of paid leave used per day to the equivalent of the scheduled workday. [820 ILCS 192/15]

EXAMPLE A: Employee A wants to use 45 minutes of paid leave to run an errand. Their employer may have a policy requiring employees to use 2 hours.

EXAMPLE B: Employee B wants to use 3 hours of paid leave. Their employer may not require employees to use a higher number of hours instead.

EXAMPLE C: Employee C's children's before and after school care is canceled. Employee C's employer requires a minimum usage of two hours of paid leave per day. Employee C may take one hour of paid leave in the morning and one hour of paid leave in the afternoon to do drop-off and pick-up.

56 Ill. Adm. Code 200.310 Paid Leave Usage Policy and Notice Requirements

a) If an employer chooses to impose terms and conditions on employees' use of paid leave time, beyond the provisions explicitly required by the Act, the employer must adopt a reasonable, written paid leave policy, made available in English and in any additional language commonly spoken by the employer's workforce, that, at a minimum, includes the protections of the Act and this Part, and is consistent with the provisions of the Act and this Part. A written paid leave policy, other than a qualifying pre-existing policy, that is inconsistent with the Act and this Part is invalid, and an employer with such a policy waives its right to notice of employees' use of paid leave time.

1. The paid leave policy can be a part of an existing employer manual, existing employer handbook, or a separate document.

2. The employer shall provide the paid leave policy to the employee prior to or upon the employee's commencement of employment or March 31, 2024, whichever is later. Employers who regularly communicate with employees via electronic means shall also provide the notice via the employer's regular electronic communication method.

3. If an employer changes the paid leave policy during the course of an employee's employment, then the employer shall notify the employee of the updated paid leave policy as soon as practical.

4. An employee may request to use paid leave under this Act and this Part by making an oral or written request to the employer consistent with the employer's paid leave policy. [820 ILCS 192/15] An employer's policy may require the employee to provide written notice after making an oral request for paid leave.

b) If an employer's paid leave policy has prior notification requirements, those may include the following (see Section 15(h) of the Act):

1. If an employee's request to use paid leave time is foreseeable, then an employer may require an employee give a maximum of 7 days' prior notice.

2. If an employee's request to use paid leave time is unforeseeable, then the employer may require the employee to provide notice as soon as practically possible after the employee is aware of the necessity of the leave.

c) An employer may deny an employee's request to use the minimum amount of paid leave provided for under this Act if all of the following conditions are met:

1. The employer's policy for considering leave requests under the Act, including any basis for denial under this Section is disclosed to the employee, in writing, consistent with this Section; and

2. The employer's paid leave policy establishes certain limited circumstances in which paid leave may be denied in order to meet the employer's operational needs for the requested time period; and

3. As a matter of fact, the employer’s policy is consistently applied to similarly situated employees and does not effectively deny an employee adequate opportunity to use all paid leave time they are entitled to over a 12-month period.

d) An employer shall provide employees with written notice of the paid leave policy notification requirements in this Section in the manner provided in Section 20 (d) of the Act for notice and posting, and shall do so within 5 calendar days of any change to the employer's reasonable paid leave policy notification requirements. [820 ILCS 192/15]

e) An employer shall not require an employee to search for or locate a replacement worker to cover the employee's use of paid leave time. [820 ILCS 192/15]

f) If an employer changes its policy regarding an employee's requirement to notify the employer before taking paid leave time, then the employer must communicate the change in writing within 5 calendar days after the change.

g) An employer may restrict an employee's use of paid leave to the employee's known or anticipated work schedule.

56 Ill. Adm. Code 200.320 Carry Over

a) For an employee who accrues paid leave time over the course of a 12-month period, any unused paid leave time shall carry over annually from one 12-month period to the next 12-month period unless the employer and employee have mutually agreed that the unused leave will be paid out according to subsection (d). Employers may establish a reasonable policy consistent with Section 200.310 restricting employees' ability to carry over more than 40 hours of unused paid leave. See Section 15(i) of the Act.

b) Employees who receive frontloaded paid leave at the beginning of the 12-month period, in accordance with Section 200.220, are not entitled to carry over paid leave time from one 12-month period to the next unless the employer allows them to carry their paid leave time over. See Section 15(c) of the Act.

c) An employee is not entitled to use more than 40 hours of paid leave in a 12-month period unless the employer allows them to do so. See Section 15(i) of the Act.

d) An employer and employee may mutually agree, in writing and on an annual basis, that unused paid leave will be paid out to the employee at the end of the 12-month period instead of being carried over into the new 12-month period.

56 Ill. Adm. Code 200.330 Rate of Pay

a) Employees shall be paid their hourly rate of pay when taking paid leave time.

b) Employees who work in an occupation where gratuities are customarily the form of payment shall be paid at least the full minimum wage in the jurisdiction where the employer is located or the agreed upon base hourly wage rate, whichever is higher, for all paid leave hours.

c) Employees who work in an occupation where commissions are customarily the form of payment shall be paid at least the full minimum wage in the jurisdiction where the employer is located or the agreed upon base hourly wage rate, whichever is higher, for all paid leave hours.

d) Employees who earn compensation through any other method shall be paid their hourly rate of pay when taking paid leave.

56 Ill. Adm. Code 200.400 Domestic Workers

a) Domestic workers shall earn or accrue paid leave under this Act from each employer for whom they perform work. If the employer of a domestic worker requires that a domestic worker demonstrate that the domestic worker has performed, in aggregate for all employers, more than 8 hours of domestic work per workweek, in order to meet the definition of "domestic worker" in Section 10 of the Domestic Workers' Bill of Rights Act, then a signed statement prepared by the domestic worker and submitted to each employer indicating that the employee has worked or is scheduled to work 8 total hours in the workweek shall suffice in order for the domestic worker to be eligible to earn paid leave time. [820 ILCS 192/10]

b) If a domestic worker is employed jointly by two or more employers in a shared services arrangement, then all of the employers shall be considered one employer for the purposes of the Act and this Part (see Section 200.420).

EXAMPLE: A worker is hired jointly by two families with an agreement to provide nanny services for two separate households. The worker provides services for a combined 50 hours during the week: 30 hours for Family A and 20 hours for Family B. For the purposes of providing paid leave time, the families are in a shared services arrangement. All of the worker's time spent working for both families is counted together for accrual calculation purposes.

56 Ill. Adm. Code 200.410 Joint Employment

For the purposes of the Act and this Part, questions of joint employment will be evaluated according to the provisions of Section 210.115 of the Minimum Wage Law Code (56 Ill. Adm. Code 210).

56 Ill. Adm. Code 200.420 Transfers and Reinstatements

a) An employee is entitled to retain and use all unused accrued paid leave earned at a division, entity, or location if the employee is transferred to a separate division, entity, or location of the same employer. [820 ILCS 192/15]

b) An employee is entitled to retain and use all unused accrued paid leave time earned from employment if the employee was terminated or separated from employment and was rehired within 12 months by the same employer. The unused earned or accrued paid leave time shall be reinstated to the employee on the first day of reinstatement. [820 ILCS 192/15]

c) If an employee separates and returns within the same 12-month period, that employee is entitled to reinstatement of any unused frontloaded paid time off unless it was paid out upon separation.

56 Ill. Adm. Code 200.430 Continuation of Health Benefits

a) If an employee takes earned or accrued paid leave under the Act, then the employer shall continue to provide any health plan coverage for the employee and the employee's family that the employee already had during the duration of the paid leave time. [820 ILCS 192/15]

b) The continuation of any group health plan coverage shall not be at a level or at conditions less than if the employee had not taken or used paid leave under the Act. [820 ILCS 192/15]

c) If the employee is required to pay a premium for the health plan while taking or using paid leave time, then before the use of paid leave the employer shall notify the employee in writing that the employee is still responsible for continued payment. [820 ILCS 192/15]

56 Ill. Adm. Code 200.440 Recordkeeping Requirements

a) Every employer shall create and maintain, for not less than 3 years, the following records for each employee:

1. Name and address;

2. Hours worked each day in each workweek;

3. Paid leave earned or accrued in each workweek;

4. Paid leave taken or used in each workweek;

5. Requests by the employee to use paid leave that the employer denied; and

6. Remaining paid leave balance in each workweek and upon employee's separation or termination from employment. [820 ILCS 192/15]

b) Every employer shall make all records related to the Paid Leave for All Workers Act and this Part available to the employee or for inspection by the Department upon request.

56 Ill. Adm. Code 200.450 Display of Paid Leave for All Workers Notice

Every employer shall display a notice in the following manner:

a) Each notice shall be posted in a conspicuous location on the employer's premises where notices to employees are customarily posted.

b) The notice shall not be obscured in any manner and shall be prominently visible in the location where notices to employees are customarily posted. In addition to displaying a notice in a physical location at the employer's premises, employers who regularly communicate with employees via electronic means shall also provide the notice via the employer's regular electronic communication method.

c) The notice shall be a written document supplied by the Department at no cost to the employer, summarizing the requirements of the Act including information about filing a complaint with the Department. [820 ILCS 192/20]

d) If the employer's workforce has a significant percentage of workers who are not literate in English, then the employer shall additionally post the notice, as supplied by the Department, in the languages commonly spoken in the workplace.

56 Ill. Adm. Code 200.460 Determining Payout of Paid Leave Upon Separation from Employment

a) An employee's existing time off allowance bank or time off account shall be kept separate from the accounting of the employee's earned paid leave under the Act unless the employer's written policy or practice is to combine such leave.

b) If an employer chooses to credit the paid leave provided for under the Act to an existing paid leave allowance provided by the employer, such policy must be communicated to the employee within 30 days after the start of employment or of the effective date of the policy. See Section. 300.210.

c) If an employer chooses to credit the leave provided for under the Act to an existing paid leave allowance provided by the employer, any unused paid leave time shall be paid to the employee upon an employee's termination, resignation, retirement, or other separation to the same extent that vacation time is paid under the Illinois Wage Payment and Collection Act [820 ILCS 115/5]. [820 ILCS 192/15]

d) If an employer does not provide an additional form of paid leave allowance, nor chooses to combine or credit the multiple forms of leave together, then an employer shall not be required to pay out, provide financial benefit, or reimbursement for unused paid leave earned under the Act upon an employee's termination, resignation, retirement, or other separation from employment at any time of the year.

EXAMPLE A: Prior to January 1, 2024, Employer A, who is subject to the Illinois Wage Payment and Collection Act, offers two weeks of paid vacation to all employees. Beginning on January 1, 2024, Employer A allows employees to accrue paid leave under the Paid Leave for All Workers Act, and terms that leave "PLAW Leave." Employer A maintains records of the distinct balance each employee has in the employee's vacation account and in the employee's PLAW Leave account. Because Employer A maintains separate documentation of the vacation leave and PLAW Leave, Employer A does not have to pay out PLAW Leave upon an employee's separation. When Employee A requests to use leave, Employer A should ask Employee A whether they wish to deduct the leave from their vacation balance or their PLAW Leave balance in order to appropriately document Employee A's remaining paid leave balances.

56 Ill. Adm. Code 200.470 Prohibition on Retaliation

a) It is unlawful for any employer to threaten to take or to take any adverse action against an employee because the employee does one or more of the following:

1. exercises a right or attempts to exercise a right under the Act or this Part;

2. opposes practices which the employee believes to be in violation of the Act or this Part; or

3. supports the exercise of rights of another employee of the same employer under the Act or this Part. [820 ILCS 192/25]

b) It is unlawful for any employer to consider the use of paid leave by an employee as a factor in any employment action that involves recruitment, hiring, promotion, renewal of employment, selection for training or apprenticeship, discharge, discipline, tenure or terms, privileges or conditions of employment evaluation, or counting paid leave under a no-fault attendance policy. [820 ILCS 192/25]

c) It is unlawful for an employer to take adverse employment action, including but not limited to, penalizing or disciplining an employee under an attendance point system or equivalent attendance scoring or tracking system when an employee exercises his or her rights under the Act or this Part.

56 Ill. Adm. Code 200.500 Filing a Complaint

a) An employee may file a complaint with the Department alleging a violation of the Act by completing and submitting a form provided by the Department and submitting supporting documentation. All complaints shall be filed within 3 years after the alleged violation. [820 ILCS 192/30]

b) The Department has the power to conduct investigations upon receipt of a complaint or at the discretion of the Director. Complaints shall be reviewed by the Department to determine whether there is cause for investigation.

c) The Department may attempt to resolve the complaint by conference, voluntary mediation, conciliation, or persuasion.

d) If, after investigation, the Department believes that the Act has been violated, then the Department shall notify the parties in writing and the matter shall be referred to an administrative hearing consistent with Section 200.520.

56 Ill. Adm. Code 200.510 Service of Documents

Service of any document upon any person may be made by personal delivery, certified mail with the return receipt signed by the person or its agent, U.S. regular mail with postage prepaid, email to an email address previously designated by the party for purposes of receiving communications under this Act, or any other verifiable means, such as private carrier, to the following:

a) an address on file with the Department;

b) an address on file with the Secretary of State;

c) an address on file with any other State agency with which the respondent must maintain a current address; or

d) any other address, including e-mail address, that the Department reasonably calculates to be a true and current address for the respondent.

56 Ill. Adm. Code 200.520 Administrative Hearings

Hearings shall be conducted pursuant to the provisions of Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 10] and the Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120).

56 Ill. Adm. Code 200.530 Damages, Penalties, and Relief Due to the Employee

a) If the Department determines that an employer owes payment for paid leave hours to an aggrieved employee or did not allow the employee to use earned paid leave hours, then the total amount due to the aggrieved employee shall be the following:

1. Total value of earned paid leave hours owed to the aggrieved employee;

2. Compensatory damages;

3. A penalty of not less than $500 and not more than $1,000; and

4. Any equitable relief as determined by the Administrative Law Judge pursuant to a hearing conducted under the IAPA. [820 ILCS 192/30]

b) When determining the amount of a penalty, the Director shall consider the following factors:

1. The gravity of the violation, including the nature, circumstances, and extent of the violation, and the severity of the actual or potential harm;

2. The history of previous violations; and

3. The size of the employer, including number of employees employed by the employer, the gross dollar volume of sales or business done, the employer's capital investments and financial resources, and other information relevant to the size of the employer.

56 Ill. Adm. Code 200.540 Penalties Due to the Department of Labor

a) If an employer violates any provision of the Act except for Section 20(c) of the Act or any Section of this Part, except for Section 200.450, then the employer shall be subject to a civil penalty of $2,500 per offense, payable to the Paid Leave for All Workers Fund. [820 ILCS 192/35]

b) An employer who violates Section 200.450 of this Part, or Section 20(d) of the Act shall be fined a civil penalty of $500 for the first audit violation and $1,000 for any subsequent audit violation. [820 ILCS 192/20]

Part 210 Minimum Wage Law

56 Ill. Adm. Code 210.100 Application of the Act

All functions and powers of the Department of Labor and the Director under the Minimum Wage Law shall be exercised in cooperation with the functions and powers of the U.S. Department of Labor under the Fair Labor Standards Act of 1938, as amended (29 U.S.C. 201 et seq.). In areas where the State and federal governments have concurrent powers under their respective statutes, the stricter of the two laws shall prevail.

56 Ill. Adm. Code 210.110 Definitions

"Act" means Minimum Wage Law [820 ILCS 105].

"Agriculture" means farming in all of its branches and among other things includes the cultivation and tillage of the soil, dairying, the production, cultivation, growing, and harvesting of any agricultural or horticultural commodities (including commodities defined as agricultural commodities in Section 15(g) of the Agricultural Marketing Act, as amended (12 U.S.C. 1141 et seq.)), the raising of livestock, bees, fur-bearing animals, or poultry, and any practices (including forestry or lumbering operations) performed by a farmer or on a farm as an incident to or in conjunction with such farming operations, including preparation for market, delivery to storage or to market or to carriers for transportation to market, but not the operation of processing such commodities and any activities subsequent to such operation. Agriculture shall not include the cultivation, growing, harvesting, or preparation for the storage or marketing of Christmas trees, as defined in the regulations promulgated under the Fair Labor Standards Act of 1938, at 29 C.F.R. 780.200 - 780.209 (1994, no subsequent dates or editions), as amended at 36 FR 12084. The phrase "incident to or in conjunction with" shall not include construction by a private contractor of farm buildings on a farm.

"Aquaculture" means the controlled propagation, growth and harvest of aquatic organisms, including but not limited to fish, shellfish, mollusks, crustaceans, algae, and other aquatic plants, as defined in the Aquaculture Development Act [20 ILCS 215].

"Compliance Officer" means an authorized representative of the Director who is charged with the duty to:

investigate and gather data regarding the wages, hours and other conditions and practices of employment in any industry subject to this Act; and

investigate such facts, conditions, practices or matters as the officer may deem necessary or appropriate to determine whether any person has violated any provision of this Act, or which may aid in the enforcement of this Act.

"Department" means the Illinois Department of Labor.

"Director" means the Director of the Department or a duly authorized representative.

"Domestic worker" has the definition ascribed to it in the Domestic Workers' Bill of Rights Act [820 ILCS 182].

"Employee" means any individual permitted or suffered to work by an employer.

The Director will consider the following factors as significant when determining whether an individual is an employee or an independent contractor:

the degree of control the alleged employer exercised over the individual;

the extent to which the services rendered by the individual are an integral part of the alleged employer's business;

the extent of the relative investments of the individual and alleged employer;

the degree to which the individual's opportunity for profit and loss is determined by the alleged employer;

the permanency of the relationship;

the skill required in the claimed independent operation.

The common law standards relating to master and servant, the parties' designations and terminology, and the individual's status for tax purposes, are not dispositive. Rather, it is the total activity or situation that is controlling. In the case of an individual employed by a public agency, such term means any individual employed by the State of Illinois or any of its political subdivisions except for an individual who is a bona fide elective or appointed official.

"Governmental body" means the State and its agencies, municipalities and units of local government, and school districts.

"Hours worked" means all the time an employee is required to be on duty, or on the employer's premises, or at other prescribed places of work, and any additional time the employee is required or permitted to work for the employer. In the context of domestic work, "hours worked" includes all time during which a domestic worker is not completely relieved of all work-related duties, regardless of the location where the domestic work is performed.

An employee's meal periods and time spent on-call away from the employer's premise are compensable hours worked when such time is spent predominantly for the benefit of the employer, rather than for the employee.

An employee's travel, performed for the employer's benefit (for example, in response to an emergency call back to work outside the employee's normal work hours, or at the employer's special request to perform a particular and unusual assignment, or as a part of the employee's primary duty, or in substitution of the employee's ordinary duties during normal hours) is compensable work time as defined in 29 CFR 785.33 – 785.41 (1994, no subsequent dates or editions), as amended at 26 FR 190.

"Immediate family", as used in Section 3(d)(1) of the Act, means a person related to a subject employer either by blood, marriage or adoption and living as part of the same household. An employer who employs fewer than four employees exclusive of the employer's parent, spouse or child or other immediate family member is not subject to the provisions of the Act or this Part unless the employee is a domestic worker as defined in 820 ILCS 182/10. The definition of "immediate family" contained in 820 ILCS 182/10 shall apply to such domestic workers.

"Including any radio or television announcer, news editor, or chief engineer, as defined by or covered by the Federal Fair Labor Standards Act of 1938", as used in Section 4a(2)(E) of the Act, means any employee employed as an announcer, news editor, or chief engineer by a radio or television station the major studio of which is located:

in a city or town of one hundred thousand population or less, according to the latest available decennial census figures as compiled by the Bureau of the Census, except where such city or town is part of a standard metropolitan statistical area, as defined and designated by the Bureau of the Budget, which has a total population in excess of 100,000; or

in a city or town of 25,000 population or less, which is part of such an area but is at least 40 airline miles from the principal city in such area, as defined in the Fair Labor Standards Act of 1938 (29 U.S.C. 213(b)(9)) and the regulations promulgated thereunder at 29 C.F.R. Part 793 (1995, no subsequent dates or editions), as amended at 26 FR 10275.

"Individuals whose capacity is impaired by age or physical or mental deficiency", as used in Section 5 of the Act and in Subpart E of this Part, means individuals whose earning or productive capacity are impaired by a physical or mental disability, including those relating to age or injury, for the work to be performed. Disabilities which may affect earning or productive capacity include blindness, mental illness, intellectual or developmental disability, cerebral palsy, alcoholism, and drug addiction. The following, taken by themselves, are not considered disabilities for the purposes of Section 5 of the Act and Subpart E of this Part: vocational, social, cultural, educational disabilities; chronic unemployment; receipt of welfare benefits; nonattendance at school; juvenile delinquency; and correctional parole or probation. Further, a disability which may affect earning or productive capacity for one type of work may not affect such capacity for another.

"Learners", as used in Section 6 of the Act and Subpart F of this Part, means individuals who are participating in a training program for an occupation in which they are employed. Such a training program must involve either formal instruction or on-the-job training during a period when the learners are entrusted with limited responsibility and are under supervision or guidance.

"Man-day" means any day during which an employee performs any agricultural labor for not less than one hour.

"A member of a religious corporation or organization" means an individual whose functions are spiritual or religious, such as a priest, rabbi, minister, nun, reverend or other such individuals who perform similar functions as their primary duties.

"Student learner", as used in Section 6 of the Act and Subpart F of this Part, means a student who receives course credit for participating in school-approved work-study programs.

"Tipped employee" means an employee engaged in an occupation in which gratuities are customarily recognized as part of the remuneration of such employee as referred to in Section 4(c) of the Act; an employee cannot be deemed a tipped employee unless the employee received $20 or more per month in gratuities.

"Volunteer" means a person who works for an employer under no contract of hire, expressed or implied, and with no promise of compensation, other than reimbursement for expenses as part of the conditions for work. A volunteer is not an employee for the purposes of this Act.

"Wages" means compensation due to an employee by reason of the employment including allowances determined by the Director in accordance with the provisions of this Act. These allowances shall include gratuities and, when customarily furnished by a group of employers to their employees, meals, lodging and other facilities. When the reasonable cost of these allowances is not recorded by the employer, the Director will determine the fair value of such meals, lodging or other facilities for defined classes of employees based on the average cost to the employer or groups of employers, or other appropriate measures of fair value. Such evaluations, when applicable and pertinent, shall be used in lieu of the actual measure of cost in determining the wage paid to any employee. In the context of domestic workers, the cost of lodging and meal credits are governed by the standards in Section 210.125(d).

History

• Source: Amended at 46 Ill. Reg. 14051, effective July 19, 2022

56 Ill. Adm. Code 210.115 Joint Employers

a) Two or more employers may be associated with each other in relation to an individual employee in such a way that they jointly employ that individual under the Illinois Minimum Wage Law (the "Act"). If the facts establish that the worker is employed jointly by two or more employers, all of the employee's work for all of the joint employers during the workweek is considered as one employment for purposes of the Act. In this event, all joint employers shall be jointly and severally liable for any violation of the Act.

b) The following factors provide guidance on whether a joint employment relationship exists in a particular case:

1. The employee's work is to the benefit of the alleged joint employer;

2. The work performed by the employee is an integral part of the alleged joint employer's business or businesses;

3. The alleged joint employer has direct or indirect control or influence over the employee's terms or conditions of employment, including the employee's schedule and the quality of the employee's work;

4. The alleged joint employer owns or leases the premises where the work is performed or provides tools or materials used by employees to perform the work;

5. The alleged joint employer has direct or indirect control over the other joint employer's or employers' operations through contractual obligations, shared joint management, direct or indirect ownership interest, or economic dependence.

c) Whether a joint employment relationship exists depends on all the facts of the particular case. The inquiry should consist of looking at the actual relationship between the employee and the employers, including the employers' ability to exercise control over the employee either directly or indirectly. No one factor is dispositive in the determination of joint employment. For example, a joint employment relationship may still exist when only two of the five factors in subsection (b) indicate the existence of a joint employment relationship.

d) If all the relevant facts based on the five factors establish that two or more employers are acting in a manner that is substantially independent of each other, and are completely disassociated with respect to the employment of a particular employee who, during the same workweek, performs work for more than one employer, each employer may disregard all work performed by the employee for the other employer or employers in determining its own responsibilities under the Act.

e) Examples

1. Example 1

A) Trucking Company enters into a written agreement with Supplier to make deliveries to the Supplier's clients. Trucking Company is not a party to the Supplier's agreements with its clients; it only provides trucks and drivers. Supplier requests the number of trucks to fulfill its orders on a weekly basis and the number varies depending upon the orders. Trucking Company hires, disciplines, and dismisses drivers. Trucking Company assigns drivers to Supplier and its other clients on a rotating basis. Drivers establish the routes used to make the deliveries and are responsible for making deliveries in a timely fashion. Trucking Company has other clients.

B) Application

In this example, a joint employer relationship is not formed. Trucking Company hires, assigns, disciplines, and dismisses drivers. Supplier and Trucking Company are independent business entities that do not have any common ownership or shared management. The drivers provide work that is a benefit to the Supplier, but it is not an integral part of its business. Supplier has no direct or indirect control over the terms and conditions of the driver's work, in that it does not dictate the driver's routes or daily schedules.

2. Example 2

A) Company A owns a warehouse. Logistics are an integral part of Company A's business. Company A contracts with Company B, a logistics supplier, to provide logistics labor to the warehouse. To perform this contract, Company B relies on several staffing agencies including Staffing Agency. Workers are employed by Staffing Agency and perform work at the warehouse. Staffing Agency hires and pays the workers. Company A provides on-the-job training, necessary equipment and materials, provides assignments on site, and reserves the right to remove the workers from the work site. Both Company A and Company B supervise the workers' daily tasks and exert control over workers' schedules. The workers have been continuously working at Company A's warehouse, whether through Company B, Staffing Agency or another intermediary, for over a year.

B) Application

In this example, a joint employer relationship is formed between all the parties. While Staffing Agency hires and pays the workers, Company A exerts substantial control over the workers, provides training, equipment, and materials, can remove the workers from the work site, and exerts control over worker schedules and provides assignments. Company A and B supervise the workers. The workers have been continuously employed at Company A's warehouse regardless of the intermediaries. The work performed by the workers is for the benefit of Company A.

3. Example 3

A) An employee works as a laborer for landscaping Company A and also performs the same type of work for landscaping Company B. The two landscaping companies' managers coordinate the employee's schedule, assign the employee to various job sites, and generally determine which workers will be on the crews on a given week. Company A and Company B issue separate payroll checks to the employee from separate accounts. The two companies are independently incorporated, however, both companies share the same majority owner. At times, the two companies share tools and equipment used by the workers.

B) Application

In this example, a joint employer relationship is formed. The facts that Company A is incorporated separately from Company B and that each company pays the workers from separate accounts do not insulate them from the joint employer relationship. Here, Company A and Company B share common ownership. The companies share workers, share equipment, coordinate employee schedules, assignments, and determine what crew workers will be on. Functionally, they operate as joint employers.

4. Example 4

The General Contractor for a large building construction project has engaged various subcontractors to complete certain aspects of the job.

A) Example 4A

i) General Contractor enters into a verbal agreement with Subcontractor A to provide general workers for the project. The scope of the work is not defined and changes on a daily basis depending on the General Contractor's needs at the time. The workers report to the job site every day for the duration of the project, and will work on this project until substantial completion. General Contractor provides the tools and materials the workers use and directs the daily tasks and schedules for the workers. Both General Contractor and Subcontractor A supervise the employees' quality of work. General Contractor reserves the right to remove any of Subcontractor A's workers from the project but does not have authority to terminate workers. General Contractor has the right to enforce all reasonable workplace rules, regulations, and address safety issues on the job site.

ii) Application

In this example, a joint employer relationship is formed. The workers perform work solely on the General Contractor's job site and for the General Contractor's benefit. While both the General Contractor and Subcontractor A control the supervision and quality of work, General Contractor maintains all other authority over the project. General Contractor has assumed direct control of the assigning workers to the job site. General Contractor makes the daily work schedule, directs the workers as to the work they are to complete, and the workers are assigned to this project for the duration of the project, making them an integral part of the job. The General Contractor can take disciplinary action by removing workers from the worksite.

B) Example 4B

i) General Contractor has a written agreement with Subcontractor B to perform electrical work on the project. The agreement outlines the scope of work and requires that Subcontractor B maintain certain delineated safety standards. Per the agreement, General Contractor also has the right to address safety issues on the job site. The work requires specialized training, which Subcontractor B has ensured its employees are fully qualified to perform. Electricians employed by Subcontractor B report daily to the project for a discrete period. The electricians may be scheduled by Subcontractor B to be on other project sites during the same day as being on Contractor's project. Subcontractor B coordinates the order and timing of their work with the General Contractor and, although it is not always on the job site, ensures the quality of the work. Subcontractor B provides the electricians with the tools and materials they bring to the job site. The electricians are provided safety requirements by Subcontractor B as outlined in the contract, Subcontractor B monitors for infractions and when infractions occur, Subcontractor B raises those issues with the electricians.

ii) Application

In this example, a joint employer relationship is not formed. While the electrical work performed benefits the General Contractor, it also benefits Subcontractor B's electrical business. Subcontractor B and the General Contractor are separate business entities. Subcontractor B hires, directs, assigns, and supervises the work of the electricians. General Contractor has no responsibility for the assignment or supervision of the work. General Contractor and Subcontractor B coordinate general scheduling to accommodate the flow of work being done, but the electricians are directed, assigned and scheduled to the project by Subcontractor B. Subcontractor B supplies the equipment, tools, and materials for the job, and is responsible for the quality of the electricians' work. Additionally, Subcontractor B is not economically dependent on the General Contractor, as the electricians are sent to other job sites indicating this project is only one of many for Subcontractor B.

5. Example 5

A) Hospital contracts with Security Company to provide armed and unarmed security guards 24 hours per day, 7 days per week. Security Company hires, trains, and supplies uniforms and equipment for the guards. While this is not the Security Company's only client, it is the largest and accounts for a majority of its annual revenues. Hospital employs a Chief of Security who is responsible for communicating the Hospital's needs to the Security Company. The Hospital Chief of Security holds weekly meetings with the Security Company to approve the guard assignments, staffing levels, individual guard job performance and evaluations, discipline of guards who violate the Hospital's policies, and suggest termination when in the Hospital's best interest. Security Company assigns an area supervisor who checks on the guards once per shift, but the Hospital Chief of Security oversees the guards' work when he is present. He has also given them direction and assigned specific tasks to the guards that are beyond the Security Company contract.

B) Application

In this example, a joint employer relationship is formed. Security Company and Hospital share direct control over the guards. The Hospital's Chief of Security has significant control and oversight in assignment, supervision, and performance issues, including discipline and termination. Additionally, there is an element of economic dependence as Hospital is Security Company's biggest client, which suggests additional control by the Hospital of the Security Company.

6. Example 6

A) Customer contacted Home Care Agency about receiving home care services. Home Care Agency met with Customer and determined what services were needed to meet Customer's needs. Home Care Agency, along with Customer, determined the tasks to be performed for Customer and the hours per week required to perform those tasks. Home Care Agency set qualifications, recruited, and hired Home Care Worker. Customer and Customer's wife supervise Home Care Worker on a day-to-day basis, can modify the tasks that Home Care Worker performs, and can modify Home Care Worker's work schedule. Customer or family members of Customer can report issues to Home Care Agency and Home Care Agency intervenes if a problem arises, such as arranging for another home care worker should Home Care Worker become unavailable. Home Care Agency pays the home care worker directly, keeps records of hours worked, and determines the hourly rate of pay for the Home Care Worker. Customer is invoiced by Home Care Agency for the services rendered.

B) Application

In this example, a joint employer relationship is formed between Home Care Agency, Customer, and Customer's wife. Here, Home Care Worker's wages are paid by Home Care Agency and Home Care Agency controls the rate of pay and the method of payment. Customer is invoiced by Home Care Agency. Home Care Agency, Customer, and Customer's wife exercise considerable control over the structure and conditions of Home Care Worker's employment by determining the hours of work and what tasks are to be performed. Customer's wife can raise issues with Home Care Worker's performance with Home Care Agency. Home Care Agency intervenes in issues between Home Care Worker and Customer and/or Customer's wife.

History

• Source: Added at 46 Ill. Reg. 2144, effective January 21, 2022

56 Ill. Adm. Code 210.120 The Use of Federal Definitions of Various Terms

For guidance in the interpretation of the Act and this Part, the Director may refer to the Regulations and Interpretations of the Administrator, Wage and Hour Division, U.S. Department of Labor, administering the Fair Labor Standards Act of 1938, as amended (29 U.S.C. 201 et seq.).

56 Ill. Adm. Code 210.125 Domestic Workers

a) Definitions. The following definitions shall apply for Section 125 only:

1. "Bona fide meal break" means a period in which a domestic worker is completely relieved from duty for the purposes of eating regular meals. Ordinarily 20 minutes or more is long enough for a bona fide meal break. A domestic worker is not completely relieved from duty if the domestic worker is required to perform any duties, whether active or inactive, while eating.

2. "Rest Period" means a period of time in which a domestic worker has complete freedom from all work-related duties and during which a domestic worker may either leave the location where the domestic work is performed without an obligation to be on call or remain at the location the domestic work is being performed for purely personal pursuits. Rest periods of less than 20 minutes must be counted as "hours worked"

3. "Shared Services" means services provided by a domestic worker to more than one employer that are intentionally coordinated by the employers. For example, in the context of childcare services, shared services are commonly referred to as a "nanny share".

4. "Sleep Period" means a regularly scheduled, uninterrupted sleeping time of not more than eight hours, during which the employer provides sleeping quarters that comply with 56 Ill. Adm. Code 210.125(d)(1)(B) and a domestic worker can sleep, uninterrupted by work-related duties. Any period of interrupted sleep to perform work-related duties must be compensated. If a domestic worker cannot get at least 5 hours of uninterrupted sleep, completely relieved of work-related duties, that time period shall not be considered a sleep period and must be compensated as working time.

b) Hours Worked. A domestic worker must be paid for all hours worked, excluding bona fide meal breaks, rest periods, and sleep periods.

1. Example: A caregiver making a personal call while watching over a client who is bedridden and requires constant supervision is not completely relieved of all work-related duties and must be compensated for this time.

2. Example: A nanny who is taking her lunch break, is able to leave the employer's premises at her discretion, and is relieved of her duties of childcare by a parent, is completely relieved of all work-related duties.

3. Example: a caregiver lives at his employer's home. As his sleep period, the caregiver is relieved of his duties at 9 pm and is to resume work at 5 am the following day. However, during one particular sleep period, he is interrupted 3 times between 11 pm and 4 am. Here, the caregiver is not allowed a period of at least 5 hours of uninterrupted sleep, the 5-hour period of 11 pm to 4 am is not considered a sleep period, and the time is compensable as working time.

c) Recordkeeping. An employer shall maintain pay and time records for domestic workers in accordance with Section 210.700.

1. Time records shall include records indicating each bona fide meal break, rest period, and sleep period taken in a workweek.

2. In the absence of accurate employer time records, a domestic worker need only produce sufficient evidence to demonstrate the amount and extent of compensable time worked as a just and reasonable inference. Credible testimony by the employee is sufficient evidence. The employer must then produce evidence of the exact amount of work or time earned or produce evidence to negate the reasonable inferences drawn from the employee's evidence. The employer's failure to make and maintain records as required under subsection (b)(1) shall not preclude a finding based on the information available that compensable time is due, even though the award may be only approximate.

d) Overtime. A domestic worker must be compensated at the overtime rate for all hours worked in excess of 40 in a workweek, regardless of the nature of the services provided. Overtime base rates must be calculated by including all credits taken by the employer for lodging and meals in a workweek as well as any deductions taken by the employer. Where two or more employers share services, the hours worked by the domestic worker for each employer must be included in calculating total hours worked in the workweek for overtime purposes.

1. Example: A worker is hired jointly by two families with an agreement to provide nanny services for two separate households. The worker provides services for a combined 50 hours during the week: 30 hours for Family A and 20 Hours for family B. The worker is entitled to 10 hours of pay at overtime rates for time worked over 40 hours.

2. Example: A cashier at a family-owned restaurant is asked by the restaurant owner to take care of the owner's children a couple of days a week. The worker works a combined 60 hours during the week: 40 hours as a cashier at the restaurant and 20 hours taking care of the owner's children. The worker is entitled to 20 hours of pay at overtime rates.

e) Lodging or Meal Credit

1. An employer may take a credit from a domestic worker's wages for meals or lodging actually provided to the domestic worker, if the following conditions are met:

A) the domestic worker voluntarily and freely chooses the lodging or meals;

B) the lodging is private, safe, and sanitary and otherwise complies with federal, State and local laws, ordinances or prohibitions including but not limited to:

i) a room with a door with a lock;

ii) at least a twin-sized bed, or larger, and other basic accommodations; and

iii) unrestricted access to the kitchen, laundry, bathroom and potable water.

C) the employer maintains accurate records on a workweek basis of any lodging and meal credit taken for that workweek, including records demonstrating:

i) the costs incurred including itemized accounts of the nature and amounts of the expenditures; and

ii) any deductions from wages, including overtime wages;

D) the resulting credit for lodging is the lesser of the fair market value of the accommodations provided or seven and one-half times the statutory minimum hourly wage for each week lodging is furnished (minimum wage X 7.5); and

E) the employer takes a credit based on the reasonable cost of the meals and the resulting credit for meals is the lessor of $2 for breakfast, $3 for lunch, and $3 for dinner or the actual cost.

2. An employer shall not take lodging or meal credits from the wages of a domestic worker if the employer requires that a domestic worker reside on the employer's premises or in a particular location or if the domestic worker maintains a separate place of residence and sleeps at the employers' premises for the benefit of the employer and for purposes of performing job duties.

History

• Source: Added at 46 Ill. Reg. 14051, effective July 19, 2022

56 Ill. Adm. Code 210.130 Length of Coverage for an Employer

An employer remains subject to the Act for the rest of a quarter in which it employed a fourth employee, or for the entire pay period in which it employed a fourth employee, whichever period is longer.

56 Ill. Adm. Code 210.140 Uniforms

No allowances for supply, maintenance or laundering of required uniforms shall be permitted as part of the minimum wage.

56 Ill. Adm. Code 210.150 Forbidden Activity Covered by Other Laws

Nothing in the Act or this Part is designed or intended to enable a person or employer to perform any act or activity forbidden by the laws of this State or of the United States.

56 Ill. Adm. Code 210.160 Communication with the Department and the Director

All employers subject to the provisions of the Act and all persons aggrieved by reason of an alleged violation of the Act shall address all communications, complaints, applications and correspondence to the Department's Chicago office.

56 Ill. Adm. Code 210.200 Meals and Lodging

a) The reasonable cost of meals and lodging furnished by the employer and actually used by the employee may be considered as part of the wage paid an employee only where customarily furnished to the employee. The employee must receive the meals and/or lodgings for which he or she is charged, and it is also essential that his/her acceptance thereof be voluntary and uncoerced. It is not sufficient that the meals and/or lodgings be furnished by an employer to justify the charge. It is necessary that the meals and/or lodgings are furnished regularly by the employer to his employees in the same or similar trade, business or enterprise in the same or similar communities.

b) The employer may charge the employee the reasonable cost to the employer of furnishing meals and/or lodgings which cost does not include profit to the employer and/or any affiliated person.

56 Ill. Adm. Code 210.300 Sex Discrimination

The Act forbids wage discrimination between employees on the basis of sex. The Illinois Department of Human Rights has the responsibility of enforcement of the Illinois Human Rights Act [775 ILCS 5] which also prohibits discrimination in employment based on sex. The Illinois Department of Labor will cooperate with the Department of Human Rights in enforcing the similar sex discrimination provisions in their respective Acts as they relate to wages.

56 Ill. Adm. Code 210.400 Determining Workweek for Overtime

a) An employee's workweek is a fixed and regularly recurring period of 168 hours - seven consecutive 24-hour periods. It need not coincide with the calendar week, but it may begin on any calendar day and at any hour of the day.

b) Once the beginning time of a workweek is established, it remains fixed regardless of the schedule of hours worked by the employee. The beginning of the workweek may be changed if the change is intended to be permanent and is not designed to evade the overtime requirements of this Act.

c) In the event an employer fails to establish a fixed and regular work week, the Director shall consider a calendar week as the applicable work week. "Calendar week" means that seven consecutive day period beginning at 12:01 a.m. Sunday morning and ending on the following Saturday night at midnight.

56 Ill. Adm. Code 210.410 Exclusions from the Regular Rate

The "regular rate" shall be deemed to include all remuneration for employment paid to, or on behalf of, the employee, but shall not include:

a) Sums paid as gifts such as those made at holidays or other amounts that are not measured by or dependent on hours worked; and

b) Payments made for occasional periods when no work is performed due to a vacation, holiday, illness, failure of employer to provide sufficient work, or other similar cause; and

c) Sums paid in recognition of services performed which are:

1. determined at the sole discretion of the employer, or

2. made pursuant to a bona fide thrift or savings plan, or

3. in recognition of a special talent; and

d) Contributions irrevocably made by an employer to a trustee or third person pursuant to a bona fide plan for providing old age, retirement, life, accident, or health insurance or similar benefits for employees; and

e) Extra compensation provided by a premium rate paid for certain hours worked by the employee in any day or workweek because such hours are hours worked in excess of eight a day where such premium rate is not less than one and one-half times the rate established in good faith for like work performed in non-overtime hours on other days; and

f) Extra compensation provided by a premium rate paid to employees on Saturdays, Sundays, holidays or regular days of rest where such premium rate is not less than one and one-half times the rate established in good faith for like work performed in non-overtime hours on other days; and

g) Extra compensation provided by a premium rate paid to the employee, in pursuance of an applicable employment contract or collective bargaining agreement, for work outside of the hours established in good faith by the contract or agreement as the basic workday where such premium rate is not less than one and one-half times the rates established in good faith by the contract or agreement for like work performed during such workday or workweek.

56 Ill. Adm. Code 210.420 Regular Rate of Pay for Determination of Overtime

a) Section 4a of the Act requires that overtime must be compensated at a rate not less than one and one-half times the regular rate at which the employee is actually employed. The regular rate of pay at which the employee is employed shall in no event be less than the statutory minimum. If the employee's regular rate of pay is higher than the statutory minimum, his overtime compensation must be computed at a rate not less than one and one-half times such higher rate.

b) The regular rate is a rate per hour. The Act does not require employers to pay employees on an hourly rate basis. Their earnings may be determined on a piece-rate, salary, commission, or some other basis, but in such case the overtime pay due must be computed on a basis of the hourly rate derived from such earnings.

56 Ill. Adm. Code 210.430 Methods of Computing Overtime

a) Hourly Rate Employees: If an employee is employed solely on the basis of a single hourly rate, the hourly rate is the "regular rate". For overtime hours, the employees must be paid, in addition to the straight time hourly earning, a sum determined by multiplying one-half the hourly rate by the number of hours worked over the maximum set by statute.

b) Pieceworker: When an employee is employed on a piece-rate basis (so much per piece, dozen, gross, etc.) the regular rate of pay is computed by adding together the total earnings for the workweek from piece rates and all other earnings (such as bonuses) and any sums paid for waiting time or other hours worked. This sum is then divided by the number of hours worked in that week to yield the piece worker's "regular rate" for that week. For the overtime work the piece worker is entitled to be paid, in addition to the total straight time weekly earnings, one-half this regular rate for each hour over the maximum set by statute.

c) Day Rates and Job Rates: An employee may be paid a flat sum for a day's work or for doing a particular job, without regard to the number of hours worked in the day or at the job, and receive no other form of compensation. In such a case, the employee's regular rate is found by totalling all sums received at such day rates or job rates in the workweek and dividing by the total hours actually worked. The employee is then entitled to extra half-time pay at this rate for all hours worked over the maximum set by statute.

d) Employee Paid on a Salary Basis: If an employee is employed solely on a weekly salary basis, the regular hourly rate of pay is computed by dividing the salary by the number of hours which the salary is intended to compensate.

e) Salary for Periods Other Than a Workweek: Where the salary covers a period longer than a workweek, such as a month, it must be reduced to its workweek equivalent. A monthly salary can be converted to its equivalent weekly wage by multiplying by 12 (the number of months) and dividing by 52 (the number of weeks). A semi-monthly salary is converted to its equivalent weekly wage by multiplying by 24 and dividing by 52.

f) Fixed Salary for Fluctuating Hours: The regular rate of an employee whose hours of work fluctuate from week to week, who is paid a stipulated salary with the clear understanding that it constitutes straight time pay for all hours worked, whatever their number and whether few or many, will vary from week to week. The regular rate is obtained for each week by dividing the salary by the number of hours worked in the week. It cannot be less than the applicable minimum wage in any week. Since straight time compensation has already been paid, the employee must receive additional overtime pay for each overtime hour worked in the week at not less than one-half this regular rate.

g) Employees Working at Two or More Rates: Where an employee in a single workweek works at two or more different types of work for which different straight time rates have been established, the regular rate for that week is the weighted average of such rates. That is, the earnings from all such rates are added together and this total is then divided by the total number of hours worked at all jobs.

h) Payments Other Than Cash: Where payments are made to employees in the form of goods or facilities which are regarded as part of wages, the reasonable cost to the employer or the fair value of such goods must be included in the regular rate (for example, lodging would be one such facility).

i) Commission Payments: Commissions (whether based on a percentage of total sales or of sales in excess of a specified amount or on some other formula) are payments for hours worked and must be included in the regular rate. This is so regardless of whether the commission is the sole source of the employee's compensation or is paid in addition to a salary or hourly rate. It does not matter whether the commission earnings are computed daily, weekly, monthly or at some other interval.

j) Commission Paid on a Workweek Basis: When a commission is paid on a workweek basis, it is added to the employee's other earnings for that workweek, and the total is divided by the total number of hours worked in the workweek to obtain the employee's regular rate for the particular workweek. The employee must be paid extra compensation at one-half of that rate for each overtime hour worked.

k) Deferred Commission Payments: If the calculation and payment of the commission cannot be completed until some time after the regular pay day for the workweek, the employer may disregard it until the amount of commission can be determined. When the commission can be computed and paid, the additional overtime compensation will be paid.

l) To compute this additional overtime compensation, the commission is apportioned back over the workweeks of the period during which it was earned. The employee must then receive additional overtime pay for each week during the period in which overtime was worked. If it is not possible or practicable to allocate the commission on the basis of the amount of commission actually earned each week some other reasonable equitable method must be adopted. One such method is to allocate an equal amount of commission earnings to each workweek in the period in which the commission was earned. Another is to allocate equal amounts to each hour worked in that period.

m) Nothing in this Section limits the Department of Labor from authorizing the use of legal methods of computation for the purpose of computing overtime.

56 Ill. Adm. Code 210.440 Overtime – General

a) The Act does not require that an employee be paid overtime compensation for hours in excess of eight per day, or for work on Saturdays, Sundays, holidays or regular days of rest, unless hours worked exceed forty per week.

b) The Act does not require holiday, vacation, sick pay or other similar causes be included in the regular rate of the employee. Hours that are paid for, but not worked, will not increase the regular rate.

c) Sums paid as gifts such as those made at holidays or other amounts that are not measured by or dependent on hours worked may not be credited towards, or used to offset from, overtime compensation due under the Act.

56 Ill. Adm. Code 210.500 Application for a License to Employ an Individual with a Disability at a Wage Less Than the Minimum Wage Rate

a) No employer subject to the provisions of the Act may employ an individual with a disability at less than the minimum wage rate pursuant to Section 4 of the Act without first obtaining a license from the Director.

b) An official application form for a license to employ an individual with a disability at a wage less than the minimum wage rate shall be provided by the Director. The employer shall answer all questions contained on the form. The application shall be signed jointly by the employer and the individual with a disability.

c) The license shall be effective for a period not to exceed one year. The individual may be paid the sub-minimum wage permitted under the license only during the effective period of the license. The wage rate set in the license shall be fixed at a figure designed to reflect adequately the individual worker's earning or productive capacity.

d) Upon the expiration of said license, an employer of an individual with a disability may submit an application for renewal, subject however to the same or similar terms and conditions as required for an original application. If an application for renewal has been properly and timely filed prior to the expiration date of a license, the license shall remain in effect until the application for renewal has been granted or denied.

56 Ill. Adm. Code 210.510 Criteria Used to Establish the Necessity of a Sub-Minimum Wage

a) In order to determine that a wage lower than the minimum wage rate provided in Section 4 of the Act is appropriate, the following criteria will be considered:

1. the specific nature and extent of an employed individual's disability and the direct correlation between the individual's disability and his/her productivity on the job;

2. a comparison of the wages paid generally to experienced employees not disabled in the locality in which the work is being performed to an individual with a disability engaged in work of a similar character at a sub-minimum wage rate;

3. the productivity of an individual with a disability compared to the norm established for nondisabled workers through the use of a verifiable work measurement method (as outlined in the regulations promulgated under the Fair Labor Standards Act of 1938, at 29 C.F.R. 525.12 (h) (1994, no subsequent dates or editions), as amended at 54 FR 32928 or the productivity of experienced nondisabled workers employed in the locality engaged in work of a similar character; and

4. the wage rate to be paid to an individual with a disability for work of similar character performed by experienced nondisabled workers.

The Director may as a prerequisite require the submission of additional information including medical or psychological examination report or an equivalent statement from a qualified federal or State agency.

b) The Director shall not issue a license to an employer to pay a lower, disability-based wage to an individual with a disability if the employer: eliminated essential functions that the individual could perform, lowered production standards that the individual could meet, or lowered the wages of the individual because it provided the individual with a reasonable accommodation. The Director will use the Americans with Disabilities Act of 1990, as amended (29 U.C.S. 12111 et seq.) as a guide in this area.

c) A claim or representation by an employer that the average cost of employing older workers as a group is higher than the average cost of employing younger workers as a group is not an acceptable differentiation to justify a sub-minimum wage to older workers. An older worker's production level must be measured on an individual basis against the production level required of other employees to justify a sub-minimum wage to older workers. The Director will use the Age Discrimination in Employment Act of 1967, as amended (29 U.S.C. 621 et seq.) as a guide in this area.

56 Ill. Adm. Code 210.600 General Provisions

a) No employer subject to the provisions of the Act shall employ a learner at less than the minimum wage pursuant to Section 4 of the Act without first obtaining a license from the Director. An employer may at no time pay a learner less than the minimum rate provided by Section 6 of the Act.

b) No person shall be deemed a learner at an establishment in an occupation for which he has completed the required training. A learner, having completed his/her required training, must thereupon be paid at wages not less than the minimum wage required by Section 4 of the Act.

c) The period of learning may not exceed six months, except where the Director determines, following investigation, that the occupation for which the learner is to be trained requires in excess of six months of such training to attain a level of minimum proficiency. A special request must be made by any employer seeking to extend the training period, upon forms provided by the Department.

d) The employer has the burden of establishing that, for the occupation for which the learner is to be trained, there is a bona fide training program for the occupation, and the length of the training period is reasonable in light of the skills required to attain a level of minimum proficiency.

56 Ill. Adm. Code 210.610 Application to Employ a Learner

An official application form for a license to employ learners at a wage less than the minimum wage rate shall be provided by the Director. The employer shall provide all the information required by the form, including but not limited to a statement clearly outlining the training program and the process in which the learner will be engaged while in training. The information shall further specify the total number of workers employed in the establishment, the number and hourly wage rate of experienced workers employed in the occupation in which the learner is to be trained, the hourly wage rate or progressive rate schedule which the employer proposes to pay to the learner, data regarding the age of the learner, the period of employment training at sub-minimum wages, the number of hours of employment training a week and the number of learners sought to be employed.

56 Ill. Adm. Code 210.620 Employing More Than One Learner

A license may be issued for the purpose of employing more than one learner in the same capacity. A special form, to be provided by the Director, is to be completed and forwarded to the Director for each learner hired pursuant to a license which permits employment of more than one learner in the same capacity.

56 Ill. Adm. Code 210.630 Basic Learner Training Requirements

The occupation for which the learner is receiving training must require a sufficient degree of skill to necessitate a learning period. The training must not be for the purpose of acquiring manual dexterity and high production speed in repetitive operations, nor may the employment of a learner displace any other worker employed in the establishment or tend to impair or depress the wage rates or working standards established for experienced workers for like work of comparable character.

56 Ill. Adm. Code 210.640 Student Learners in Work Study Programs

a) A student learner may be paid at a sub-minimum wage rate in accordance with Section 6 of the Act for the length of the course or for the time in which he or she receives course credit, whichever is shorter.

b) The employer or school must apply for a license to employ a student learner at a sub-minimum wage rate on official forms furnished by the Director. A license may be issued for the purpose of employing more than one student learner in the same capacity.

56 Ill. Adm. Code 210.700 Contents of Records

The following basic information must be contained in the records of the employers:

a) Name of each employee;

b) Address of each employee;

c) Birthdate of each employee eighteen years of age or under;

d) Social Security Number;

e) Sex and occupation in which employed;

f) Hours worked each day and hours worked each workweek;

g) Time of day and day of week when employee's workweek begins;

h) Basis on which wages are paid;

i) Additions and deductions from employee's wages for each pay period and an explanation of additions and deductions;

j) Type of payment (hourly rate, salary, commission, etc.), straight time and overtime pay and total wages paid each pay period; and

k) Dates of payment of each pay period covered by the payment.

56 Ill. Adm. Code 210.710 Identification of Learner or Individual with a Disability

a) Individuals employed as a learner, or individuals with disabilities employed at a sub-minimum wage, shall be identified on the payroll as learners or individuals with disabilities, together with their rate of pay and occupation.

b) Whenever possible, records of learners and individuals with disabilities are to be maintained in a separate file or folder for ready accessibility.

56 Ill. Adm. Code 210.720 Minimum Records of Gratuities

With respect to employees whose compensation is derived in part from 'gratuities', every such employer shall, in addition to the foregoing required information, also maintain and preserve records containing the following information and data with respect to each such employee:

a) An identifying symbol, letter or number on the payroll record indicating such employee is a person whose wage is determined in part by gratuities.

b) The report received from the employee setting forth gratuities received during each workday. Such reports submitted by the employee shall be signed and include his or her Social Security Number.

c) The amount by which the wage of each such employee has been deemed to be increased by gratuities as determined by the employer (not in excess of 40% of the applicable statutory minimum wage). The amount per hour which the employer takes as a gratuity credit shall be reported to the employee in writing each time it is changed from the amount per hour taken in the preceding pay period.

d) Hours worked each workday in any occupation in which the employee does not receive gratuities and the total daily or weekly straight time payment made by the employer for such hours.

e) Hours worked each workday in an occupation in which the employee received tips or gratuities, and total daily or weekly straight time earnings for such hours.

56 Ill. Adm. Code 210.730 Records Kept Outside of the Business Premises

Should any part of the records or documents be located in a place other than the business premises of the employer, they shall be made available to the duly authorized representatives of the Director for examination. Should any part thereof be located outside of the geographic boundaries of the State of Illinois, the employer must pay all expenses of examination by the Director's representatives, including travel, travel time, meal and lodging for each representative of the Director conducting said examination or investigation.

56 Ill. Adm. Code 210.740 Notice to Employers - Copies of the Act and Rules and Regulations

a) It is the responsibility of each employer to become informed concerning the application of the Act to his/her business, establishment or enterprise.

b) The Director shall, on request, provide every employer subject to any provisions of the Minimum Wage Law a copy of the Summary of the Act and the Rules and Regulations promulgated pursuant to the Act. Said employer shall have on file, accessible for ready reference by himself/herself or his/her covered employees, a current copy of the Summary of the Act and the Rules and Regulations pertaining thereto, together with all special interpretations issued by the Director as applied in the Act and the Rules and Regulations.

56 Ill. Adm. Code 210.750 Posting Requirements

Every employer employing "employees" as defined by this Act shall post and keep posted, in conspicuous places on the premises of the employer where notices to employees are customarily posted, a notice, to be prepared or approved by the Director in various languages, summarizing the requirements of the Act and information pertaining to the filing of a complaint.

History

• Source: Added at 46 Ill. Reg. 14051, effective July 19, 2022

56 Ill. Adm. Code 210.800 Investigations

a) Investigations under the Act may be generated by employee complaints and regular inspections (including target and re-inspections).

b) Employees, or former employees, who wish to file a complaint must complete and submit an official application form provided by the Director. Complainants shall answer all questions contained on the form, including, but not limited to: the complainant's name, address, telephone number, social security number, and if 18 years of age or younger, his/her birthdate; the name, address and telephone number of the employer; the type and amount of back wages claimed; the hours worked, wages per hour, and gratuities received; and the signature of the complaining party.

c) Any complaint which fails to meet all the requirements set forth in subsection (b) of this Section may be accepted by the Director if it otherwise contains the information determined by the Director to be necessary for a proper investigation and review of the alleged violation therein contained.

d) Complaints must be filed within 1 year from the date of separation of employment or within 1 year after the alleged underpayment, whichever occurred later. The Director may investigate payments made to all employees for up to 3 years prior to the date the complaint was filed.

56 Ill. Adm. Code 210.810 Investigation Procedures

a) A Compliance Officer will make an initial determination with respect to whether the employer, employees, and/or former employees are covered under the Minimum Wage Law.

b) A Compliance Officer may interview the employer, employees, and/or former employees to gather information on such subjects as hours worked, rate and type of pay, meals, lodging, gratuities, age and other such conditions and practices of employment.

c) A Compliance Officer will review the time and payroll records for each employee, and/or former employee, and do a complete dollar audit for a period not to exceed three years for those employees to whom back wages are owed.

d) A Compliance Officer will notify the employer or his/her agent of the results of the investigation, including the amount of back wages due, if any.

e) The Director will issue a written notice of noncompliance with the Minimum Wage Law to the employer or his/her agent when a Compliance Officer finds that back wages are due.

f) The Director may provide the employer, employees, and/or former employees with an opportunity to present further evidence and identify any issues in dispute at an informal investigatory conference pursuant to Subpart I of this Part.

56 Ill. Adm. Code 210.820 Enforcement Procedures

a) The Director will seek voluntary compliance by the employer. The payment of back wages due the employees and/or former employees (plus any penalties and punitive damages assessed pursuant to Section 12 (a) of the Act and Subpart J of these Rules and Regulations) will be evidence of substantial compliance with the provisions of the Act. Payment shall be supervised, when possible, by the Director.

b) The Director may require proof that the employees, and/or former employees, received all the back wages due them (plus any assessed punitive damages), and the Director may require the employer to send certified checks, cashier's checks or money orders, made payable to the individual employees or the Department of Labor, to the Department for disbursement.

c) If the employer does not voluntarily comply within a reasonable amount of time, the Director may bring either a civil or criminal action against the employer as provided for in Sections 11 and 12 of the Act, and may conduct an administrative hearing for a final determination of penalties and punitive damages pursuant to Section 12 of the Act and Subpart J of these Rules and Regulations.

56 Ill. Adm. Code 210.900 Request for Review by Employer Subject to an Inspection

a) Any employer contesting the findings of a Compliance Officer shall file a written request for an informal investigative conference within 15 days after receipt of the Director's written notice of noncompliance with the Minimum Wage Law.

b) Such request shall be prominently marked "Request for Review of Inspection Results" on both the letter and the envelope and shall be mailed or delivered to the Department's Chicago office. The request must set forth the reasons why the employer believes the Compliance Officer's findings are incorrect as a matter of law or fact, or, if applicable, any newly discovered evidence the employer could not have discovered during the course of the inspection. Late submissions need not be considered by the Director.

56 Ill. Adm. Code 210.910 Petition to Intervene by Employee or Former Employee Covered by an Inspection

a) The Director may provide an employee or former employee covered by a Compliance Officer's completed inspection the opportunity to present further evidence at an informal investigative conference to be held before a duly authorized representative of the Director. Petitions to Intervene must be made in writing within 15 days after the date the employee or former employee receives notification of back wages or that the claim is dismissed.

b) Such a petition shall be prominently marked "Petition to Intervene in Minimum Wage Law Investigation" on both the letter and the envelope and shall be mailed or delivered to the Department's Chicago office. The petition must set forth the reasons why the employee or former employee believes the Compliance Officer's findings are incorrect as a matter of law or fact, and that the Director's enforcement of the inspection results as a practical matter may impair or impede his/her ability to protect his/her rights under the Act.

History

• Source: Amended at 29 Ill. Reg. 4734, effective March 21, 2005

56 Ill. Adm. Code 210.920 Convening an Informal Investigative Conference

a) The Director shall make an initial determination with respect to the legal and factual merits of a "Request for Review of Inspection Results" or a "Petition to Intervene in Minimum Wage Law Investigation". If the request or petition presents a reasonable issue of law or fact, a duly authorized representative of the Director may convene an informal investigative conference for purposes of obtaining evidence and identifying the issues in dispute.

b) A written notice of an informal investigative conference shall be sent, not less than 10 days prior to the date of the conference, to the employer and a petitioning employee or former employee, and may also be sent to those employees or former employees covered by the inspection at issue who are the subject of a "Request for Review of Inspection Results" or a "Petition to Intervene in Minimum Wage Law Investigation." Each notice shall identify the individual requested to attend, along with any books, records or documents the party must produce at the conference.

c) If a request or petition is denied, the Director will notify the party who filed the request or petition of his/her determination in writing.

56 Ill. Adm. Code 210.925 Continuances of Informal Investigative Conference

Parties shall be prepared to proceed at the informal investigative conference, presenting all testimonial and/or documentary evidence necessary to support their positions. A request by one party for a continuance will be granted prior to the conference only if the other party agrees and the Director's representative in charge of the conference grants permission. A request for a continuance must be made in person to the Director's representative at the time of the conference and will be granted only upon a showing of good cause.

History

• Source: Added at 20 Ill. Reg. 15312, effective November 15, 1996

56 Ill. Adm. Code 210.930 Application of the Rules of Evidence –pleadings and Procedures in an Investigative Conference

When a duly authorized representative of the Director conducts an informal investigative conference, she/he is not bound by the rules of evidence or by any technical or formal rules of pleading or procedure.

56 Ill. Adm. Code 210.940 Attorney and Witnesses in Investigative Conference

A party to an informal investigative conference may be accompanied at the conference by his/her attorney and by a translator, if necessary. The parties may bring witnesses to the conference, but the Director's representative in charge of the conference shall decide which witnesses, if any, shall be heard, and the order in which they shall be heard. The Director's representative may exclude witnesses and other persons from the conference when they are not giving testimony. The Director's representative shall conduct and control the proceedings. No tape recordings, stenographic report or other verbatim record of the conference shall be made.

56 Ill. Adm. Code 210.950 Contumacious Conduct in Investigative Conference

If any individual becomes disruptive or abusive, the Director's representative conducting the investigative conference may exclude the person from the proceeding. The Director's representative, in his/her discretion, may take any of the following actions: continue the conference without the participation of the excluded individual, render a decision based upon the evidence previously presented, dismiss the employee's claim, or strike the subject individual's response.

56 Ill. Adm. Code 210.960 Telephone Conference

a) The Director does not routinely hold investigative conferences by telephone. Written requests to participate by telephone must be received by the Department's Chicago office no later than 7 days prior to the hearing date. The request shall be prominently marked "Request for Telephone Hearing" on both the letter and the envelope. Such request shall be typewritten or clearly written and shall contain a compelling reason why the party needs to participate by telephone and the name, address and telephone number of the person to be contacted.

b) A party shall not consider its request granted unless the participant receives notice by telephone or letter of the Director's approval prior to the conference date.

56 Ill. Adm. Code 210.970 Request for Review

Requests for review of a determination from an informal investigative conference must be made in writing to the Department's Chicago office, within 15 days after the decision. The request shall be prominently marked "Request for Review" on both the letter and the envelope. The request must set forth the reasons why the party believes the Director's duly authorized representative misconstrued the evidence or misapplied the law to the facts. Late submissions need not be considered by the Director.

56 Ill. Adm. Code 210.1000 Assessment and Notice of Underpayment, Penalties, and Punitive Damages

a) The Director may conduct investigations, conferences, or hearings to determine whether an employer's conduct is wilful for purposes of assessing penalties and punitive damages as provided under Section 12(a) of the Act.

b) An employer that wilfully underpaid its employees shall be liable to the Director for penalties equal to 20% of its total underpayment and shall be additionally liable to each underpaid employee for punitive damages equal to 2% of any such underpayment for each month following the date of payment during which such underpayment remained unpaid. The amount of the underpayment will be based on the findings of the Compliance Officer. The Director will assess the penalties and punitive damages, and remit a written "Notice of Underpayment, Penalties, and Punitive Damages" to the employer for the underpayment, plus a 20% penalty and 2% punitive damages assessment.

56 Ill. Adm. Code 210.1010 Employer Conduct Deemed Willful

An employer's conduct shall be deemed willful when the employer knew its underpayment of wages was prohibited by the Act or showed reckless disregard of the wage payment requirements under the Act. All of the facts and circumstances surrounding the violations shall be taken into account in determining whether, by a preponderance of the evidence, an employer's conduct was willful.

a) An employer's conduct shall be deemed knowing, among other situations, if the employer received advice from a responsible, duly authorized representative of the Director to the effect that the conduct in question is not lawful; if the employer has previously received notice, through a responsible, duly authorized representative of the Director, that the employer allegedly was in violation of the Act; if a court or other tribunal has made a finding that the employer has previously violated the Act for underpaying its employees.

b) An employer's conduct shall be deemed reckless, among other situations, if, as a result of previous advice of the Director, the employer was on notice that it should have inquired further into whether its conduct was in compliance with the Act and failed to make adequate further inquiries.

History

• Source: Amended at 46 Ill. Reg. 14051, effective July 19, 2022

56 Ill. Adm. Code 210.1020 Uncontested Payment of Underpayments, Penalties, and Punitive Damages

a) An employer shall pay the penalties stated in the "Notice of Underpayment, Penalties, and Punitive Damages" by certified check made to the order of the Illinois Department of Labor. The employer shall pay the punitive damages by issuing separate certified checks made to the order of each underpaid employee covered by the inspection or the Illinois Department of Labor. The employer shall tender its penalty and punitive damages payments to the Department's Chicago office.

b) If the employer remits complete payment of back wages and assessed penalties and punitive damages pursuant to the "Notice of Underpayment, Penalties, and Punitive Damages", the Director may not take additional administrative or judicial action under the Act against the employer solely related to the particular Minimum Wage Law investigation at issue.

56 Ill. Adm. Code 210.1030 Exception to Notice of Underpayments, Penalties, and Punitive Damages

If the employer contests the "Notice of Underpayment, Penalties, and Punitive Damages", the employer shall file a written request for reconsideration. The request shall be prominently marked "Exception to Underpayment, Penalties, and Punitive Damages" on both the letter and the envelope, and shall be mailed via certified or registered mail to the Department's Chicago office, within 15 days after receipt of the Director's "Notice of Underpayment, Penalties, and Punitive Damages". The exception must set forth the reasons why the employer believes the Director erred in arriving at the amount of underpayment and/or the calculation of penalties and punitive damages, and/or erred in his/her determination that the employer wilfully underpaid its employees. Late submissions need not be considered by the Director.

56 Ill. Adm. Code 210.1040 Informal Investigative Conference on the Assessment of Underpayments, Penalties, and Punitive Damages

a) The Director shall make an initial determination with respect to the legal and factual merits of an "Exception to Underpayment, Penalties, and Punitive Damages". If the exception presents a reasonable issue of law or fact, a duly authorized representative of the Director may convene an informal investigative conference for purposes of obtaining evidence and identifying the issues in dispute, pursuant to the procedures set forth in Subpart I, Sections 210.910 through 210.950 of this Part.

b) As a result of an informal investigative conference, the Director may reevaluate the Compliance Officer's findings and modify the underpayment, penalties, and punitive damages assessment accordingly.

c) If the employer remits payment of the modified assessment of the underpayment, penalties, and punitive damages, pursuant to the procedures set forth in Section 210.1030(a) of this Subpart, if any is due, the Director will not take additional administrative or judicial action under the Act against the employer solely related to the particular Minimum Wage Law investigation at issue.

d) If the exception is denied, the Director will notify the party who filed the request of his/her findings in writing.

56 Ill. Adm. Code 210.1050 Final Determination of Penalties and Punitive Damages

If the Director finds no merit to a properly filed "Exception of Underpayment, Penalties, and Punitive Damages", or if no payment is forthcoming on either an uncontested or modified finding of underpayment, penalties, and punitive damages, a final determination on the amount of penalties and punitive damages shall be made in an administrative hearing pursuant to the provisions of the Illinois Administrative Procedure Act [5 ILCS 100] and 56 Ill. Adm. Code 120.

History

• Source: Amended at 25 Ill. Reg. 869, effective January 1, 2001

Part 220 Six Day Week Law

56 Ill. Adm. Code 220.100 Definition of the Act

As used herein the term Act shall mean "An Act to promote the public health and comfort of persons employed by providing for one day of rest in seven" (Ill. Rev. Stat. 1977, ch. 48, pars. 8a et seq.) as amended.

56 Ill. Adm. Code 220.105 Director

As used herein the term Director shall mean the Director of the Illinois Department of Labor and his authorized representative.

56 Ill. Adm. Code 220.110 Year

As used herein the word year shall mean the calendar year, i.e., the period from January 1st through December 31st of each year.

56 Ill. Adm. Code 220.115 Week

As used herein the term week shall mean seven consecutive twenty-four hour periods starting at 12:01 A.M. Sunday morning and ending at midnight of the following Saturday night.

56 Ill. Adm. Code 220.120 Permit

As used herein the term permit shall mean the license granting an employer authority to work an employee the seventh day of the week.

56 Ill. Adm. Code 220.125 Defining the Word Required in the Phrase "no Employee Shall Be Required to Work", Section 4 of the Act, (illinois Revised Statutes, 1977, Chapter 48, Section 8d)

As used herein said work required shall mean that all such work on the seventh day of the week must be voluntary on the part of the employee involved. With the exception of the exemptions under Section 2(1) through (6) of the Act, (Illinois Revised Statutes, 1977, Chapter 48, pars. 8b (1) through (6)), no employee can be required to work on their designated day of rest.

56 Ill. Adm. Code 220.130 Employee

Employee shall include any individual permitted or suffered to work by an employer as defined in the Act.

56 Ill. Adm. Code 220.135 Time Book

The 'Time Book' as required in Section 5 of the Act, (Illinois Revised Statutes, 1977, chapter 48, par. 8e) can be any accurate record of hours worked each day and each work week, i.e., time clock card, time card, time book, time sheet, or other suitable record.

56 Ill. Adm. Code 220.140 Agriculture

Agriculture includes farming in all of its branches and among other things includes the cultivation and tillage of the soil, dairying, the production, cultivation, growing and harvesting of any agricultural or horticultural commodities (including commodities defined as agricultural commodities in Section 15 (g) of the U.S. Agricultural Marketing Act, as amended (7 U.S.C. 1621 et seq.)), the raising of livestock, bees, fur-bearing animals, or poultry, and any practices (including forestry or lumbering operations) performed by a farmer or on a farm as an incident to or in conjunction with such farming operations, including preparation for market, delivery to storage or to market or to carriers for transportation to market, but not the operation of processing such commodities and any activities subsequent to such operation. The phrase 'incident to or in conjunction with' shall not include construction by a private contractor of farm buildings on a farm.

56 Ill. Adm. Code 220.145 Emergency Under Section 2of the Act (illinois Revised Statutes 1977, Chapter 48, Section 8b(2))

a) The word Emergency as used herein shall mean a sudden, urgent, unforeseen occurrence or occasion requiring immediate action. An emergency under this section of the Act shall not include the call in of employees on their designated ay of rest to replace those scheduled but failing to report for work.

b) Duration of emergency: The emergency condition shall remain in effect until repairs made necessary by the emergency have been completed.

56 Ill. Adm. Code 220.200 Permits

a) A permit shall be required during any week in which one or more employees, not excluded in Section 2 of the Act, (Illinois Revised Statutes, 1977, Chapter 48, par. 8b), work all seven days of the week.

b) Permits for eight weeks of the year shall be granted without justification of necessity.

c) Permits in excess of eight weeks in a year shall require justification of necessity as follows:

1. A statement that the necessity cannot be remedied by increasing the number of employees or by adjusting work scheduled and

2. Business necessity and economic conditions making such a request necessary.

56 Ill. Adm. Code 220.300 Written Requests for Permits

An employer desiring a licensing shall submit to the Director in written form a request for each permit. Such request shall contain the following:

a) A statement that all employees involved are in fact volunteers.

b) The anticipated number and skills of said employees.

c) Number of days covered by the permit including inclusive dates and hourly times starting on Sunday.

d) A statement that no person possessing skills in subsection (b) above is laid off.

56 Ill. Adm. Code 220.305 Telephone Requests for Permits

Such requests to the Director shall be honored; however, the employer shall within two working days of the telephone call forward to the Director a letter consistent with the requirements in Section 220.300.

56 Ill. Adm. Code 220.310 Record of Permits

Employers shall retain for two years and make available to the Director upon request letters and related correspondence granting permits.

56 Ill. Adm. Code 220.400 Notice to the Employer

The Director shall, upon granting a permit, forward to the employer a written confirmation of such permit containing the information in Section 220.300(c).

56 Ill. Adm. Code 220.500 Written Request for Permits

A letter requesting same must be received by the Director not later than the Friday preceding the first effective day of the permit.

56 Ill. Adm. Code 220.505 Telephonic Requests

Within a week that employees have worked on Sunday and a likelihood exists that the same employees will be working all seven days of that week, telephonic requests in Section 220.305 must be received by the Director not later than Friday of said week.

56 Ill. Adm. Code 220.600 Procedure

An employer failing to use a granted permit or portion thereof can cancel same by written notification to the Director not later than seven working days after the expiration of the permit.

56 Ill. Adm. Code 220.700 Deadline for Posting

Schedules required by Section 4 of the Act, (Illinois Revised Statutes, 1977, chapter 48, par. 8d) shall be posted not later than 12:00 noon on the Friday preceding the Sunday to be worked.

56 Ill. Adm. Code 220.800 Employees Working in Excess of 7½ Hours

The meal period required in Section 3 of the Act, (Illinois Revised Statutes, 1977, Chapter 48, par. 8C) shall be required in each continuous 7½ hour period worked by an employee.

56 Ill. Adm. Code 220.900 Failure to Provide the Required Day of Rest

A violation of Section 2 of the Act, (Illinois Revised Statutes, 1977, chapter 48, Par. 8B), shall be charged for each employee during each week in which the employee works seven days of the calendar week when no permit authorizing work on the designated day of rest has been granted by the Director.

56 Ill. Adm. Code 220.905 Meal Period

A violation of Section 3 of the Act, (Illinois Revised Statutes, 1977, Chapter 48, par. 8C), shall be charged for each work period as defined in Section 220.800 herein during which an employee is not permitted a meal period of at least 20 minutes.

56 Ill. Adm. Code 220.910 Posting of Schedule

One violation shall be charged for each week the schedule required by Section 4 of the Act, (Illinois Revised Statutes, 1977, chapter 48, par. 8D) is not posted as provided in Section 220.700.

56 Ill. Adm. Code 220.915 Non-Voluntary Work

A violation shall be charged under Section 4 of the Act, (Illinois Revised Statutes, 1977, Chapter 48, par. 8d) for each week an employee is required to work on the designated day of rest.

56 Ill. Adm. Code 220.920 Time Records

One violation shall be charged for each employee upon whom adequate time records are not maintained as provided in Section 5 of the Act, (Illinois Revised Statutes, 1977, chapter 48, par. 8e) and Section 220.135 herein.

56 Ill. Adm. Code 220.925 Permits

One violation shall be charged for each week an employer allows his employees to work on their designated day of rest without a permit as prescribed in Section 8 of the Act, (Illinois Revised Statutes, 1977, chapter 48, par. 8h), and Section 220.200 (a) herein.

56 Ill. Adm. Code 220.930 Inspection of Permits

The failure of an employer to produce for inspection such letter as required in Subpart D above shall be prima facie evidence that employees are working seven days per week in violation of Section 2 of the Act, (Illinois Revised Statutes, 1977, Chapter 48, par. 8b).

56 Ill. Adm. Code 220.1000 Denial, Suspension or Revocation of Permits

The provisions of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1983, ch. 127, pars. 1001 et seq.) shall apply to the denial, suspension and revocation of permits authorized under Section 8 of the Act, (Ill. Rev. Stat. 1977, ch. 48, par. 8h).

56 Ill. Adm. Code 220.1100 Procedure and Timetable

a) The Director shall advise in writing each employer for whom a permit has been denied, suspended, or revoked of the hearing process.

b) The employer may within 21 days of the denial, suspension or revocation request an informal office hearing.

c) If the informal hearing does not resolve the problem, the employer will have the opportunity to request, within 21 days of the informal hearing, a formal hearing under the provisions of the Illinois Administrative Procedure Act.

Part 230 Illinois Worker Adjustment and Retraining Notification Act

56 Ill. Adm. Code 230.100 Purpose and Scope

This Part shall apply to claims arising under the Illinois Worker Adjustment and Retraining Notification Act [820 ILCS 65].

56 Ill. Adm. Code 230.110 Definitions

"Act" means the Illinois Worker Adjustment and Retraining Notification Act (IWARN) [820 ILCS 65].

"Administrative hearing" means a formal administrative hearing.

"Affected employee" means employees who may reasonably be expected to experience an employment loss as a consequence of a proposed plant closing or mass layoff by their employer [820 ILCS 65/5(a)].

"Complaint" means an allegation of a violation of the Act filed with the Department.

"Complainant" means a person who files a complaint.

"Department" means the Illinois Department of Labor or a duly authorized representative.

"Day" means calendar day.

"Director" means the Director of Labor or a duly authorized representative.

"Employer" means any business enterprise that employs:

75 or more employees, excluding part-time employees; or

75 or more employees who in the aggregate work at least 4,000 hours per week (exclusive of hours of overtime). [820 ILCS 65/5(c)]

Employer does not include the federal or State government or any of their political subdivisions, including any unit of local government or any school district. Charitable organizations and institutions as defined by the Charitable Trust Act [760 ILCS 55] and the Solicitation for Charity Act [225 ILCS 460] are not included. Tax-exempt institutions and organizations are also not included. Further, independent contractors and wholly or partially owned subsidiaries that are independent from the parent corporation are considered separate employers for the purposes of this Act and Part. When determining whether an employer is an independent contractor or a wholly or partially owned subsidiary, the Director will consider: common ownership; common directors and/or officers; actual exercise of control; unity of personnel policies emanating from a common source; and the dependency of operations.

"Employment loss" means:

an employment termination, other than a discharge for cause, voluntary departure, or retirement;

a layoff exceeding 6 months; or

a reduction in hours of work of more than 50% during each month of any 6-month period.

Employment loss does not include instances when the plant closing or layoff is the result of the relocation or consolidation of part or all of the employer's business and, before the closing or layoff, the employer offers to transfer the employee to a different site of employment within a reasonable commuting distance, or the employer offers to transfer the employee to any other site of employment, regardless of distance, with no more than a 6-month break in employment, and the employee accepts within 30 days after the offer or after the closing or layoff , whichever is later. [820 ILCS 65/5(b)]

"Mass layoff" means a reduction in force that:

is not the result of a plant closing; and

results in an employment loss at the single site of employment during any 30-day period for:

at least 33% of the employees (excluding any part-time employees) and at least 25 employees (excluding any part-time employees); or

at least 250 employees (excluding any part-time employees). [820 ILCS 65/5(d)]

"Part-time employee", for purposes of the Act and this Part, means an employee who is employed for an average of fewer than 20 hours per week or who has been

employed for fewer than 6 of the 12 months preceding the date on which notice is required. [820 ILCS 65/5(e)]

"Plant closing" means the permanent or temporary shutdown of a single site of employment, or one or more facilities or operating units within a single site of employment, if the shutdown results in an employment loss at the single site of employment during any 30-day period for 50 or more employees excluding any part-time employees. [820 ILCS 65/5(f)]

"Respondent" means an employer against whom a complaint is filed.

"Representative" means an exclusive representative of employees within the meaning of Section 9(a) or 8(f) of the National Labor Relations Act (29 USC 159(a), 158(f)) or Section 2 of the Railway Labor Act (45 USC 152). [820 ILCS 65/5(g)]

"WARN" means the federal Worker Adjustment and Retraining Notification Act (29 USC 2101), or as hereafter amended.

56 Ill. Adm. Code 230.120 Determination of a Single Site of Employment

a) A single site of employment refers to either a single location or a group of contiguous locations. Groups of structures that form a campus or industrial park, or separate facilities across the street from one another, may be considered a single site of employment.

b) Several single sites of employment within a single building may exist if separate employers conduct activities within such a building. The offices of each employer will be a single site of employment.

c) Separate buildings or areas that are not directly connected or in immediate proximity may be considered a single site of employment if they are in reasonable geographic proximity, used for the same purpose and share the same staff and equipment.

d) Non-contiguous sites in the same geographic area that do not share the same staff or operational purpose should not be considered a single site.

e) Contiguous buildings owned by the same employer that have separate management, produce different products and have separate workforces are considered separate single sites of employment.

f) A single site of employment for workers whose primary duties require travel from point to point, who are outstationed or whose primary duties involve work outside any of the employer's regular employment sites, will be the site that workers are assigned to as home base or the site from which they report or receive assignments.

g) A single site of employment may apply in truly unusual organizational situations where the criteria of this Section do not reasonably apply. The application of this subsection with the intent to evade the purposes of the Act to provide notice is not acceptable.

56 Ill. Adm. Code 230.130 Applicability

This Act applies to plant closings or mass layoffs occurring on or after January 1, 2005. Voluntary notice by an employer is encouraged even in situations that do not constitute a plant closing or mass layoff.

56 Ill. Adm. Code 230.140 Records and Confidentiality

Information obtained from any employer subject to the Act shall be held confidential pursuant to the terms and conditions contained in Section 30 of the Act.

56 Ill. Adm. Code 230.200 Employer Notice

An employer subject to the provisions of the Act shall determine whether notice is required under Section 10 of the Act and whether any exceptions apply pursuant to Section 15 of the Act.

56 Ill. Adm. Code 230.210 Who Must Receive Notice

Once an employer determines that notice is required under the Act, written notice shall be given to all affected employees, representatives of affected employees, the Department of Commerce and Economic Opportunity and the chief elected official of each municipal and county government within which the employment loss, relocation, or mass layoff occurs. Written notice shall also be provided to the Illinois Department of Labor at its Springfield office.

History

• Source: Amended at 46 Ill. Reg. 18525, effective November 2, 2022

56 Ill. Adm. Code 230.220 When Employer Notice Must Be Given

a) An employer subject to the Act, and required to give notice pursuant to Section 10 of the Act, must give notice 60 days before the order of a mass layoff or plant closing takes effect.

b) An owner of an investor-owned electric generating plant or coal mining operation must give notice 2 years before the order of a mass layoff, relocation, or employment loss takes effect. [820 ILCS 65/10]

c) An employer who is receiving State or local economic development incentives for doing or continuing to do business in this State may be required to provide additional notice pursuant to Section 15 of the Business Economic Support Act [30 ILCS 760/15].

d) A reduction in the notice period may be allowed if the employer can establish the elements set forth in Section 15 of the Act and provides a brief statement to the Department describing the basis for reducing the notification period.

History

• Source: Amended at 46 Ill. Reg. 18525, effective November 2, 2022

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 230 Illinois Worker Adjustment and Retraining Notification Act

56 Ill. Adm. Code 230.230 Contents of Employer Notice

a) Employer notice to each affected employee shall contain:

1. a statement as to whether the planned action is expected to be permanent or temporary and a statement concerning whether the entire plant is to be closed;

2. the expected date when the plant closing or mass layoff will commence and the expected date when the individual employee will be separated;

3. an indication as to whether bumping rights exist; and

4. the name and telephone number of a company official to contact for further information.

b) Employer notice to representatives of affected employees shall contain:

1. the name and address of the employment site where the plant closing or mass layoff will occur and the name and telephone number of a company official to contact for further information;

2. a statement as to whether the planned action is expected to be permanent or temporary and a statement regarding whether the entire plant is to be closed;

3. the expected date of the first separation and the anticipated schedule for making separations; and

4. the job titles of positions to be affected and the names of workers currently holding affected jobs.

c) Employer notice to the Department of Commerce and Economic Opportunity, the Illinois Department of Labor and the chief elected official of each municipal and county government within which the mass layoff or plant closing occurs shall contain:

1. the name and address of the employment site where the plant closing or mass layoff will occur and the name and telephone number of a company official to contact for further information;

2. a statement as to whether the planned action is expected to be permanent or temporary and a statement whether the entire plant is to be closed;

3. the expected date of the first separation and the anticipated schedule for making separations;

4. the job titles of positions to be affected and the number of affected employees in each job classification;

5. an indication as to whether bumping rights exist; and

6. the name of each union representing affected employees and the name and address of the chief elected officer of each union.

d) An alternate employer notice may be given in lieu of the notice requirements set forth in subsection (c). However, an employer shall maintain the other information that is required by subsection (c) on site and be able to produce this information upon request. Failure to produce this information upon request is deemed a failure to give the required notice. An employer giving alternate notice under this subsection (d) shall provide:

1. the name and address of the employment site where the plant closing or mass layoff will occur and the name and telephone number of a company official to contact for further information;

2. the expected date of the first separation; and

3. the number of affected employees.

56 Ill. Adm. Code 230.240 Exceptions to the Notice Requirement

a) An employer is not required to give notice if the Department determines that any of the following has been met:

1. the employer establishes an exception as set forth in Section 15 or Section 20 of the Act;

2. the employer establishes that the mass layoff or plant closing was due to a physical calamity or an act of terrorism or war; or

3. the employer establishes that the plant closing or mass layoff is the result of relocation or consolidation of all or part of an employer's business and, before the closing or layoff, the employer offers either:

A) to transfer the employee to a different site of employment within a reasonable commuting distance with no more than a 6-month break in employment; or

B) to transfer the employee to any other site of employment, regardless of distance, with no more than a 6-month break in employment, and the employee accepts within 30 days after the offer or after the closing or layoff, whichever is later.

b) A reasonable commuting distance under this Section means a distance of less than 50 miles, unless an affected employee has already been commuting 50 miles or greater on a voluntary basis prior to the relocation or consolidation or indicates in writing that he or she is willing to commute 50 miles or more under a relocation or consolidation. The Department may determine that a commuting distance of less than 50 miles is not reasonable based upon industry practice or local conditions, such as climate, geographic accessibility, quality of roads, availability of transportation, including public transportation, and travel time.

56 Ill. Adm. Code 230.300 Persons Who May File a Complaint

An employee, representative of employees, the Department of Commerce and Economic Opportunity, or the chief elected official of each municipal and county government within which the mass layoff or plant closing occurs may file a complaint, including the Illinois Department of Labor in cases initiated by the Illinois Department of Labor.

56 Ill. Adm. Code 230.310 Contents and Time Limit for Filing

a) A complaint shall be filed on a form to be supplied by the Department. The form shall name the respondent, shall be signed by the complainant and shall be accurately completed alleging the violation of the Act requesting to be reviewed. The form may have attached copies of all supporting documentation.

b) All complaints shall be delivered, by U.S. mail or personal delivery, to the Department's Springfield office within six months after the alleged violation of the Act occurs. The complaint shall be deemed filed as of the date it is postmarked on the envelope or date stamped as received by the Department.

56 Ill. Adm. Code 230.320 Withdrawal, Settlement, and Consent Findings

a) A complaint may be voluntarily withdrawn at any time.

b) Complainant and respondent may settle at any time.

c) At any time, the parties may enter into consent findings, rules and orders under 56 Ill. Adm. Code 120.540.

56 Ill. Adm. Code 230.330 Employer Threshold

The Director will determine if an employer is covered under the Act and this Part by calculating the number of employees in the calendar quarter that immediately precedes the date of the required notice.

56 Ill. Adm. Code 230.340 Application and Jurisdiction

a) The Director will determine if the requisite number of employees is affected to trigger notice by:

1. either looking ahead 30 days or behind 30 days to determine whether employment actions in the aggregate for any 30-day period reach the minimum numbers for a plant closing or a mass layoff and thus trigger the notice requirement; and

2. looking ahead 90 days or behind 90 days to determine whether employment actions, each of which separately is not of sufficient size to trigger coverage, will, in the aggregate for any 90-day period, reach the minimum numbers for a plant closing or mass layoff and thus trigger the notice requirement. An employer is not, however, required to give notice if the employer demonstrates that the separate employment losses are the result of separate and distinct actions and causes and are not an attempt to evade the requirements of the Act.

b) At the time of filing of the complaint, the Department may determine initially whether the allegations in the complaint sufficiently state a claim under the Act so that the Department can proceed with the investigation.

c) If, at the time of filing, or at any subsequent time, it is determined that there is a lack of jurisdiction or failure to sufficiently state a claim, the complaint shall be dismissed. All parties shall be notified of the dismissal by U.S. mail.

56 Ill. Adm. Code 230.350 Consolidation

Similar complaints related to the same respondent for the same alleged violation may be consolidated before the Department.

56 Ill. Adm. Code 230.400 Answer, Response and Record

a) Each respondent must remit to the Department a written response to the complaint within 21 calendar days after the date the Department forwarded the complaint. The response shall be signed by a duly authorized individual representative and shall include a complete, accurate and responsive explanation to the claim necessary and appropriate to the Department's investigation, specifying any exceptions asserted and any disputed and undisputed facts. If the respondent is asserting an exception, the respondent shall submit a written record consisting of those documents relied upon and an affidavit verifying the contents of the documents contained in the record as required by Section 15 of the Act.

b) Upon receipt of a respondent's response, the Department will forward the response to the complainant, except for any records to remain confidential pursuant to Section 30(c) of the Act. Complainant shall submit a rebuttal to the Department within 21 calendar days after the date the Department forwarded the nonconfidential portion of respondent's response.

56 Ill. Adm. Code 230.500 Investigation

a) After reviewing the information gathered as set forth in Subpart D of this Part, the Department shall determine whether a violation of the Act has occurred. If the Department needs additional information to determine if a violation of the Act has occurred, a conciliator may institute an investigation pursuant to Section 30 of the Act to gather further information.

b) A conciliator may examine the employer' books and records, as well as any other documents reasonably related to the allegation, to determine whether a violation of the Act has occurred.

c) The Director shall notify the parties or the parties' representative of the results of the investigation.

d) The Director shall issue a written determination on whether a violation of the Act has occurred and shall determine the amount of back pay, civil penalties or other relief due, if applicable.

e) The Director shall provide the parties with an opportunity to review any determination made pursuant to this Section. The review will be conducted pursuant to the procedures set forth in Subpart F of this Part.

56 Ill. Adm. Code 230.510 Enforcement Procedures

a) The payment of any back pay or other relief as provided in Section 35 of the Act will be evidence of compliance with the provisions of the Act. Payment shall be supervised, when possible, by the Director.

b) Director may require proof that the employees or former employees received all the back pay and other relief due pursuant to Section 35 of the Act and the Director may require the respondent to send certified checks, cashier's checks or money orders, made payable to the individual employees or the Department of Labor, to the Department for disbursement.

c) If the respondent does not comply within 15 calendar days after the Director's notice of noncompliance, or the respondent fails to request review of a completed investigation as set forth in Subpart F, the Director may bring an action against the respondent as provided in Subpart G of this Part.

56 Ill. Adm. Code 230.520 Procedure for Assessment of Civil Penalties

a) The Department shall conduct investigations, conferences or hearings for the purpose of assessing penalties as provided under Section 40 of the Act.

b) When the Department finds, upon evidence resulting from an investigation, that an employer has violated the Act or regulations, the Director may issue a notice to the employer of a civil penalty, if any, to be assessed for the violation.

c) The Department may convene an informal investigative conference for the purpose of obtaining evidence, identifying the issues in dispute and exploring the possibility of a negotiated settlement. Notice of the conference shall be given to the employer at least 10 days prior to the conference and shall identify the individuals requested to attend, along with any books, records or documents the employer must produce at the conference. The Department shall consider the matter resolved in the event a settlement has been reached prior to the conference date.

d) An employer may be accompanied at the informal conference by an attorney and by a translator if necessary. The employer may bring witnesses to the conference in addition to those whose attendance may be specifically requested by the Department, but the Department employee conducting the conference shall decide which witnesses shall be heard and the order in which they will be heard. The Department employee conducting the conference may exclude witnesses and other persons from the conference when they are not giving evidence, except that the employer's counsel and translator, if necessary, may be permitted to remain throughout. The Department employee shall conduct and control the proceedings. No tape recording, stenographic report or other verbatim record of the conference shall be made.

e) If any person becomes disruptive or abusive, the Department employee shall exclude the person from the conference and shall continue the conference without the excluded individual.

f) If the informal conference is held but did not resolve the dispute, a final determination on the amount of civil penalties may be made in an administrative hearing pursuant to Section 230.710.

56 Ill. Adm. Code 230.600 Request for Informal Investigative Hearing

a) After receiving a written determination under Section 230.500 or Section 230.520, either party subject to the determination may request an informal investigative hearing to review the determination. The informal investigative hearing is conducted to obtain evidence, identify the issues in dispute, ascertain the positions of the parties, explore the possibility of settlement and decide whether there is sufficient evidence to recommend Department action pursuant to Subpart G.

b) All requests for an informal investigative hearing must be in writing and must be mailed to the Department's Chicago office within 15 days after the determination. A request for an informal investigative hearing shall specify the reasons why the party believes the determination is incorrect as a matter of law or fact, or, if applicable, any newly discovered evidence the party could not have discovered during the investigation. Late submissions need not be considered by the Director.

56 Ill. Adm. Code 230.610 Informal Investigative Hearing

a) At an informal investigative hearing, a party may be represented by himself or herself or by an attorney at law. The Department may permit a party to have available witnesses, a translator and/or a representative of a union.

b) Parties shall be prepared to proceed at the informal investigative hearing. A request by one party for a continuance will be granted prior to the hearing only if the other party agrees and the Department grants permission. Otherwise, a request for a continuance shall be made in person to the Department at the time of the hearing and will be granted only upon a showing of good cause. Good cause may be shown by, without limitation, the failure of a party to receive notice of the hearing, the inability of a party to produce a material witness or relevant evidence, the illness or death of a party or counsel, the sudden and unexpected unavailability of counsel and substitution of counsel.

c) The Department shall conduct the informal investigative hearing and control the proceedings. No tape recordings, stenographic report or other verbatim record of the hearing shall be made.

d) If any person becomes so disruptive or abusive that a full and fair hearing cannot be conducted, the Department shall exclude the person from the hearing. The Department may take any of the following actions: continue the hearing without participation of the excluded individual; render a decision based upon the evidence previously presented; dismiss the complaint; or strike the employer's response.

e) Telephone Hearing

1. Written requests to participate in an informal investigative hearing by telephone must be received by the Department's Chicago office no later than seven calendar days prior to the hearing date. The request shall be in writing and state a compelling reason why the party needs to participate by telephone and the name, address and telephone number of the person to be contacted.

2. A party shall not consider its request granted unless the party receives written notice of the Department's approval prior to the hearing date.

56 Ill. Adm. Code 230.620 Request for Review

Upon the issuance of a decision under this Subpart F, a party has 15 days from the date of the decision to request a review of the decision. The request must set forth the reasons why the party believes the Director's duly authorized representative misconstrued the evidence or misapplied the law to the facts. Late submissions need not be considered by the Director.

56 Ill. Adm. Code 230.700 Department Action

Any liabilities and/or civil penalties found due under Section 35 and Section 40 of this Act and not paid may be subject to a formal administrative hearing to recover the amounts found due and owing.

56 Ill. Adm. Code 230.710 Procedures in Formal Administrative Hearing

Upon referral of a matter for formal administrative hearing, the parties and the Department shall comply with this Part, all provisions of Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 10], and the Department's Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120).

Part 240 Employee Classification

56 Ill. Adm. Code 240.100 Purpose and Scope

a) The Act addresses the practice in the construction industry of some contractors misclassifying individuals as independent contractors in order to avoid payroll taxes, unemployment insurance contributions, workers' compensation premiums and minimum wage and overtime payments. This practice of misclassification puts contractors that comply with tax and employment laws at a competitive disadvantage.

b) For purposes of ensuring that contractors comply with tax and employment laws, the Department of Labor, the Department of Employment Security, the Department of Revenue and the Illinois Workers' Compensation Commission shall cooperate by sharing information concerning any suspected misclassification of employees as independent contractors.

56 Ill. Adm. Code 240.110 Definitions

"Act" means the Employee Classification Act [820 ILCS 185].

"Construction" means any constructing, altering, reconstructing, repairing, rehabilitating, refinishing, refurbishing, remodeling, remediating, renovating, custom fabricating, maintenance, landscaping, improving, wrecking, painting, decorating, demolishing, and adding to or subtracting from any building, structure, highway, roadway, street, bridge, alley, sewer, ditch, sewage disposal plant, water works, parking facility, railroad, excavation or other structure, project, development, real property or improvement, or to do any part thereof, whether or not the performance of the work herein described involves the addition to, or fabrication into, any structure, project, development, real property or improvement herein described of any material or article of merchandise. Construction shall also include moving construction related materials on the job site to or from the job site. [820 ILCS 185/5]

"Contractor" means any individual, sole proprietor, partnership, firm, corporation, limited liability company, association or other legal entity permitted by law to do business within the State of Illinois who engages in construction as defined in the Act. Contractor includes a general contractor and a subcontractor. [820 ILCS 185/5]

"Day" means calendar day.

"Department" means the Department of Labor. [820 ILCS 185/5]

"Director" means the Director of the Department of Labor or an authorized representative. [820 ILCS 185/5]

"Employee" means an individual who meets the definition of an "employee" in the Act and that individual shall be an employee for purposes of all applicable laws relating to wages and the payment of wages contained in 820 ILCS.

"Employer" means any contractor that employs individuals deemed employees under Section 10 of the Act; however, "employer" does not include:

the State of Illinois or its officers, agencies, or political subdivisions; or

the federal government. [820 ILCS 185/5]

"Entity" means any contractor for which an individual is performing services and is not classified as an employee under Section 10 of the Act; however, "entity" does not include:

the State of Illinois or its officers, agencies, or political subdivisions; or

the federal government. [820 ILCS 185/5]

"Individual performing services" does not include a bona fide corporation nor a limited liability company (LLC). In determining whether a corporation is bona fide for purposes of the Act, the Department shall consider, among other factors, whether:

the corporation is capitalized;

the corporation has issued corporate stock;

the corporation maintains a corporate bank account;

there is an intermingling of corporate and personal accounts or funds;

the corporation holds itself out as a corporation;

the corporation maintains corporate books and records, including corporate meeting minutes, and files corporate tax returns that are current and complete;

articles of incorporation have been filed and the corporation is in good standing, in the case of Illinois corporations, with the Illinois Secretary of State or, in the case of foreign corporations, as directed by the laws of that jurisdiction;

the corporation carries out its daily activities in a manner consistent with the operations of a corporate entity;

the corporation employs employees to carry out its corporate purposes and principal activities; and

the corporation carries appropriate workers' compensation insurance coverage for its employees and has registered with the Illinois Department of Employment Security for unemployment insurance coverage.

In determining whether an LLC is bona fide for purposes of the Act, the Department shall consider, among other factors, whether:

the LLC has assets;

the LLC maintains a company bank account;

there is an intermingling of company and personal accounts or funds;

the LLC holds itself out as an LLC;

the LLC makes necessary tax filings that are current and complete;

articles of organization have been filed and the LLC is in good standing, in the case of Illinois LLCs, with the Illinois Secretary of State or, in the case of foreign LLCs, as directed by the laws of that jurisdiction;

the LLC carries out its daily activities in a manner consistent with the operations of an LLC;

the LLC employs employees to carry out its purposes and principal activities;

the LLC carries appropriate workers' compensation insurance coverage for its employees and has registered with the Illinois Department of Employment Security for unemployment insurance coverage.

"Interested party" means a person with an interest in compliance with the Act. [820 ILCS 185/5]

"Performing services" means the performance of any constructing, altering, reconstructing, repairing, rehabilitating, refinishing, refurbishing, remodeling, remediating, renovating, custom fabricating, maintenance, landscaping, improving, wrecking, painting, decorating, demolishing, and adding to or subtracting from any building, structure, highway, roadway, street, bridge, alley, sewer, ditch, sewage disposal plant, water works, parking facility, railroad, excavation or other structure, project, development, real property or improvement, or to do any part thereof, whether or not the performance of the work herein described involves the addition to, or fabrication into, any structure, project, development, real property or improvement herein described of any material or article of merchandise. Construction shall also include moving construction related materials on the job site to or from the job site. [820 ILCS 185/5]

"Permitted by law to do business within the State of Illinois" means located, operating, transacting business, or performing services within the State of Illinois.

"Person" means any individual, partnership, corporation, LLC, association, governmental subdivision, or public or private organization of any character.

"Responsible bidder" has the meaning ascribed to that term in Section 30-22 of the Illinois Procurement Code [30 ILCS 500/30-22].

History

• Source: Amended at 38 Ill. Reg. 18500, effective August 21, 2014

56 Ill. Adm. Code 240.120 Application of the Act

a) Any individual performing services for a contractor is covered by the Act.

b) Construction services performed on or after January 1, 2008 are covered by the Act. The misclassification of an employee as an independent contractor prior to January 1, 2008 shall not serve as the basis for a violation under the Act.

History

• Source: Amended at 38 Ill. Reg. 18500, effective August 21, 2014

56 Ill. Adm. Code 240.130 Jurisdiction

The Act covers public and private construction performed in the State of Illinois.

56 Ill. Adm. Code 240.140 Waivers

There shall be no waiver of any provision of the Act.

56 Ill. Adm. Code 240.200 Persons Who May File a Complaint

Any person may file a complaint alleging a violation of the Act. The Department can initiate an investigation upon its own motion.

History

• Source: Amended at 38 Ill. Reg. 18500, effective August 21, 2014

56 Ill. Adm. Code 240.210 Contents and Filing of a Complaint

a) A complaint shall be filed on a form to be supplied by the Department. Each complaint shall contain the following information:

1. the full name and address of the complainant;

2. the full name and address of the contractor;

3. a statement or reflection of the complainant's basis of knowledge of the essential facts constituting the alleged violation, including the dates and locations of the alleged violation and the nature of the contractor's business;

4. the complainant's signature, including date of signing; and

5. a statement as to any other action, civil or criminal, instituted by the complainant or that the complainant has knowledge of, in any other forum based on the same violation as alleged in the complaint, together with a statement as to the status or disposition of the other action.

b) Complaints must be filed within 365 days from the date of the alleged violation. If another State or federal agency is investigating a similar complaint regarding misclassification, the filing period with the Department is tolled until that agency renders a decision in the matter. A complaint is deemed timely if filed within 365 days after the date of that agency's decision.

c) Any complaint that fails to meet the requirements set forth in subsection (a) may be accepted by the Department if it otherwise contains the information determined by the Department to be necessary for a proper investigation and review of the alleged violation contained in the complaint.

d) All complaints will be considered filed upon receipt.

History

• Source: Amended at 38 Ill. Reg. 18500, effective August 21, 2014

56 Ill. Adm. Code 240.220 Review of Complaints and Dismissals

a) Complaints shall be reviewed by the Department to determine whether there is cause for investigation.

b) If the complaint fails to conform to the requirements set forth in Section 240.210, the complaint may be dismissed.

c) A complaint may also be dismissed for lack of jurisdiction (examples include, but are not limited to: the construction project is located outside the State of Illinois; the complaint does not involve construction services, such as an individual performing services in a nail salon); failure to cooperate with the investigation (examples include, but are not limited to: failure to respond to reasonable requests from the Department, such as not returning phone calls, not answering questions posed during the investigation); inability to locate a party; failure to complete a complaint; lack of evidence that a violation under the Act occurred; or repeat complaints filed by the same interested party against the same contractor for the same investigation.

d) The Department shall serve a written notice of dismissal of all or part of a complaint. The dismissal notice shall state the grounds for dismissal. The dismissal notice shall also advise the parties of the right to bring a private action pursuant to Section 60 of the Act.

e) If at any time the Department becomes aware that there is a complaint pending in federal or State court containing some or all of the issues before the Department, it may suspend or close its investigation of those issues of the complaint that are being litigated and continue to process the remaining issues. The Department shall notify all parties in writing if its investigation of a complaint has been suspended or closed.

56 Ill. Adm. Code 240.230 Incomplete Complaint

If the Department receives a written complaint that complies substantially with Section 240.210 but is lacking an element that still must be provided, the Department may accept the complaint as an incomplete complaint. The Department shall notify the complainant in writing of the element that must be supplied. If the complainant fails or refuses to perfect the complaint within 30 calendar days, the complaint may be dismissed pursuant to Section 240.220.

56 Ill. Adm. Code 240.300 Investigation

The Department shall conduct an investigation to ascertain the facts relating to the violations alleged in the complaint and determine whether a violation under the Act has occurred. The investigation may be made by written or oral inquiry, field visit, conference or any method or combination of methods deemed suitable at the discretion of the Department. The Department shall notify the contractor in writing, within 120 days after the filing of a complaint, of the filing of a complaint and provide the employer the locations of the projects, approximate dates of the projects, affected contractors and the nature of the allegations being investigated. The Department shall provide the contractor an opportunity to present any information the contractor wishes the Department to consider in reaching its determination.

a) During the investigation, if a contractor refuses to cooperate, the Department may make a finding that the Act has been violated based upon the evidence available to the Department.

b) After a timely complaint has been filed, the Department may investigate alleged violations that may have occurred within the 3 years preceding the date the complaint was filed.

c) Before making a final determination of a violation, the Department shall notify the contractors of the substance of the Department's investigation and afford the contractors an opportunity to present any written information, within 30 calendar days, for the Department to consider in reaching its determination.

History

• Source: Amended at 38 Ill. Reg. 18500, effective August 21, 2014

56 Ill. Adm. Code 240.310 Fact-Finding Conference

As part of its investigation, the Department may convene a fact-finding conference in person or by telephone for the purpose of obtaining additional information or evidence, identifying the issues in dispute, ascertaining the positions of the parties and exploring the possibility of settlement. The fact-finding conferences will be limited to those issues the Department believes to be relevant.

a) Notice of the conference shall be given to all parties at least 15 calendar days prior to the conference and shall identify the individuals requested to attend on behalf of each party.

b) A party may be accompanied at a fact-finding conference by the party's attorney or other representative and by a translator if necessary.

c) A Department investigator shall conduct the conference and control the proceedings. No tape recordings, stenographic report or other verbatim record of the conference shall be made. If any person fails to cooperate at the conference and becomes so disruptive or abusive that a full and fair conference cannot be conducted, the Department investigator shall exclude the person from the conference.

d) A party who appears at the conference exclusively through an attorney or other representative unfamiliar with the events at issue shall be deemed to have refused to attend, unless, with respect to a contractor, the contractor establishes that it does not employ or control any person with knowledge of the events at issue. A complainant who refuses to attend a fact-finding conference may be dismissed from the complaint pursuant to Section 240.220. If a contractor or complainant refuses to attend a fact-finding conference, the Department shall make a determination based upon the evidence provided to the Department.

History

• Source: Amended at 38 Ill. Reg. 18500, effective August 21, 2014

56 Ill. Adm. Code 240.320 Independent Contractor Test

a) An individual performing services for a contractor is deemed to be an employee unless the individual meets all three conditions in Section 10(b)(1), (2) and (3) of the Act or the sole proprietor or partnership is deemed legitimate by meeting all 12 conditions in Section 10(c) of the Act.

b) In determining whether direction or control exists, the Department will consider the following factors. For purposes of this Section, an "individual" means an individual performing services for a contractor. No one factor is dispositive of the issue of whether an individual is an employee or an independent contractor. The Department will review the totality of circumstances in making a decision on direction and control.

1. Is the individual eligible for a pension, health insurance, bonuses, paid vacation, or sick pay?

2. Does the contractor carry Workers' Compensation insurance and pay Unemployment Insurance taxes on the individual?

3. Does the contractor deduct Social Security taxes from the individual's compensation and report the worker's income to the Internal Revenue Service (IRS)?

4. Does the contractor furnish the individual with transportation, samples, business cards, or an expense account?

5. Does the contractor require the individual to turn down work from other contractors or assign or limit the territory in which the individual performs services?

6. Does the contractor set the price and credit terms for the product or the services being performed by the individual?

7. Does the contractor require attendance at meetings or provide training?

8. Does the contractor have the right to set rules and regulations?

9. Does the contractor require the individual to perform services a specific number of hours per day or per week?

10. Does the contractor issue assignments, schedule work or set quotas with time requirements?

11. Does the contractor require the individual to follow a routine, order or sequence set by the contractor in performing the services?

12. Does the contractor engage the individual with the expectation that the relationship will continue indefinitely, rather than for a specific project or period of time?

c) "Usual course of services" means that the services rendered by the individual are necessary to the contractor's business and not simply incidental to the business. The fact that the services are customarily or routinely provided by an individual is not dispositive of the issue of whether the services are actually necessary to the contractor's business. In addition, if a task is performed by both a contractor's employees as well as its independent contractors, the task is considered to be in the usual course of the contractor's services.

d) "An independently established trade, occupation, profession or business" means the individual performing the services has a proprietary interest in such business, to the extent that the individual operates the business without hindrance from any other person and, as the enterprise's owner, may sell or otherwise transfer the business.

e) An individual may be an employee without being entirely dependent upon the relationship with a specified contractor for the individual's livelihood. An individual engaged in other occupations may be an employee of a specified contractor even though the individual only worked intermittently or part time.

f) In determining whether an individual performing services for a contractor is an employee of the contractor, the Department shall consider the actual, rather than the alleged, relationship between the two. Designations and terminology used by the parties, as well as the individual's status for tax purposes, are not controlling.

56 Ill. Adm. Code 240.400 Record Keeping

a) Every contractor, including subcontractors, shall maintain records for all individuals performing services for that contractor or subcontractor, regardless of how those individuals are classified. These records shall be maintained for a period of 3 years unless the records relate to an ongoing investigation or enforcement action under the Act, in which case the records must be maintained until their destruction is authorized by the Department or by court order.

b) Records to be maintained by the contractor shall include all documents related to, or tending to establish the nature of, the relationship between the contractor and individuals performing services. Records that must be maintained for each individual performing services for the contractor include, but are not limited to:

1. name, address, phone number, Social Security number, Individual Tax Identification Number and Federal Employer Identification Number;

2. the type of work performed and the total number of days and hours worked;

3. the method, frequency and basis on which wages were paid or payments were made;

4. all invoices, billing statements or other payment records, including the dates of payments, and any miscellaneous income paid or deductions made;

5. copies of all contracts, agreements, applications and policy or employment manuals; and

6. any federal and State tax documents.

History

• Source: Amended at 38 Ill. Reg. 18500, effective August 21, 2014

56 Ill. Adm. Code 240.405 Reporting Requirements

a) Any contractor, other than a person meeting the responsible bidder requirements of Section 30-22 of the Illinois Procurement Code [30 ILCS 500], for which either an individual, sole proprietor or partnership is performing construction service, shall report all payments made to that individual, sole proprietor or partnership if the recipient of payment is not classified as an employee.

b) The report shall be submitted to the Department annually, on or before April 30 following the taxable year in which the payment was made, on forms prepared by the Department. The report, which shall be submitted electronically, must include:

1. the contractor name, address and business identification number;

2. the individual, sole proprietor or partnership name, address and federal employer identification number; and

3. the total amount the contractor paid to the individual, sole proprietor or partnership performing services in the taxable year, including payments for services and for any materials and equipment that was provided along with the services.

c) If the Department, upon investigation, finds that a contractor has failed to file a report or has filed an incomplete report in violation of this Section, the Department shall notify the contractor, in writing, of its finding and shall assess a civil penalty as provided in Section 40 of the Act.

d) These reporting requirements do not apply to a business primarily engaged in the sale of tangible personal property or a contractor doing work for a business primarily engaged in the sale of tangible personal property.

History

• Source: Amended at 45 Ill. Reg. 7976, effective June 8, 2021

56 Ill. Adm. Code 240.410 Notices

a) An entity for whom one or more individuals perform services who are not classified as employees under Section 10 of the Act shall post and keep posted, in a conspicuous place on each job site where those individuals perform services and in each of its offices, a notice in English, Spanish and Polish, prepared by the Department, summarizing the requirements of the Act. [820 ILCS 185/15(b)]

b) Where it is not practicable to post a notice on the job site, notices shall be provided to all individuals performing services who are not classified as employees.

56 Ill. Adm. Code 240.500 Decision and Notice Following Investigation

a) If, at the conclusion of an investigation, the Department determines that no violation of the Act or this Part has occurred, the complaint shall be dismissed.

b) If, at the conclusion of the investigation, the Department determines that a violation of the Act or this Part has occurred, the Department may seek a voluntary settlement agreement that eliminates the unlawful practice and provides appropriate relief, including, but not limited to, the remedies as set forth in Section 240.510.

c) Whenever a decision is made under this Section, the Department shall provide a written notice to all parties. The notice shall include a statement of the right to bring a civil action as provided for in Section 60 of the Act.

d) The Department will seek voluntary compliance by the contractor for any violations of the Act. If the contractor fails to voluntarily resolve the matter, the Department shall set the matter for a formal hearing in accordance with the provisions of Section 240.570.

e) As part of the settlement process, the Department may convene an informal settlement conference that the contractor must attend.

History

• Source: Amended at 38 Ill. Reg. 18500, effective August 21, 2014

56 Ill. Adm. Code 240.510 Remedies Upon Finding of a Violation

a) An Administrative Law Judge (ALJ), as part of any final decision finding that a violation has occurred, may:

1. order the contractor to eliminate the unlawful practice;

2. issue a cease and desist order;

3. assess civil penalties as set forth in Section 40 of the Act;

4. collect the amount of any wages, salary, employment benefits or compensation denied or lost to the individual;

5. place the contractor on the debarment list pursuant to Section 42 of the Act; and/or

6. take any other reasonable action to eliminate the unlawful practice and/or remedy the effect of the violation.

b) If an ALJ finds that an employee has been misclassified under the Act, the misclassified employee is entitled to all rights and benefits to which an employee is otherwise entitled under other applicable State laws by virtue of being an employee, including but not limited to all lost wages resulting from not being paid the minimum wage or overtime. An ALJ shall not make a separate finding of employee status under other applicable laws. In addition, an ALJ can order a contractor to reimburse the person for improper deductions, such as lost unemployment or workers' compensation benefits resulting from being misclassified, or order the contractor to make contributions on the employee's behalf.

c) An ALJ may hold, in addition to an individual who is an employer as defined by Section 5 of the Act, any officer or agent of a corporation who knowingly permits the employer to violate the Act individually liable for all violations and penalties assessed under the Act. This subsection shall not apply to an individual who is an officer or agent of a corporation that, on the project under investigation, satisfies the responsible bidder requirements set forth in Section 30-22 of the Illinois Procurement Code [30 ILCS 500/30-22].

d) In determining whether an officer or agent knowingly permits violations of the Act under subsection (c), one of the factors to be considered is the extent and nature of the misclassifications and whether the officer or agent is responsible for the corporation conducting, and/or knowingly allowing the corporation to conduct, its regular course of business activities using a business model of misclassifying employees as independent contractors or has knowledge of that business model and does not take any steps to cause it to cease. An isolated incident of misclassification when the corporation otherwise operates with its own employees, or when a clerical mistake is made, is in and of itself insufficient to establish a knowing violation sufficient to impose individual liability.

History

• Source: Amended at 38 Ill. Reg. 18500, effective August 21, 2014

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 240 Employee Classification

56 Ill. Adm. Code 240.520 Civil Penalties

a) A contractor that violates any of the provisions of the Act or this Part shall be subject to a civil penalty not to exceed $1000 for each violation found in the first audit by the Department. Following a first audit, a contractor shall be subject to a civil penalty not to exceed $2000 for each repeat violation found by the Department within a five-year period.

b) Each violation of the Act, for each person and for each day the violation continues, shall constitute a separate and distinct violation.

History

• Source: Amended at 38 Ill. Reg. 18500, effective August 21, 2014

56 Ill. Adm. Code 240.530 Debarments

For any second or subsequent violations determined by the Department within five years after a previous violation, the Department shall add the contractor to a debarment list that will be posted on its official website. The Department shall give notice to the contractor of its placement on the list. No State contract shall be awarded to any contractor placed on the debarment list until four years have elapsed from the date of the last violation.

56 Ill. Adm. Code 240.540 Criminal Penalties

a) Any contractor or individual who willfully violates the Act or this Part, or obstructs the Director of Labor or his or her representatives in the enforcement of the Act, shall be subject to penalties up to double the statutory amount, punitive damages, and/or criminal penalties as set forth in Section 45 of the Act.

b) Anyone attempting to induce an individual to waive any provision of the Act shall be guilty of a Class C misdemeanor.

56 Ill. Adm. Code 240.550 Retaliation

A contractor shall not retaliate against any person for exercising his/her rights under the Act. Any such retaliation shall subject the contractor to civil penalties, a private cause of action, or both, as set forth in Section 55 of the Act.

56 Ill. Adm. Code 240.560 Referral to Other Agencies

If the Department of Labor determines that a contractor has misclassified individuals as independent contractors in violation of the Act, the Department shall notify the Department of Employment Security, the Department of Revenue, the Office of the State Comptroller, and the Illinois Workers' Compensation Commission as set forth in Section 75 of the Act.

56 Ill. Adm. Code 240.570 Hearing Procedures

a) The Department shall issue a complaint and notice of hearing. The complaint shall set forth the allegations of the Department regarding its findings and the relief the Department is requesting.

b) The contractor shall file its answer within 28 calendar days from the date of the complaint and specifically admit, deny or explain each of the facts alleged in the complaint. However, if the respondent is without knowledge, the respondent shall so state and that statement operates as a denial. All allegations in the complaint, if no answer is filed, or any allegation in the complaint not specifically denied or explained in an answer filed, unless the answer states that the contractor is without knowledge, shall be deemed to be admitted to be true and shall be so found by the ALJ.

c) An original and one copy of the answer shall be filed with the ALJ. Immediately upon the filing of his or her answer, the contractor shall serve a copy on the Director and other parties. An answer of a party represented by counsel or non-attorney party representative shall be signed by at least one attorney or non-attorney party representative of record in his or her individual name, whose address shall be stated. A party who is not represented by an attorney or non-attorney party representative shall sign his or her answer and state his or her address. Except when otherwise specifically provided by rule or statute, an answer need not be verified or accompanied by affidavit. The signature of the attorney or non-attorney party representative constitutes a certificate by him or her that he or she has read the answer; that, to the best of his or her knowledge, information and belief, there is good ground to support it; and that it is not interposed for delay. If an answer is not signed or is signed with intent to defeat the purpose of this Section, it may be stricken as a sham and false and the action may proceed as though the answer had not been served. For a willful violation of this Section an attorney or non-attorney party representative may be subjected to appropriate disciplinary action. Similar action may be taken if scandalous or indecent matter is inserted.

d) The ALJ before whom the hearing is scheduled may by written order extend the time within which the answer shall be filed.

e) If a contractor fails to answer and the ALJ grants a motion for summary judgment and enters a final order based upon the failure to answer and an admission of all the facts as true and, if within 30 days after the final decision issued by the ALJ, the contractor files a motion to vacate the ALJ's final decision demonstrating good cause shown for failing to answer the Department's allegations, and the ALJ thereafter grants the motion, the contractor shall be afforded an opportunity to answer and the matter shall proceed as if an original answer to the Department's findings had been filed.

f) Except as provided for in this Section, the Department's rules for formal hearings set forth in the Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120) shall apply.

History

• Source: Added at 38 Ill. Reg. 18500, effective August 21, 2014

Part 250 Illinois Child Labor Law

56 Ill. Adm. Code 250.100 Definition of the Act

As used herein the term "Act" shall mean the Child Labor Law, approved June 30, 1945, L. 1945, p. 754, as amended. (Illinois Revised Statutes 1977, ch. 48, pars. 31.1 et seq. as amended)

56 Ill. Adm. Code 250.105 Definitions

"Act" means the Child Labor Law [820 ILCS 205].

"Agriculture", for purposes of Sections 1, 2 and 9 of the Act, means farming in all of its branches and, among other things, includes:

the cultivation and tillage of the soil;

dairying;

the production, cultivation, growing and harvesting of any agricultural commodity (including commodities defined as agricultural commodities in section 15(g) of the U.S. Agricultural Marketing Act (12 USC 1141 et seq.));

the raising of livestock, bees, furbearing animals, or poultry; and

any practices (including any forestry or lumbering operations) performed by a farmer or on a farm incident to, or in conjunction with, these farming operations, including preparation for market and delivery to storage, to market, or to carriers for transportation to market.

The phrase "incident to or in conjunction with" shall not include construction, by a private contractor, of farm buildings on a farm.

"Chaperone" means a parent or legal guardian of a child performer, or a person over 18 years of age designated by the parents or legal guardians of a child performer. A chaperone shall supervise one or more child performers acting in their best interest, when the child performers are on set, in wardrobe or make-up services, or on bathroom breaks.

"Child performer" means an unemancipated person under the age of 16 who is employed in this State and who performs on live or pre-recorded radio or television, or in motion pictures, or in other entertainment-related performances.

"Day" means a calendar day.

"Department of Labor" or "Department" means the Illinois Department of Labor, its Director, and the Director's authorized representatives.

"Employed" means the relationship between a minor and an employer in which a minor performs services for the benefit of an employer with the actual or implicit knowledge of the employer. The presence of a minor on an employer's premises performing work shall constitute prima facie evidence of the minor's employment.

"Employer" means any individual, partnership, association, corporation, business trust, enterprise, or any person or group of persons acting directly or indirectly in the interest of an employer in relationship to a minor.

"Employment Certificate" means the certificate authorizing employment of a minor that is issued by an authorized agent of the Regional or District Superintendent of Schools under Section 10 of the Act.

"Enterprise" means an activity defined by section 3 of the Fair Labor Standards Act of 1938 (29 USC 203(r) and (s)).

"Filling Station" or "Service Station" means, in the phrase "in or about any filling station or service station" (see Section 17 of the Act) those areas used for convenience and/or grocery stores at a filling station or service station.

"Gainful Occupation", for purposes of the Act, means any service, trade, business, profession, or calling a minor pursues with the reasonable expectation of compensation.

"Garage", for purposes of Section 7 of the Act, means, but is not limited to, establishments selling and/or repairing automobiles, trucks, farm implements, and other vehicles capable of being propelled by their own power, and their premises, except that office employment shall not be prohibited.

"Minor" means persons who have not attained their sixteenth birthday. For the purposes of the Act and this Part, persons attaining their sixteenth birthday shall no longer be considered minors.

"Permitted or Allowed" means the imposition of liability on a person who does not directly employ a minor in violation of the Act, but has sufficient control over the employer to discover the illegal employment and sever the employment relationship.

"Place of Employment", for purposes of Section 250.302, means the physical location, as designated by the employer, where a performance takes place. Remote-based performances, including but not limited to home-based performances, where performances are made possible through internet-based capabilities, are also considered work sites that require written consent from the parent or legal guardian and employer, as reflected in the employment certificate.

"Premises", as used in Sections 6 and 7 of the Act, means a specified employer's buildings, grounds and appurtenances, but does not include the designated space of separate and independent employers conducting business under a common roof.

"Registered Nurse" means a person licensed under the Illinois Nurse Practice Act [225 ILCS 65] as a Registered Professional Nurse (RN) or Advanced Practice Registered Nurse (APRN), with experience in pediatrics.

"School Day", for purposes of Section 250.302, means any day on which the child performer receives educational instruction in order to meet minimum attendance and academic requirements of Section 26-1 of the School Code [105 ILCS 5].

"School Hours", for purposes of Section 250.302, means time offered by the employer to provide appropriate school instruction for the child performer to meet minimum attendance and academic requirements of Section 26-1 of the School Code [105 ILCS 5].

"Studio Teacher", for purposes of Section 250.302, means a person who has obtained a Professional Educator License (PEL) with teaching endorsements as provided in Article 21B of the School Code [105 ILCS 5] and 23 Ill. Adm. Code 25, and is hired by the employer to provide academic, appropriate instruction, in accordance with the teacher's license, for each child performer on days when the child would otherwise be provided traditional academic instruction and may be charged with duties to protect the health, safety and well-being of the child performer on set.

"Television, Motion Picture, or Related Entertainment Production", as used in Section 8.1(b) of the Act, means films, videotape or television programming of theatrical, commercial or documentary presentations viewed by a member of the general public in a theater or on a television screen.

"Time Record" means an accurate time record for each minor employed. Time records shall include the following information for each minor: name, address, date of birth, starting and ending dates of employment, starting and ending times of each work day, starting and ending time of each meal break, and number of hours worked daily and weekly.

"Week" means the calendar week, i.e., that seven consecutive day period beginning at 12:01 a.m. on Sunday morning and ending on the following Saturday night at midnight.

"Work" means all times during which an employed minor is required, permitted or allowed to be on the employer's premises or at a prescribed work place.

History

• Source: Amended at 45 Ill. Reg. 14174, effective November 1, 2021

56 Ill. Adm. Code 250.110 Minor (repealed)

History

• Source: Repealed at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.115 Agriculture (repealed)

History

• Source: Repealed at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.120 Week (repealed)

History

• Source: Repealed at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.125 Work (repealed)

History

• Source: Repealed at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.130 Time Record (repealed)

History

• Source: Repealed at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.135 Premises (repealed)

History

• Source: Repealed at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.140 Suffer (repealed)

History

• Source: Repealed at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.145 Garage (repealed)

History

• Source: Repealed at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.150 Employer and All Interested Parties (repealed)

History

• Source: Repealed at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.200 Employers Subject to the Act

An employer becomes subject to the Act by the presence of a minor on the employer's premises performing work, or by the inclusion of a minor on the employer's payroll, or by a minor receiving or having a reasonable expectation of receiving compensation from the employer. Such compensation need not be monetary. For purposes of this Section, compensation shall not include provision of food, clothing and shelter by a parent or a legal guardian.

History

• Source: Amended at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.205 Minors Assisting Employees of Tax Supported School Lunch Programs

In the Illinois School Lunch Program a common practice is to have minors assist the employees in the serving of meals and the subsequent cleanup in exchange for their lunch in lieu of other remuneration. In such programs that are financed by tax revenues such minors shall not be considered employees for purpose of the Act.

56 Ill. Adm. Code 250.210 Movie Theatres

Employment in an:

a) Indoor movie theatre is not a hazardous occupation,

b) Outdoor or drive-in movie theatres shall be a hazardous occupation with the exception of the indoor portion thereof.

56 Ill. Adm. Code 250.215 Car Wash

A minor may not be employed in any car wash that uses power driven machinery, or involves the moving of motor vehicles in its course of operation, provided that office and other non-hazardous employment shall not be prohibited.

56 Ill. Adm. Code 250.220 Employment in or About Airfields

A minor may not be employed in or about an airfield. This includes, but is not limited to, storage areas, hangers, baggage areas, runways, taxi strips, and fueling areas, but does not include areas such as gift shops, restaurants, or other rental establishments located inside the terminal proper which does not expose the minor to power driven machinery or alcoholic beverages sold for consumption on the premises.

56 Ill. Adm. Code 250.225 Office and Ice Cream Dispensing Equipment

a) Minors may be employed in an office in which power driven office equipment, including but not limited to typewriters, adding machines, copying machines, is used.

b) The prohibition against power driven machinery shall not apply to those machines used to dispense frozen custards and similar types of soft ice cream, milk shake machines and other soda fountain machinery without sharp edges or blades or other hazardous open, moving parts.

56 Ill. Adm. Code 250.230 Enclosed, Self-Sealing Automatic Dishwashers

A minor may be employed in an occupation requiring the use of an automatic or power driven dishwasher, provided said dishwasher is enclosed on all sides, is self-sealing, can be fastened completely shut and provided further that the dishwashing machine has no moving parts which are exposed or otherwise hazardous.

56 Ill. Adm. Code 250.235 Power Driven Machinery

a) About or in connection with power driven machinery shall mean any work requiring the presence of the minor around machinery whose motors and moving components are not enclosed as to prevent access to danger zones. Whether or not the machinery is operating is immaterial. Thus, after hours cleanup in such an establishment is prohibited; provided that office and messenger and other non-hazardous employment shall not be prohibited.

b) Office and non-hazardous messenger employment is not prohibited. Work performed in connection with electrically powered office machines, and ice cream machines with moving parts and motors enclosed as to prevent access to their danger zones, is not considered hazardous power driven machinery.

56 Ill. Adm. Code 250.240 Exhibition Park or Place of Amusement

a) State, county or local fairs, park districts and permanently constructed entertainment centers are not prohibited occupations under the Act; however, the carnival, midway and mechanical rides portion thereof is prohibited.

b) A place of amusement is distinguished from a center of entertainment insofar as a place of entertainment does not house nor become involved with the operation of legal games of chance, as coin operated amusement devices, which are found in places of amusement.

56 Ill. Adm. Code 250.245 Employment in Establishments Selling Package Liquors

Such employment is not prohibited to a minor provided:

a) No liquor is actually manufactured or bottled on the premises,

b) No containers are opened or alcoholic beverages sold or served for consumption on the premises.

56 Ill. Adm. Code 250.250 Shopping Malls and Similar Structures Containing Two or More Buildings

Alcoholic beverages served or sold for consumption on the premises shall mean only that building in which the sale and/or consumption occurs. Other buildings therein shall not be a prohibited occupation under Section 7(13) of the Act.

56 Ill. Adm. Code 250.255 Performances in Alcoholic Beverage Serving Establishments Excepting Those Theatrical Productions in Sec. 8 of the Act

Minors are prohibited from being employed in establishments serving alcoholic beverages. This includes but is not limited to bands, rock groups, and other types of non-theatrical entertainment except as provided for in section 7(13) of the Act.

56 Ill. Adm. Code 250.260 Employment of Minors as Models

a) Certificates

1. Employment certificates must be obtained pursuant to Section 9 through 12 of the Act for all minors who wish to be employed, used, or exhibited as models.

A) Issuing officers shall issue employment certificates to minors enrolled in school.

B) The Regional or City Superintendent of Schools shall issue employment certificates to those minors under school age.

2. If the minor applying for the permit is over ten (10) years of age, the consent of such minor to the employment must be obtained in writing on the certificate.

3. The employment certificate for a child model shall terminate one year after the date of issuance. A minor and/or his parents or guardians may reapply following the procedures outlined in Section 9 through 12 of the Act.

4. No minor employed as a child model shall be excused from attending school except as authorized pursuant to Section 26-1 of the School Code.

5. A copy of the employment certificate for the child model shall accompany the minor at each work location where the minor is employed, used or exhibited as a model.

b) Employment conditions

1. Every minor under fourteen years of age employed, used or exhibited as a model shall be accompanied by the parent or guardian of such minor or by an adult designated in writing by such parent or guardian. However, for a minor under the age of ten (10) years so employed, the employer may not be so designated by the parent or guardian, unless the employer is in fact the parent.

2. No minor shall be employed, used or exhibited as a model during the hours school is in session according to the School Code.

A) Minors under eight (8) years of age (0-7).

No minors under eight (8) years of age shall be employed, used or exhibited as a model for more than two (2) hours in any one day, nor more than ten (10) hours in any one week.

B) Minors eight (8) - thirteen (13) years of age, inclusive.

No minor eight (8) - thirteen (13) years of age, shall be employed, used or exhibited as a model for:

i) more than three (3) hours in any one day in which school is in session; or

ii) more than four (4) hours in any one day in which school is not in session; but

iii) not more than eighteen (18) hours a week in which school is in session for three (3) or more days; or

iv) not more than twenty (20) hours during any week in which school is not in session for at least three (3) days.

C) Minors fourteen (14) - fifteen (15) years of age, inclusive.

The terms and conditions of employment for minors fourteen (14) and fifteen (15) years of age shall remain in accordance and consistent with the provision established in Section 3 of the Act.

c) Child Labor Law Controlling

All other provisions heretofore unmentioned, as found in Sections 1-22 of the Act shall control and may be used in prosecution of any employer of minors under sixteen years of age employed, used or exhibited as models.

56 Ill. Adm. Code 250.265 Parent, Guardian, or Chaperone Required Presence at Performance; Review of Performance Description

a) Section 8 of the Act states that a child performer participating in, or in attendance in connection with, a performance or a rehearsal shall be accompanied by a chaperone. The chaperone shall have no connection with the theatre or organization that is responsible for the production. The chaperone shall be present at the time of every performance and rehearsal.

b) Consent to the Performance of a Child Performer under Section 8.1 (a) in Television, Motion Picture, or Related Entertainment:

1. Prior to casting, the employer shall provide to the parent or legal guardian an accurate description of the performances that will be required of the child performer.

2. The parent or legal guardian may decline specific performances if the parent or legal guardian, chaperone or studio teacher believes the performance is not within the capabilities of the child performer or the performance is not consistent with the description provided prior to casting.

History

• Source: Amended at 45 Ill. Reg. 14174, effective November 1, 2021

56 Ill. Adm. Code 250.270 Non-Resident Minor Seeking Employment

An out-of-state minor wishing to procure employment in the State of Illinois must obtain an employment certificate from a City or Regional Superintendent of Schools or the State Superintendent of Education in Illinois. The requirement that the minor submit his or her application for a certificate in person may be waived by the individual issuing the employment certificate. In addition to the conditions stated in Section 12 of the Act, an out-of-state minor must also, if he or she desires employment during school vacation, obtain a letter from his or her out-of-state principal attesting to the fact that he or she is indeed on vacation and that school is not in session for the specified period of time.

History

• Source: Amended at 36 Ill. Reg. 314, effective December 22, 2011

56 Ill. Adm. Code 250.300 Number of Days Employment Limit

Under the provisions of Section 3 of the Act, no minor shall be employed for more than six days in any one week.

56 Ill. Adm. Code 250.302 Section 8.1(a) Work Hours Exception; Maximum Hours on Set, Schooling, Health and Welfare of Child Performers in Television, Motion Picture, or Related Entertainment Productions

Child performers may be employed, permitted or allowed to work in a television, motion picture, or related entertainment production, in adherence with the limitations and requirements of this Section.

a) Maximum Hours on Set. A child performer's time permitted at the place of employment within a 24-hour time period is limited based on the child performer's age, as follows:

Child Performer's

Age

Maximum

Time on Set

Maximum

Work Time

Rest, Meals and Recreation

School

Hours

15 Days-6 Mos

2 Hrs

20 Min

Balance of Time

7 Mos-2 Yrs

4 Hrs

2 Hrs

Balance of Time

3-5 Yrs

5 Hrs

3 Hrs

1 Hr

On School Days: 1 Hr

6-8 Yrs

On School Days: 7 Hrs

On School Days: 4 Hrs

On School Days or Non School Days: 1 Hr

On School Days: 3 Hrs

On Non-School Days: 8 Hrs

On Non-School Days: 6 Hrs

9-15 Yrs

9 Hrs

On School Days: 5 Hrs

On School Days or Non School Days: 1 Hr

On School Days: 3 Hrs

On Non-School Days: 7 Hrs

b) Requirements for School Hours

1. The employer shall provide a studio teacher or teachers to fulfill school hour requirements by age group on school days when the child performer is not otherwise receiving educational instruction. The employer shall set aside a clean, well-lit place where the instruction can take place;

2. A studio teacher, retained by the employer, shall provide the following services:

A) Educationally appropriate instruction for a child performer if employment, including performance and rehearsals, interferes with education requirements;

B) For each child performer employed, a written report to the child perfomer's parents or legal guardians of subjects covered and the number of hours and dates of attendance.

C) Manage recreational activity, meals and rest periods during non-school days;

D) Age-appropriate activity for non-school age children; and

E) Complement and provide supervision as needed during school days and non-school days;

3. School hours may only take place between 7 a.m. and 4 p.m.;

4. Materials needed for schooling, such as laptops and supplies, shall be provided by parents or legal guardians. If a child performer lacks necessary supplies, the employer must provide supplies to ensure instruction can take place; and

5. Additional Guidelines for the Employer to Achieve School Hours Requirements

A) The child performer must receive at least one hour of school time per school day. However, if the full school time requirement is not met on a particular school day due to the production schedule, the employer may have the child performer make up the difference on other work days, provided that the following requirements are met:

i) The studio teacher must approve the make-up schedule;

ii) The make-up school hours must be made up within one week before or after the day of the missed school hours;

iii) The child performer's maximum time at the employment site shall not exceed the total maximum allowable number of work and school hours combined as provided in subsection (a);

iv) The employer may make up no more than 2 school hours on any given day, including non-filming days when the child performer is required to be on the employment site for rehearsal or other preparations required outside of the actual performance with approval of studio teacher;

v) School hours cannot be made up during holidays observed by the child performer's family; and

vi) The child performer may not perform and make up school hours in excess of six days in a week.

c) Staffing Requirements

The employer shall adhere to the following staffing requirements:

1. A registered nurse shall be present for all rehearsals and performances when infants are on a set, in accordance with the following ratios, and may call for breaks as necessary:

A) One nurse for no more than 3 infants between 15 days and 6 months of age; or

B) One nurse for no more than 10 infants between 7 months and 1 year of age;

2. A studio teacher shall be present to provide educational instruction in accordance with the following ratios:

A) One studio teacher for no more than 10 child performers between age 5 and 8; or

B) One studio teacher for no more than 20 child performers between age 9 and 15;

3. Licensed medical professionals, such as emergency medical technicians or nurses, shall be retained by the employer and shall be on-site and available to respond to medical emergencies when child performers are present at the place of employment. During remote-based performances, medical attention must be approved by written consent signed by the parents or legal guardian.

d) Educational Requirements

The employer shall adhere to the following requirements regarding educational instruction and supervision:

1. Content taught by the studio teacher shall be appropriate for the grade level of each child, as determined by the Illinois State Board of Education's Illinois Learning Standards (see 23 Ill. Adm. Code 1.Appendix D). Games may not be substituted for material taught to children during school hours;

2. Instruction may be taught remotely by a studio teacher:

A) If work performance takes place outside the place of employment; or

B) To make up school hours, with the agreement of the child performer's parents or legal guardians and the employer.

e) No child performer may be sent to wardrobe, dressing, hair dressing, or make-up without the supervision of a chaperone or studio teacher.

History

• Source: Amended at 45 Ill. Reg. 14174, effective November 1, 2021

56 Ill. Adm. Code 250.305 Applying for a Section 8.1(b) Work Hours Waiver

a) No employer subject to the provisions of the Act shall employ, permit or allow a child performer to work in a television, motion picture, or a related entertainment production (as defined in Section 250.105) between 7 p.m. and 7 a.m. from Labor Day to June 1 or between 9 p.m. and 7 a.m. from June 1 until Labor Day, without first obtaining a certificate for a work hours waiver from the Department of Labor.

b) An official application form for a work hours waiver shall be provided by the Department. The employer shall answer all questions contained on the form, including, but not limited to: the name, address and birth date of the child performer at issue; the specific work hours during a particular date for which the employer requests the waiver; the name, address and telephone number of the person that the employer has assigned and authorized to supervise the child performer during the work hours covered by the application for a waiver; a specific description of the child performer's performance, including information concerning the plot of the movie or television series and, if a commercial or music video, its essential lyrics; and a description and address of the exact place(s) where the child performer will work during the hours covered by the waiver request, including information concerning the surrounding physical set or physical environment.

c) The employer shall attach to the application for a work hours waiver a copy of the child performer's valid employment certificate, issued pursuant to Sections 9 - 12 of the Act.

d) The application must be signed and dated by a parent or legal guardian of the child performer, the employer, and an authorized representative of a collective bargaining unit, if a union represents the child performer upon employment.

e) The Department will evaluate the application to consider whether the waiver would be detrimental to the health or welfare of the child performer, whether the child performer would be supervised adequately; and whether the education of the child performer would be neglected. For purposes of a nighttime waiver evaluation, work hours between 12:30 a.m. and 5:00 a.m. will generally be presumed to be detrimental to the welfare of the child performer.

f) Any employer seeking a work hours waiver shall submit an application to the Department as soon as is practicable, but no less than 48 hours prior to any nighttime hours to be worked between Monday night and Thursday night/Friday morning at 9:00 a.m.

Waiver requests for nighttime hours to be worked over the weekend (between Friday evening at 7:00 p.m. or 9:00 p.m. as established in subsection (a), until 9:00 a.m. on the following Monday) must be submitted to the Department no later than 5:00 p.m. on the Thursday prior.

Alternatively, the employer may submit a combined request for a work hours waiver for up to one work week at a time. Such weekly waivers must be submitted to the Department by no later than 5:00 p.m. on the Thursday prior.

History

• Source: Amended at 45 Ill. Reg. 14174, effective November 1, 2021

56 Ill. Adm. Code 250.310 Issuance of a Section 8.1(b) Work Hours Waiver

a) The Department of Labor shall investigate the statements made on the employer's application for a work hours waiver and issue a certificate for a work hours waiver for the employer to employ said minor for the hours, under the condition specified by the application, when s/he is satisfied that the health, welfare and education of the minor will not be jeopardized by such work.

b) An employer applying for a work hours waiver shall not consider its request granted until it receives a certificate for a work hours waiver from the Department of Labor, signed by the Director or his/her authorized representative.

c) Upon the expiration of said waiver, an employer may reapply for a new work hours waiver for a date and time certain in the future, subject however to the same terms and conditions as required for an original application.

History

• Source: Added at 19 Ill. Reg. 6564, effective May 2, 1995

56 Ill. Adm. Code 250.315 Section 8.1(b) Work Hours Waiver Record Keeping and Disclosure Requirements

a) An employer shall keep a copy of the certificate for a work hours waiver at the exact place(s) and address(es) where the minor is working during the hours covered by the waiver.

b) An employer shall maintain a certificate for a work hours waiver issued pursuant to Section 8.1(b) of the Act and Section 250.310 of this Part for each minor employee for at least 3 years, irrespective of whether the employee has been terminated.

c) An employer shall make all certificates for a work hours waiver available for inspection and transcription by a duly authorized agent of the Department.

History

• Source: Added at 19 Ill. Reg. 6564, effective May 2, 1995

56 Ill. Adm. Code 250.400 Certification by Issuing Officers

Section 10 of the Act requires certification by duly authorized representatives of the Regional or District Superintendent of Schools before a minor under 16 can be employed under the Act and this Part. Issuing officers are responsible for:

a) A knowledge of the Act and this Part;

b) Issuing legal employment certificates and maintaining necessary records to comply with Sections 10, 11 and 12 of the Act;

c) A determination of the legality of the minor's proposed employment and whether the minor is academically and physically capable of performing the work in addition to the school requirements. If any one of these three tests is not satisfied, the issuing officer shall refuse to issue the employment certificate and notify the minor and the proposed employer of that refusal;

d) Suspension and Revocation of an Employment Certificate

1. Petitioning the Department to suspend any employment certificate:

A) Found to be illegally or improperly issued; or

B) When the minor's parent, guardian or school principal believes the employment is interfering with the best physical, intellectual or moral development of the minor; and

2. If warranted, issuing a Notice of Suspension of the employment certificate. Following the procedures in Section 250.700, the Department, if it determines revocation of the certificate is warranted, will issue a Final Order of Revocation; and

e) Issuance, upon request, of a Certificate of Age (see Section 14 of the Act) for individuals 16 through 19 years of age.

f) Require a parent or legal guardian seeking a work permit on behalf of a minor to submit the following documents, through either a secure electronic transmission or certified U.S. Mail, to protect personal identifiable information such as birthdates, addresses, social security numbers, or any other document that may be confidential in nature, as required by the issuing officers in accordance with Section 12 of the Act, if in-person applications are not possible because of a declared gubernatorial disaster and an executive order waiving the in-person requirement is in force:

1. the application for employment;

2. the documents listed in Section 12 (1 through 4) of the Act; and

3. a copy of a government issued photo identification for the person designated as the parent or legal guardian on the minor's birth certificate or court order regarding adoption or guardianship.

g) Perform the following actions when an in-person interview with the minor and parents or legal guardians is not possible because of a declared gubernatorial disaster and an executive order waiving the in-person requirement is in force:

1. receive and review the documents listed in subsection (f) in advance of the interview;

2. schedule and host a video conference interview, with the minor seeking the employment certificate and the minor's parent or legal guardian simultaneously, to confirm consent to seek employment and verify the completeness of documents required by Section 12 (1 through 4) of the Act and subsection (f) of this Section at the time of the interview;

3. if a parent or legal guardian does not have access to video technology, telephonically interview the parent or guardian. In this circumstance, the issuing officer must provide the Department with a statement indicating the video interview was not possible and that a telephone interview was conducted; and

4. email a copy of the approved employment certificate to the Department (dol.childlaborlaw@illinois.gov).

History

• Source: Amended at 45 Ill. Reg. 14174, effective November 1, 2021

56 Ill. Adm. Code 250.500 Employer Responsibilities

The employer of the minor shall:

a) Upon receiving a "Notice of Suspension", immediately suspend the employment of the minor until the final order is received. The employer is then responsible for proper action as dictated by the final order (see Section 250.700);

b) Become informed in the application of the Act and this Part to the employer's establishment or enterprise. Information on the Act and this Part is available at the Department's website and will be provided upon request;

c) Maintain a time record on each minor employee for at least 3 years from the date of employment, irrespectively of whether the employee has been terminated;

d) Keep the required time records, or duplicate copies of those records, at the place of employment or business, at which the minor is currently employed and retain time records for terminated employees at the place of employment for at least 6 months after the date of termination or in accordance with 56 Ill. Adm. Code 210.730 if records are kept outside business premises; and

e) Make available, during the regular business hours observed by the employer, the required time records for inspection and copying by a duly authorized agent of the Department.

History

• Source: Amended at 45 Ill. Reg. 14174, effective November 1, 2021

56 Ill. Adm. Code 250.600 Revocation of Employment Certificates; Civil Penalty Assessments

The provisions of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, pars. 1001-1 et seq.) shall apply to contested cases involving the revocation of employment certificates under Section 16 and 17 of the Act and the final determination of civil penalties under Sections 17 and 17.3 of the Act.

History

• Source: Amended at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.700 Procedure and Time Table for Suspension or Revocation of Employment Certificates

a) The Department of Labor shall notify all interested parties to an employment certificate suspension pursuant to Section 16 and 17 of the Act of the Department's suspension action and of the Department's hearing procedure to either reinstate or revoke the certificate.

b) A minor may, within 10 days after receipt of a suspension notice, request an informal investigation conference. The request must be mailed to the Department's Chicago office. The Department shall make an initial determination with respect to the legal and factual merits of the minor's request.

c) If the request presents a reasonable issue of law or fact, an informal investigative conference shall be conducted at the Department's Chicago or Springfield office within 21 days of the issuance of the suspension notice. If the request is denied, the Department shall notify the minor of its findings in writing within 10 days.

d) If an informal conference is held, and the matter resolved, the Department shall within 10 days after the conference issue a final order.

e) If an informal investigative conference was requested and held but did not resolve the matter, a minor may make a written request within 10 days after the investigative conference for an administrative hearing pursuant to Section 250.715 of this Part. A request shall be prominently marked "request for administrative hearing on employment certificate." The Department shall conduct the hearing at its Chicago or Springfield office within 21 days after the informal hearing. The Department shall issue a final order 10 days after the administrative hearing.

f) If a minor does not tender a request for an administrative hearing to the Department within 10 days after an informal investigative conference, the suspension shall become a final order of revocation on the 22nd day after the investigative hearing.

g) As used herein "day" shall refer to a calendar day. If the deadline for a conference or a hearing request falls on a weekend or a holiday, the minor may tender the request on the next following business day.

History

• Source: Amended at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.705 Procedure for Child Labor Penalty Assessment

a) The Department shall conduct investigations, conferences, or hearings for the purpose of assessing penalties as provided under Section 17 of the Act.

b) When the Department finds, upon evidence resulting from an investigation pursuant to Section 17 of the Act, that an employer has violated the Child Labor Law or Department regulations, the Department may convene an informal investigative conference for the purpose of obtaining evidence, identifying the issues in dispute, and exploring the possibility of a negotiated settlement. Notice of the conference shall be given to the employer at least 10 days prior thereto and shall identify the individuals requested to attend, along with any books, records or documents the employer must produce at the conference. The Department shall consider the matter resolved in the event a settlement has been reached prior to the conference date.

c) An employer may be accompanied at the informal investigative conference by an attorney, and by a translator if necessary. The employer may bring witnesses to the conference in addition to those whose attendance may be specifically requested by the Department, but the Department employee conducting the conference shall decide which witnesses shall be heard and the order in which they will be heard. The Department employee conducting the conference may exclude witnesses and other persons from the conference when they are not giving evidence, except that the employer's counsel, and translator if necessary, may be permitted to remain throughout. The Department employee shall conduct and control the proceedings. No tape recording, stenographic report or other verbatim record of the conference may be made.

d) If any person becomes disruptive or abusive, the Departmental employee shall exclude the person from the conference and shall continue the conference without the excluded individual.

e) If the informal investigative conference is held but did not resolve the dispute, a final determination on the amount of civil penalties shall be made in an administrative hearing pursuant to the provisions of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, pars. 1001-1 et seq.) and Section 250.775 of this Part.

History

• Source: Added at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.710 Assessing Penalties

a) The administrative determination of an amount of civil penalties, not to exceed $5,000 for each violation of the Act and the regulations, shall be based on the available evidence of the violation(s) and shall consider the size of the employer's business and the gravity of the violation(s).

b) The Department's assessment of civil penalties shall consider the size of the employer's business. The assessment shall take into account the number of employees employed by the employer, the gross dollar volume of sales or business done, the employer's capital investments and financial resources, and other information relevant to the size of the employer's business.

c) The Department's assessment of civil penalties shall consider the gravity of the offense(s). The assessment shall take into consideration, among other things, any history of prior violations, any evidence of willfulness or failure to take reasonable precautions to avoid violations, the number of minors illegally employed, the age of the minors employed, the absence of employment certificates, the occupations in which the minors were employed, exposure of the minors to hazards and any resultant injury to the minors, the duration of the illegal employment, and, as appropriate, the hours of the day in which it occurred and whether the employment was during or outside school hours. The Department shall not consider an employer's assertion that it was unaware of the Act and/or these regulations as a mitigating factor in determining the gravity of the offense(s).

d) A determination of civil penalties made in an administrative hearing pursuant to the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, pars. 1001-1 et seq.) and Section 250.715 of this Part shall be final.

History

• Source: Added at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.715 Procedure for Contested Cases; Suspension or Revocation of Employment Certificates; Final Determinations of Civil Penalties

The Department shall conduct administrative hearings for all contested cases involving the revocation of employment certificates and the final determination of civil penalties pursuant to the Illinois Administrative Procedure Act [5 ILCS 100] and to 56 Ill. Adm. Code 120.

History

• Source: Amended at 25 Ill. Reg. 864, effective January 5, 2001

56 Ill. Adm. Code 250.800 Minimum Age

A violation of Section 1 of the Act shall be charged for each minor employee under the age of fourteen (14) not exempt from the Act.

56 Ill. Adm. Code 250.805 Hours of Work

A separate violation of Section 3 of the Act shall be charged for every instance in which an employer employed, permitted, or allowed a minor to work:

a) for more than six consecutive days in any calendar week,

b) over 48 hours in any calendar week when school is not in session,

c) over eight hours per day,

d) between 7 p.m. and 7 a.m. from Labor Day until June 1 or between 9 p.m. and 7 a.m. from June 1 until Labor Day,

e) over three hours on a day school is in session,

f) over eight hours per day combining school and work hours,

g) over twenty-four hours in any calendar week when school is in session. (For specific requirements for minors under sixteen appearing in television or motion picture productions, see Sections 250.305 - 250.315, and 250.855).

History

• Source: Amended at 19 Ill. Reg. 6564, effective May 2, 1995

56 Ill. Adm. Code 250.810 Meal Period

A violation of Section 4 of the Act shall be charged for each minor during each work period of five or more continuous hours uninterrupted by a thirty (30) minute meal period.

56 Ill. Adm. Code 250.815 Posting of Hours

A violation of Section 5 of the Act shall be charged for each minor employed where employer has failed to post an abstract of the Act and/or a schedule of hours of work and/or meal periods.

56 Ill. Adm. Code 250.820 Time Record

a) A violation of Section 6 of the Act shall be charged for each minor employed upon whom the employer has failed to keep a register of name, age and place of residence.

b) A violation of Section 250.500c of this Part shall be charged for each minor employed upon whom the employer has failed to keep a record of time starting and ending work, time out and time in after meals, and the daily and weekly totals of hours worked.

History

• Source: Amended at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.825 Hazardous Occupations

A violation of Section 7 of the Act and/or Section 250.210, 250.215, 250.220, 250.235, or 250.240 of this Part, as appropriate, shall be charged for each minor employed in a hazardous occupation.

History

• Source: Amended at 16 Ill. Reg. 5335, effective March 24, 1992

56 Ill. Adm. Code 250.830 Minor Under Sixteen Appearing in Theatrical Productions

A violation shall be charged under Section 8 of the Act for each minor employed;

a) for whom an employment certificate has not been issued,

b) that performs in more than two performances in a given day,

c) that participates in excess of eight performances in a given week, or nine when a holiday occurs in that week,

d) that performs without the presence of the parent or guardian or by other appointed person charged with the care of the minor,

e) that performs in excess of six days in a week,

f) that performs in excess of twenty-four (24) hours per week,

g) that fails to attend school as provided by the Illinois School Code,

h) that is not provided proper rest and/or dressing room facilities.

History

• Source: Amended at 5 Ill. Reg. 902, effective January 23, 1981

56 Ill. Adm. Code 250.835 Employment Certificate Required

A violation of Section 9 of the Act shall be charged for each minor employed without an employment certificate.

56 Ill. Adm. Code 250.840 Duties of Employers

A violation of Section 13 of the Act shall be charged for each minor for whom the employer is unable to produce an employment certificate.

56 Ill. Adm. Code 250.845 Violations of Section 250.260 of the Rules and Regulations Pertaining to Employment of Minors as Models

A violation of Section 250.260 of this Part shall be charged for each minor for whom an employer has failed to comply with each applicable subsection thereof.

History

• Source: Amended at 5 Ill. Reg. 902, effective January 23, 1981

56 Ill. Adm. Code 250.850 Parent/Guardian Not Present at Performance

A violation of Section 250.265 of this Part shall be charged for each minor appearing in a rehearsal or performance during time which the parent or guardian is not present.

History

• Source: Amended at 5 Ill. Reg. 902, effective January 23, 1981

56 Ill. Adm. Code 250.855 Minors Under Sixteen Appearing in Television or Motion Picture Productions

A violation shall be charged under Section 8.1 of the Act for each child performer employed:

a) for whom an employment certificate has not been issued;

b) who performs without the presence of the chaperone;

c) who performs in excess of the time limits set forth in Sec. 250.302(a);

d) who performs or makes up school hours in excess of six days in a week;

e) who fails to attend school or receive educational services as required by the Illinois School Code;

f) who is not provided with a 12-hour rest break at the end of the performers work day and prior to the commencement of the child performer's next day of work or school;

g) who is not provided with separate and adequate facilities for rest, schooling and recreation;

h) who is an infant under 15 days old from the date indicated on the child's birth certificate; or

i) who is under one year of age and was born before the 37th week of the mother's pregnancy.

History

• Source: Amended at 45 Ill. Reg. 14174, effective November 1, 2021

56 Ill. Adm. Code 250.860 Minors: Athletic or Acrobatic Activity and Stunts

It shall be a violation of the Act to require a minor performing in any theatrical, television and/or motion picture production to perform any unusual athletic or acrobatic activity or stunts unless the minor and parent or guardian represent that the minor is capable of performing such activity and the parent or guardian gives prior consent in writing. Provided no minor shall be required to work in any hazardous situation which places him or her in a clear and present danger to life or limb, regardless of any parental consent.

History

• Source: Added at 16 Ill. Reg. 5335, effective March 24, 1992

Part 252 Child Bereavement Leave

56 Ill. Adm. Code 252.5 Definitions

"Act" means the Child Bereavement Leave Act [820 ILCS 154].

"Child" 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.

"Department" means the Illinois Department of Labor.

"Employee" means eligible employee, as defined by FMLA section 101(2).

"Employer" means employer, as defined by FMLA section 101(4) (Section 5 of the Act).

"FMLA" means the federal Family and Medical Leave Act of 1993 (29 USC 2601 et seq.).

56 Ill. Adm. Code 252.10 Bereavement Leave

a) All employees shall be entitled to use a maximum of 2 weeks (10 work days) of unpaid bereavement leave to:

1. attend the funeral, or alternative to a funeral, of a child;

2. make arrangements necessitated by the death of the child; or

3. grieve the death of the child.

b) Bereavement leave under subsection (a) must be completed within 60 days after the date on which the employee receives notice of the death of the child.

c) An employee shall provide the employer with at least 48 hours' advance notice of the employee's intention to take bereavement leave, unless providing that notice is not reasonable and practicable.

d) An employer may require reasonable documentation. Documentation may include a death certificate, a published obituary, or written verification of death, burial, or memorial services from a mortuary, funeral home, burial society, crematorium, religious institution, or government agency.

e) In the event of the death of more than one child in a 12-month period, an employee is entitled to up to a total of 6 weeks of bereavement leave during the 12-month period.

f) The Act does not entitle an employee to take unpaid leave time that exceeds the total unpaid leave time protected under FMLA. [820 ILCS 154/10]

56 Ill. Adm. Code 252.15 Existing Leave

An employee who is entitled to take paid or unpaid leave (including family, medical, sick, annual, personal, or similar leave) from employment, pursuant to federal, State, or local law, a collective bargaining agreement, or an employment benefits program or plan may elect to substitute any period of that leave for an equivalent period of leave provided under Section 10 of the Act. [820 ILCS 154/15]

56 Ill. Adm. Code 252.20 Unlawful Employer Practices

a) It is unlawful for any employer to take any adverse action against an employee because the employee:

1. exercises rights or attempts to exercise rights under the Act;

2. opposes practices that the employee believes to be in violation of the Act; or

3. supports the exercise of rights of another under the Act.

b) Exercising rights under the Act includes:

1. filing an action or instituting or causing to be instituted any proceeding under, or related to, the Act;

2. providing or agreeing to provide any information in connection with any inquiry or proceeding relating to any right provided under the Act; or

3. testifying, or agreeing to testify, in any inquiry or proceeding relating to any right provided under the Act. [820 ILCS 154/20]

56 Ill. Adm. Code 252.25 Department Responsibilities

a) The Department will administer and enforce the Act. The Department shall have the powers and the parties shall have the rights, provided in Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/Art.10] for contested cases. The Department has the power to conduct investigations in connection with the administration and enforcement of the Act, including the power to conduct depositions and discovery and to issue subpoenas. If the Department finds cause to believe that the Act has been violated, the Department shall notify the parties in writing and the matter shall be referred to an Administrative Law Judge to schedule a formal hearing in accordance with 56 Ill. Adm. Code 120 (Rules of Procedure in Administrative Hearings).

b) The Department is authorized to impose civil penalties prescribed in Section 30 of the Act in administrative proceedings that comply with the Illinois Administrative Procedure Act and to supervise the payment of the unpaid wages and damages owing to the employee or employees under the Act.

c) The Department may bring any legal action necessary to recover the amount of unpaid wages, damages, and penalties, and the employer shall be required to pay the costs. Any sums recovered by the Department on behalf of an employee under the Act shall be paid to the employee or employees affected. However, no more than 20% of any penalty collected from the employer for a violation of the Act shall be deposited into the Child Bereavement Fund, a special fund created in the State treasury, and used for the enforcement of the Act.

d) The Attorney General may bring an action to enforce the collection of any civil penalty imposed under the Act. [5 ILCS 100/25]

56 Ill. Adm. Code 252.30 Enforcement

a) An employee who believes his or her rights under the Act or this Part have been violated may, within 60 days after the date of the last event constituting the alleged violation for which the action is brought, file a complaint with the Department or file a civil action.

b) Penalties

1. An employer found to have violated any provision of the Act or this Part is subject to a civil penalty for each employee affected, as follows:

A) First offense, a civil penalty of $500;

B) Second or subsequent offense, a civil penalty of $1,000. [820 ILCS 154/30]

2. For purposes of this subsection (b), an offense means each instance that an employer is found to have denied an employee bereavement leave, as provided for by 820 ILCS 154/10, or to have engaged in unlawful practices prohibited by 820 ILCS 154/20.

c) If the Department assesses a penalty in accordance with subsection (b), the Department shall serve the employer and employee, via certified mail, electronic mail if a party has consented, or any other verifiable means such as private carrier, with a Notice of Penalty containing the grounds for the decision and the penalty amount.

56 Ill. Adm. Code 252.35 Initiation of Hearing

a) The Department shall serve its decision on the parties via certified U.S. mail, postage prepaid, return receipt requested, addressed to the last known addresses of the parties. A party may request a hearing within ten days after the date of service via certified mail or personal delivery to the Department.

b) Hearings shall be conducted pursuant to the provisions of Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 10] and the Department's Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120).

56 Ill. Adm. Code 260.100 Definitions

"Act" means the Day and Temporary Labor Services Act [820 ILCS 175].

"Certificate of Registration" means a document issued by the Department to a day or temporary labor service agency authorizing that agency to transact business in Illinois. A "Certificate of Registration" is also known as a "license".

"Clerical" means, for purposes of the Day and Temporary Labor Services Act [820 ILCS 175], administrative work in an office or office-like setting and may include a combination of answering telephones, bookkeeping, typing or word processing, office machine operations, processing e-mail and other correspondence, and filing.

"Contract" means an agreement, written, oral or otherwise as agreed to between the parties.

"Cure" means to correct, remedy, or alleviate an alleged violation to the satisfaction of the Director.

"Day" means a calendar day.

"Day or Temporary Laborer" means a natural person who contracts for employment with a day and temporary labor service agency. [820 ILCS 175/5]

"Day and Temporary Labor" means work performed by a day or temporary laborer at a third party client, the duration of which may be specific or undefined, pursuant to a contract or understanding between the day and temporary labor service agency and the third party client. "Day and temporary labor" does not include labor or employment of a professional or clerical nature. [820 ILCS 175/5]

"Day and Temporary Labor Service Agency" or "Agency" means any person or entity engaged in the business of employing day or temporary laborers to provide services, for a fee, to or for any third party client pursuant to a contract with the day and temporary labor service agency and the third party client, and which is located, operates, or transacts business within the State of Illinois. [820 ILCS 175/5]

"Department" means the Illinois Department of Labor.

"Directly Hired Employee" means an individual who works directly for a third party client as an employee and does not contract for that employment through a day and temporary labor service agency.

"Director" means the Director of Labor or a duly authorized representative.

"Hazard" means any source of potential for damage, harm, or adverse health effect that, if left uncontrolled, could result in an injury to or illness of a worker.

"Hours Worked" has the meaning ascribed to that term in 56 Ill. Adm. Code 210.110. [820 ILCS 175/30(a)(2)]

"Interested Party" means an organization that monitors or is attentive to compliance with public or worker safety laws, wage and hour requirements, or other statutory requirements. [820 ILCS 175/5]

"Labor Dispute" means any controversy concerning wages, hours, terms, or conditions of employment. [820 ILCS 175/5]

"Person" means every natural person, firm, partnership, co-partnership, limited liability company, corporation, association, business trust, or other legal entity, or its legal representatives, agents, or assigns.

"Placement Fee" means a fee that a third party client pays to a day and temporary labor service agency in order for the third party client to directly hire a day or temporary laborer as an employee of the third party client, also known as a "conversion fee".

"Professional" means, for purposes of the Day and Temporary Labor Services Act [820 ILCS 175], any person who meets the duties test of a professional under 29 CFR 541.300 through 304 as of March 30, 2003 (no later dates or editions). Specifically, this means any employee engaged in work predominantly intellectual and varied in character, rather than routine mental, manual, mechanical or physical work.

"Retaliate" means to reprimand, discharge, suspend, demote, deny an assignment, make a materially adverse change to the terms or conditions of the laborer's work, or take any other adverse action against the laborer because of the laborer's involvement in protected activities under the Act or this Part.

"Right to Sue Letter" means a letter notifying an interested party of its right to file an action in civil court under the Act.

"Seniority" means the number of calendar months in which a day or temporary laborer has been assigned to and worked at the third party client compared to the number of calendar months a directly hired comparator employee has been employed by the third party client. [820 ILCS 175/42]

"Third Party Client" or "Client" means any person that contracts with a day and temporary labor service agency for obtaining day or temporary laborers. [820 ILCS 175/5]

History

• Source: Amended at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.200 Complaints

a) A day or temporary laborer may file a complaint with the Department alleging a violation of the Act or this Part by completing and submitting a form provided by the Department and submitting any supporting documentation.

b) An interested party may file a complaint with the Department alleging a violation of the Act or this Part consistent with the procedures in Section 260.210 and Section 260.220.

History

• Source: Amended at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.210 Investigation

The Department may initiate an investigation upon receipt of a complaint under Section 260.200 or to otherwise enforce the provisions of the Act or this Part.

a) The investigation may be made by written or oral inquiry, field visit, conference or any method or combination of methods deemed suitable in the discretion of the Department. The Director may examine a day and temporary labor agency's books and records, including electronic records, as well as any other documents reasonably related to the investigation, to determine whether a violation of the Act or this Part has occurred.

b) The Director shall notify all parties of the results of the investigation and shall issue a violation notice when the investigation has established that a violation of the Act or this Part occurred or is occurring.

c) The Department may, at any time, attempt to resolve the complaint by conference, voluntary mediation, conciliation, or persuasion.

d) If, after investigation, the Department believes that the Act or this Part has been violated, and the complaint has not been resolved as provided for in subsection c, then the matter shall be referred to an administrative hearing consistent with Section 260.610.

e) After the hearing, if supported by the evidence, the Department may:

1. issue and cause to be served on any party an order to cease and desist from further violation of the Act or this Part;

2. take affirmative or other action as deemed reasonable to eliminate the effect of the violation;

3. deny, suspend, or revoke any registration under this Act; and

4. determine the amount of any civil penalty allowed by the Act.

History

• Source: Amended at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.220 Complaints by Interested Parties

a) Before an interested party may initiate a civil action in the county where an alleged violation of the Act occurred or where any party to the civil action resides, the following sequence of events must occur: [820 ILCS 175/67]

1. The interested party shall file a complaint with the Department, within three years of the alleged violation, describing the violation and naming the day and temporary labor service agency or third party client alleged to have violated the Act. [820 ILCS 175/67]

2. In response to the complaint filed by an interested party that alleges a violation of the Act, the Department shall send a notice of complaint to the named party or parties indicating that any named party may contest or cure the allegations in the complaint within 30 calendar days of service of the notice of complaint. [820 ILCS 175/67] Service may be made according to the requirements contained in Section 260.630.

3. The named parties may, within 30 calendar days of receiving the notice from the Department, respond in writing indicating if they will contest the alleged violations or will cure the alleged violations.

4. If the named parties do not respond to the notice of complaint within 30 calendar days, then the Department shall issue a Right to Sue letter to the interested party. [820 ILCS 175/67]

b) In addition to subsection (a), the Department shall issue a Right to Sue letter if the Director determines one of the following is true:

1. The complaint or allegations are unjustified;

2. The Department does not have jurisdiction;

3. The Department will not exercise its jurisdiction;

4. The administrative enforcement proceeding has concluded; or

5. The named parties have cured the alleged violations. (See 820 ILCS 175/67.)

c) An interested party may initiate a civil action 180 calendar days after service of the notice of complaint to the parties if any of the following circumstances exist:

1. The Department has not resolved the contested complaint;

2. The parties have not come to a mutual agreement to extend the time period to cure the complaint pursuant to subsection (d); or

3. The Department has not issued a Right to Sue letter. [820 ILCS 175/67]

d) The Parties may extend the 180-day period by mutual agreement. The limitations period for the interested party to bring an action for the alleged violation of the Act shall be tolled for the 180-day period or any mutually agreed extensions of such time period. [820 ILCS 175/67]

e) If the Department issues a Right to Sue Letter, the Department may still conduct an investigation on matters not specifically identified in the complaint against the named party.

History

• Source: Added at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.230 Penalties

a) A day and temporary labor service agency or third party client found to have violated any provision of the Act or this Part is subject to a civil penalty of not less than $100 and not more than $18,000 for violations found in the first audit by the Department. [820 ILCS 175/70]

b) Any violation found after the first audit is subject to a civil penalty of not less than $250 and not more than $7,500. [820 ILCS 175/70]

c) The Department may issue a separate violation to an agency or third party client for each day or temporary laborer that is found to be affected by a violation of the Act or this Part. (See 820 ILCS 175/70.)

d) When determining the amount of a penalty under this Section, the Director shall consider the following factors:

1. The seriousness of the violation, including the nature, circumstances, extent, and gravity of the violation, including probability that death or serious physical or mental harm to a laborer will result or has resulted, the severity of the actual or potential harm, and the extent to which the provisions of the applicable statutes or regulations were violated;

2. The economic harm to the day or temporary laborer caused by the violation;

3. The history of previous violations by the day and temporary labor service agency or third party client;

4. The amount necessary to deter a future violation;

5. Efforts by the day and temporary labor service agency or third party client to correct the violation;

6. The size of the employer; and

7. Any other factor that justice may require.

History

• Source: Added at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.300 Registration

a) No person shall employ day or temporary laborers to provide services to or for any third party client pursuant to a contract between itself and the third party client unless that person or entity is registered with the Department as evidenced by a Department-issued non-transferable certificate.

EXAMPLES:

Manufacturer A contracts with Temporary Labor Agency B to fulfill its labor needs. Temporary Labor Agency B employs laborers, whom it dispatches out to work for various third party client companies. Temporary Labor Agency B must be registered with the Department before it provides laborers to Manufacturer A or any other third party client company.

Manufacturer A makes a request to Temporary Labor Agency B for more laborers than usual to meet Manufacturer A's labor needs during a particularly busy season. Temporary Labor Agency B dispatches some of its own employees to work as laborers for Manufacturer A, but does not employ enough laborers to meet Manufacturer A's request. Temporary Labor Agency B has a contract with Temporary Labor Agency C to utilize some of Temporary Labor Agency C's employees to fulfill Manufacturer A's labor needs. In this scenario, both Temporary Labor Agencies B and C must be registered with the Department before providing laborers to Manufacturer A.

b) A day and temporary labor service agency must annually register with the Department each location or branch office from which the agency will operate.

c) A day and temporary labor service agency shall keep, and prominently display, the certificate of registration in the public access area at each location where it operates.

d) A person that is licensed as a private employment agency must also register with the Department as a day and temporary labor service agency if it engages in the business of employing day or temporary laborers to provide services to or for any third party client pursuant to a contract with the person or entity and the third party client.

e) A person or entity must register as a day and temporary labor service agency with the Department when, on an isolated or incidental basis, it employs persons to provide professional or clerical services to or for any third party client pursuant to a contract with the person and the third party client, in addition to its primary business of employing day or temporary laborers to provide services to or for any third party client pursuant to a contract with the person and the third party client.

f) In the case of a day and temporary labor service agency that operates day and temporary labor services and separately operates temporary professional or clerical staffing services, the requirements of subsections (c) and (d) of this Section shall apply only to the agency's day and temporary labor operations.

g) A person or entity that is licensed as a nurse staffing agency under the Nurse Agency Licensing Act must also register with the Department as a day and temporary labor service agency if it also engages in the business of employing day and temporary laborers.

History

• Source: Amended at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.310 Content of Application to Register

An application to register a day and temporary labor service agency, and an application for registration renewal, shall be made on a form provided by the Department. The application shall contain, but is not limited to, the following:

a) The name, address, federal employer identification number, telephone number, and email address of the person seeking to register, including the trade or assumed name under which the person does business;

b) If the person is a corporation, a copy of its articles of incorporation, a copy of its current bylaws, and the names and addresses of its officers and directors and the names and addresses of shareholders owning more than 5% of the corporation's stock shall be provided for the initial registration. Applications for registration renewal shall contain any amendments to the articles of incorporation and bylaws, the names and addresses of any new officers and directors, and the names and addresses of any new shareholders owning more than 5% of the corporation's stock;

c) If the person is a partnership, the names, business or personal addresses, and telephone numbers of all partners. Applications for registration renewal shall contain the names, business or personal addresses, and telephone numbers of all new partners;

d) If the person is a limited liability company, a copy of the articles of organization, the operating agreement, and the names and addresses of all organizers and members owning more than 5% of the membership;

e) The name, address, federal employer identification number, telephone number, and email address of the registered agent for the place of business, including the position held by that person or entity. Applications for registration renewal shall contain the name, address, federal employer identification number, email address, and telephone number of any new registered agent for the place of business, including the position held by that person or entity with the day and temporary labor service agency;

f) The name and locations of premises from which the day and temporary labor service agency will provide services. Applications for renewal shall contain any new name and locations of premises from which the day and temporary labor service agency will provide services;

g) The name, address, telephone number, and email address of the person under whose management or supervision the day and temporary labor service agency will be operated. If, during the period when the registration is effective, the person under whose management or supervision the day and temporary labor service agency operates changes, the day and temporary labor service agency will notify the Department within 30 calendar days after the change. Applications for registration renewal shall include the name, address, and email address of any new person under whose management or supervision the day labor service agency will be operated;

h) Certification that the person applying for registration is 18 years of age or older;

i) A bond in due form, to the People of the State of Illinois, for the penal sum of $5,000 with one or more sureties, to be approved by the Department of Labor and conditioned that the obligor will conform to and not violate any of the duties, terms, conditions, provisions or requirements of the Act or this Part;

j) A certification that the agency will comply with all applicable State and federal employment laws, including, but not limited to, the Illinois Wage Payment and Collection Act [820 ILCS 115] and State and federal laws relating to employee compensation and overtime compensation (Illinois Minimum Wage Law [820 ILCS 105]), social security taxes, State and federal income taxes, workers' compensation (Workers' Compensation Act [820 ILCS 305]), and unemployment taxes (Unemployment Insurance Act [820 ILCS 405]);

k) A copy of the form to be used for the employment notice, as required by Section 10 of the Act and Section 260.400 of this Part. The form shall include, but is not limited to, the items listed in Section 260.400;

l) An oath or affirmation certifying that all information contained within, and attached to, the application is true and complete;

m) Copies of financial responsibility and liability insurance required under the Illinois Motor Vehicle Code [625 ILCS 5] for any transportation provided by or referred by the day and temporary labor service agency or a third party client, or a contractor or agent of either, to transport day or temporary laborers to a work site;

n) Proof of an employer account number for payment of unemployment insurance contributions as required by Section 45 of the Act; and

o) Proof of valid workers' compensation insurance in effect at the time of and for the duration of the registration period covering all of the day and temporary labor service agency's employees, as required by Section 45 of the Act.

History

• Source: Amended at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.320 Expiration and Renewal of Registration

a) Registration of a day and temporary labor service agency shall be for a term of one calendar year and shall expire at the end of the calendar year unless the Department revokes or suspends the registration sooner. A period of suspension does not extend the registration for any period of time.

b) A day and temporary labor service agency must apply for renewal at least 60 days prior to the expiration of its registration with the Department.

History

• Source: Renumbered from Section 260.220 and amended at 30 Ill. Reg. 11557, effective June 22, 2006

56 Ill. Adm. Code 260.330 Registration Fees

a) The initial application to register a day and temporary labor service agency must be accompanied by a $3,000 fee for each agency and a $750 fee for each branch office or other location where the agency regularly contracts with day or temporary laborers for services.

b) The application for renewal of registration for a day and temporary labor service agency must be accompanied by a $3,000 fee for each agency and a $750 fee for each branch office or other location where the agency regularly contracts with day or temporary laborers for services.

c) The fee to initially apply for, or renew, a registration may be paid by certified check, cashier's check, or money order made payable to the Illinois Department of Labor, or by the State Treasurer's E-Pay program or any successor program. [820 ILCS 175/45]

d) The fee to initially apply for, or renew, a registration is not refundable.

History

• Source: Amended at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.400 Required Disclosures to Laborers

a) Employment Notice. A day and temporary labor service agency shall provide at the time of dispatch and on any day that any of the terms listed on the employment notice are changed, to each day or temporary laborer who is sent to work as a day or temporary laborer, a statement in a language the laborer understands that contains the following information:

1. the name of the day or temporary laborer;

2. the name and nature of the work to be performed, including a list of basic job duties, and the types of equipment, protective clothing, and training that are required for the task;

3. the wages offered;

4. the name and address, including county, of the destination of each day or temporary laborer;

5. the terms of transportation;

6. whether a meal or equipment or both is provided by either the day and temporary labor service agency or the third party client and the cost of the meal and equipment, if any; and [820 ILCS 175/10(a)(1)-(6)]

7. if using codes on the day or temporary laborer's paycheck stub to identify third party clients, the code or codes that correlate to where the day or temporary laborer is being sent to work.

b) The statement provided by the day and temporary labor service agency as required by subsection (a) shall identify the name and title of the authorized agent of the agency stating that the information contained in the statement is true and correct. If a day or temporary laborer is not dispatched directly to the work site from the office or other location of the day and temporary labor service agency, the statement shall be provided to the day or temporary laborer by hand, email, text message, or U.S. mail. If the day or temporary laborer is dispatched by telephone, the day and temporary labor service agency shall send the statement to the day or temporary laborer by hand, email, text message, or U.S. mail. If a day or temporary laborer is assigned to the same assignment for more than one day, the day and temporary labor service agency is only required to provide the employment notice on the first day of the assignment and on any day that any of the terms listed on the employment notice are changed [820 ILCS 175/10(a)].

c) A day or temporary laborer who has worked for the same third party client for more than 720 hours in a 12-month period or more than 4,160 hours within a 48-month period and is subject to the pay requirements described in Section 42 of the Act shall receive an updated employment notice that further describes: [820 ILCS 175/10(a)(7) and /42]

1. the seniority and straight time hourly wage of the comparator being used to determine the wage, if the employer uses the method in paragraph (1) of subsection (a) of Section 42 of the Act to determine the laborer's wage rate; or

2. the standard occupational classification used if the third-party client instructs the day or temporary labor service agency to use the method in paragraph (2) of subsection (a) of Section 42 of the Act to determine the laborer's wage rate. [820 ILCS 175/10]

d) A day and temporary labor service agency shall provide at the time of dispatch, to each day or temporary laborer who is sent to work as a day or temporary laborer, the following information, which may be provided as part of the required employment notice, or may be provided on a separate document:

1. the name and title of the representative of the third party client to whom laborers should report safety concerns at the workplace and a statement that safety hazards and concerns may be reported to the Department by calling the Department's Day and Temporary Labor Services Act toll-free hotline at 1-877-314-7052 or emailing DOL.DayLabor@illinois.gov; [820 ILCS 175/85] and

2. if a strike, lockout, picket, bannering, handbilling or other work stoppage exists because of a labor dispute, then a language the day or temporary laborer understands notifying them of a strike, lockout, or other work stoppage because of a labor dispute and the laborer's right to refuse the assignment without retaliation. [820 ILCS 175/11]

History

• Source: Amended at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.402 Right to Refuse Assignment Due to Labor Dispute

a) A day and temporary labor service agency must inquire whether a strike, lockout, picket, bannering, handbilling or other work stoppage exists because of a labor dispute at a third party client before sending a day or temporary laborer to work there. [820 ILCS 175/11]

b) A day or temporary laborer shall have the right to refuse assignment to a place where a strike, lockout, picket, bannering, handbilling, or other work stoppage exists because of a labor dispute without prejudice to receiving another assignment. [820 ILCS 175/11]

c) A day and temporary labor service agency shall not send a day or temporary laborer to a place where a picket, bannering, handbilling, or other work stoppage exists because of a labor dispute unless it has complied with Section 260.400(a)(9). [820 ILCS 175/11]

d) If a day and temporary labor service agency fails to provide the information to the day or temporary laborer as required by Section 260.400(d)(2), then it shall constitute a notice violation subject to a private right of action under Section 95 of the Act. [820 ILCS 175/11]

e) It is a violation of Section 90 of the Act for a day and temporary labor service agency or third party client to retaliate against a worker who exercises or attempts to exercise any right afforded by this Section.

History

• Source: Added at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.404 Day and Temporary Labor Service Agency Training Requirements

a) The day and temporary labor service agency shall provide general safety training to each day or temporary laborer for each client company that the day or temporary laborer is dispatched to on or before a day or temporary laborer's first day working at that client company each year. [820 ILCS 175/85]

b) This general safety training shall be provided at no expense to the day or temporary laborer, and the time that the day or temporary laborer spends in training shall be considered compensable time.

c) The training shall reflect all existing job hazards known to the third party client company or the day and temporary labor service agency, including hazards that have been reported to the client or the agency by a day or temporary laborer. In order to effectuate this requirement, the day and temporary labor service agency must inquire about the client company's safety and health practices and hazards at the actual workplace where the day or temporary laborer will be working. [820 ILCS 175/85(c)]. This must include, but is not limited to, inquiring about any of the following types of hazards which are or could be present on the worksite:

1. hazards which necessitate the use of personal protective equipment;

2. fall hazards;

3. electrocution hazards;

4. hazards of being struck by objects;

5. getting caught in or between machinery or equipment;

6. machinery-related hazards;

7. chemical or other substance-related hazards; and

8. repetitive-motion hazards.

d) The training shall include information regarding actions taken by the third party client to eliminate, control, or otherwise mitigate or protect workers from the hazards, as well as what steps workers should take to avoid or control the hazards. This must include emergency action plans, emergency evacuation procedures, and shelter-in-place procedures.

History

• Source: Added at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.406 Third Party Client Training Requirements

Before a day or temporary laborer begins to perform work at a third party client's work site, or if a laborer's assigned location, duties, or working environment, including equipment or tools, changes, the third party client must do the following:

a) Notify the day and temporary labor service agency in writing about anticipated job hazards likely to be encountered at the worksite by the day or temporary laborer;

b) Review the safety and health awareness training provided by the day and temporary labor service agency to determine if it addresses recognized hazards in the third party client's industry;

c) Provide site-specific training tailored to particular hazards that are present or could be anticipated at the third party client's worksite consistent with training requirements provided for in standards, guidance, or best practices issued by the federal Occupational Safety and Health Administration.

1. This training could include, but is not limited to, any of the following types of hazards:

A) hazards which necessitate the use of personal protective equipment;

B) fall hazards;

C) electrocution hazards;

D) hazards of being struck by objects;

E) getting caught in or between machinery or equipment;

F) machinery-related hazards;

G) chemical or other substance-related hazards; and

H) repetitive-motion hazards.

2. This site-specific safety training shall be provided at no expense to the day or temporary laborer, and the time that the day or temporary laborer spends in training shall be considered compensable time; and;

d) Document and maintain records of site-specific training and provide confirmation that the training occurred to the day and temporary labor service agency within 3 business days of providing the training to the laborer. [820 ILCS 175/85]

History

• Source: Added at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.408 Application Receipt

If an applicant seeks a work assignment as a day or temporary laborer with a day and temporary labor service agency, including in-person, online, or through an app-based system, and is not placed with a third party client or otherwise contracted to work for that day by the day and temporary labor service agency, the day and temporary labor service agency shall provide the applicant with, or, if using a third party to facilitate hiring, ensure that the third party provides the applicant with, a confirmation that the applicant sought work. This confirmation, also known as an application receipt, shall identify the name and title of the authorized agent of the day or temporary labor service agency who processed the application, and shall be manually or electronically signed. The application receipt shall include:

a) the name and location of the day and temporary labor service agency and if applicable, the branch office;

b) the name and address of the applicant;

c) the date and the time that the applicant sought the work assignment;

d) the manner in which the applicant sought the work assignment; and

e) the specific work sites or type of jobs sought by the applicant, if applicable. [820 ILCS 175/10]

History

• Source: Added at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.410 Recordkeeping

Pursuant to Section 12 of the Act, day and temporary labor service agencies shall keep the following records available for inspection by the Department during regular business hours at the place the records are kept:

a) the name, address and telephone number of each third party client, including each work site, to which day or temporary laborers were sent by the agency and the date of the transaction;

b) the name and address, the specific location sent to work, the type of work performed, the number of hours worked, the hourly rate of pay and the date sent, for each day or temporary laborer;

c) the name and title of the individual or individuals at each third party client's place of business responsible for the transaction;

d) any specific qualifications or attributes of a day or temporary laborer requested by each third party client;

e) copies of all contracts, if any, with the third party client and copies of all invoices for the third party client;

f) copies of all employment notices provided in accordance with the Act and this Part;

g) deductions to be made from each day or temporary laborer's compensation made by either the third party client or by the day and temporary labor service agency for the day or temporary laborer's food, equipment, withheld income tax, withheld social security payments and every other deduction;

h) verification of the actual cost of any equipment or meal charged to a day or temporary laborer; [820 ILCS 175/12]

i) the race and gender of each day or temporary laborer sent by the day and temporary labor service agency, as provided by the day or temporary laborer;

j) number of hours billed by the day and temporary labor service agency to each third party client for each day or temporary laborer;

k) a legend or explanation sheet for the code or codes used on a day or temporary laborer's paycheck stub that identifies the third party client or third party clients for whom the day or temporary laborer worked;

l) all records pertaining to the safety hazard training and disclosure required by the Act, including documentation signed by each day or temporary laborer indicating that the day or temporary laborer has received the training required by the Act, including dates, and any reports of hazards received from day or temporary laborers;

m) all records, including information provided by third party clients, used to determine compensation;

n) records related to any notice of a strike, lockout, or work stoppage due to a labor dispute provided to a day and temporary labor service agency, and documentation signed by each day or temporary laborer who is assigned to the site of a strike, lockout, or work stoppage due to a labor dispute acknowledging that the day or temporary laborer was informed about the dispute and their right to refuse the assignment without prejudice to receiving another assignment.

History

• Source: Amended at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.420 Inspection and Maintenance of Records

a) The Department is authorized to inspect and copy any records or notices required to be kept under the Act and this Part during regular business hours at the place where the records are maintained. The records or notices required to be kept under the Act and this Part shall be kept within the State of Illinois at an office of the day and temporary labor service agency. The refusal of an agency to produce the records for inspection or copying will be considered grounds to revoke the agency's registration.

b) Upon request from the Department, the day and temporary labor service agency shall produce paper or machine-readable electronic records to the Department within five business days following a request.

c) Records required under this Section shall be maintained for a period of three years from their creation. However, records shall be maintained for a longer period while there is an open case pending against the agency.

d) Day and temporary labor service agencies shall make the records described in Section 260.410, except for subsections (e) and (m), available to a day or temporary laborer during normal business hours within five calendar days following a written request. In addition, during normal business hours and within five calendar days following a written request, day and temporary labor service agencies shall make available to the individual making the request records relating to the number of hours billed to a third party client for that individual day or temporary laborer's hours of work.

History

• Source: Amended at 50 Ill. Reg. 7177, effective April 28, 2026

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 260 Day and Temporary Labor Services Act

56 Ill. Adm. Code 260.430 Meals

A day and temporary labor service agency shall not charge a day or temporary laborer for any meal not consumed by the day or temporary laborer. If a meal is consumed by the day or temporary laborer, no more than the actual cost of the meal may be charged. The purchase of a meal cannot be a condition of employment for the day or temporary laborer. (See 820 ILCS 175/15.)

History

• Source: Added at 30 Ill. Reg. 11557, effective June 22, 2006

56 Ill. Adm. Code 260.440 Transportation

a) A day and temporary labor service agency or a third party client or contractor or agent of either shall not charge a fee to transport a day or temporary laborer to or from the designated work site.

b) A day and temporary labor service agency is responsible for the conduct and performance of any person who transports a day or temporary laborer from the agency to a work site, except as provided in Section 20 of the Act. [820 ILCS 175/20]

c) A day and temporary labor service agency shall not refer a day or temporary laborer to any person for transportation to a work site, except as provided in Section 20 of the Act.

History

• Source: Added at 30 Ill. Reg. 11557, effective June 22, 2006

56 Ill. Adm. Code 260.445 Equal Pay for Equal Work

Pursuant to Sections 42 and 43 of the Act, a day and temporary labor service agency shall pay day and temporary laborers as follows.

a) Equal Pay. A day and temporary labor service agency shall pay a day or temporary laborer who is assigned to work and performs work at the same third party client for more than 720 hours within a 12-month period, beginning on or after April 1, 2024, in accordance with one of the following methods:

1. Third party client employee compensation as a basis for compensation. This method shall be the default method unless the third party client directs the day and temporary labor service agency to use the method in subsection (a)(2). The day or temporary laborer shall be paid as follows:

A) If there is a directly hired comparator employee of the third party client with the same or substantially similar level of seniority at the company and performing the same or substantially similar work on jobs the performance of which requires substantially similar skill, effort, and responsibility, and that are performed under similar working conditions, the agency shall pay that laborer not less than the straight-time hourly rate of pay or hourly equivalent of the lowest paid directly hired comparator employee of the third party client who is entitled to overtime under the Fair Labor Standards Act of 1938 (29 U.S.C. 203) with the same or substantially similar level of seniority at the company and performing the same or substantially similar work on jobs the performance of which requires substantially similar skill, effort, and responsibility, and that are performed under similar working conditions; or

B) If there is not a directly hired comparator employee of the third party client performing the same or substantially similar work as described in subsection (a)(1)(A), the agency shall pay that laborer not less than the straight-time hourly rate of pay or hourly equivalent of the lowest paid directly hired employee of the third party client who is entitled to overtime under the Fair Labor Standards Act of 1938, as amended, with the closest level of seniority at the third party client.

C) If there is no directly hired employee of the third party client who is entitled to overtime under the Fair Labor Standards Act of 1938, this Section does not apply.

D) As used in this Section, "substantially similar level of seniority" refers to comparative time spans as measured in number of months worked. (See 820 ILCS 175/42(d).)

2. Bureau of Labor Statistics data as a basis for compensation. In lieu of the method in subsection (a)(1), and at the sole discretion of the third party client, the day or temporary laborer shall be paid as follows:

A) if a day or temporary laborer has been assigned to work and performs work at the same third party client for more than 720 hours within a 12-month period, not less than the median base hourly rate, or hourly equivalent if paid on a salary basis, of workers working in the same or a substantially similar job classification, as reflected in the detail level of the most recent Standard Occupational Classification System published by the United States Department of Labor's Bureau of Labor Statistics, in the same metropolitan area or non-metropolitan area of Illinois where the work is performed, as reflected in the most recent Occupational Employment and Wage Statistics Survey, or any successor publication, published by the United States Department of Labor's Bureau of Labor Statistics; or

B) If a day or temporary laborer has been assigned to work and performs work at the same third party client for more than 4,160 hours within a 48-month period, not less than the 75th percentile base hourly rate, or hourly equivalent if paid on a salary basis, of workers working in the same or substantially similar job classification, as reflected in the detail level of the most recent Standard Occupational Classification System published by the United States Department of Labor's Bureau of Labor Statistics, in the same metropolitan area or non-metropolitan area of Illinois where the work is performed, as reflected in the most recent Occupational Employment and Wage Statistics Survey, or any successor publication, published by the United States Department of Labor's Bureau of Labor Statistics. The Department shall provide on its website a link to the publications specified in this subsection (a)(2)(B) and a link to the United States Department of Labor's guidance on determining standard occupational classifications.

b) Exceptions. The requirements set forth in subsection (a) shall not apply to any company where the direct hire employees of the third party client performing the same or substantially similar work as the day or temporary laborers assigned to work at the third party client are covered by a valid collective bargaining agreement in effect on April 1, 2024 for the period covered by that current collective bargaining agreement. [820 ILCS 175/42]

History

• Source: Added at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.450 Wage Payment and Notice

a) At the time of payment of wages, a day and temporary labor service agency shall provide the following information on the day or temporary laborer's paycheck or on a form approved by the Department:

1. the name, address, and telephone number of each third party client at which the day or temporary laborer worked;

2. the number of hours worked by the day or temporary laborer at each third party client each day during the pay period. If the day or temporary laborer is assigned to work at the same work site of the same third party client for multiple days in the same work week, the day and temporary laborer service agency may record a summary of hours worked at that third party client's worksite so long as the first and last day of that work week are identified as well;

3. the rate of payment for each hour worked, including any premium rate or bonus;

4. the total pay period earnings;

5. all deductions made from the day or temporary laborer's compensation made either by the third party client or by the day and temporary labor service agency, and the purpose for which deductions were made, including the day or temporary laborer's food, equipment, withheld income tax, withheld social security payments, and every other deduction [820 ILCS 175/30(a)]; and

6. if the day and temporary labor service agency uses codes or other abbreviations to identify third party clients on the day or temporary laborer's paycheck stub, the agency shall make a legend or explanation of any such abbreviations immediately available to the day or temporary laborer upon request and during normal business hours.

b) A day or temporary laborer who is contracted by a day and temporary labor service agency to work at a third party client's work site, but is not utilized by the third party client for a minimum of 4 hours, shall be paid by the day and temporary labor service agency for a minimum of 4 hours of pay at the agreed upon rate of pay. However, if the day and temporary labor service agency is able to place the day or temporary laborer at another work site during that same shift, the day or temporary laborer shall be paid by the agency at the agreed upon rate of pay for all hours worked on the shift but no less than 2 hours. [820 ILCS 175/30]

c) All wage payments must be in compliance with all laws relating to wages contained in Chapter 820 of the Illinois Compiled Statutes.

History

• Source: Amended at 50 Ill. Reg. 7177, effective April 28, 2026

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 260 Day and Temporary Labor Services Act

56 Ill. Adm. Code 260.460 Deductions from Wages

Except as provided in Section 9 of the Illinois Wage Payment and Collection Act, no deductions from wages shall be made unless the day or temporary laborer provides express written authorization for a deduction given freely at the time the deduction is made in accordance with Section 9 of the Illinois Wage Payment and Collection Act [820 ILCS 115/9], the Act and this Part. Deductions may not cause a day or temporary laborer's hourly rate to fall below the State or federal minimum wage. The Department shall provide a form to be used for all deductions made under the Act and this Part.

History

• Source: Added at 30 Ill. Reg. 11557, effective June 22, 2006

56 Ill. Adm. Code 260.470 Placement Fees

a) A day and temporary labor service agency may charge a placement fee to a third party client who employs a day or temporary laborer for whom a contract for work was effected by the agency. The fee shall not exceed the total daily commission rate the agency would have received over a 60 day period reduced by the total amount of the daily commission rate the agency has received each day the day or temporary laborer has performed work for the agency in the preceding 12 months (i.e., (daily commission rate times 60) minus (daily commission rate times number of days worked for the agency in the prior 12 months)).

b) Days worked at the agency in the 12 months prior to January 1, 2006 shall be included for purposes of calculating the maximum placement fee.

c) A day or temporary laborer, third party client, or interested party may file a complaint with the Department if they have knowledge that a day and temporary labor service agency has charged a placement fee or threatened to charge a placement fee in violation of this Section or Section 40 of the Act. However, nothing in this Section or Section 40 of the Act requires a third party client to directly hire a day or temporary laborer who has performed work beyond the time period in which a placement fee may be charged.

d) Example: Worker A has been employed by Temp Agency A since February 1, 2024. Temp Agency A dispatches Worker A to Client B or Client C as needed on different days, and charges each Client a $50 commission per day on top of the worker's compensation. Between February 1 and April 1, 2024, Worker A works 25 days for Client B and 15 days for Client C. Client B wishes to hire Worker A directly as an employee. Temp Agency A may charge Client B no more than $1,000 as a placement fee according to the following calculation:

$50 daily commission rate multiplied by 60 = $3,000.

$50 daily commission rate multiplied by 40 days of work = $2,000.

$3,000 minus $2,000 = $1,000 allowable placement fee.

e) At the time a day or temporary laborer is dispatched to any third party client, a day and temporary labor service agency must provide the day or temporary laborer with a written notice stating whether the client is subject to paying the day and temporary labor service agency a placement fee if the client directly hires the day or temporary laborer, that any fee will be reduced based on the days worked by the day or temporary laborer for such client prior to being hired by the client, and that no fee will be charged to the client if the employee has performed work for the day and temporary labor service agency on more than 60 calendar days in a 12-month period.

History

• Source: Amended at 50 Ill. Reg. 7177, effective April 28, 2026

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 260 Day and Temporary Labor Services Act

56 Ill. Adm. Code 260.480 Public Access Area

A day and temporary labor service agency shall provide adequate seating in the public access area of the offices of the agency. The public access area shall allow for access to restrooms and suitable drinking water. (See 820 ILCS 175/35.)

History

• Source: Added at 30 Ill. Reg. 11557, effective June 22, 2006

56 Ill. Adm. Code 260.490 Postings

A day and temporary labor service agency shall post and keep posted at each location, in the public access area, easily accessible to all employees, notices as supplied and required by the Department containing a copy or summary of the provisions of the Act and a toll-free telephone number for day or temporary laborers and the public to file wage dispute complaints and other alleged violations by day and temporary labor service agencies. The public access area shall also be the location for any other State or federally mandated posting. (See 820 ILCS 175/35.)

History

• Source: Added at 30 Ill. Reg. 11557, effective June 22, 2006

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 260 Day and Temporary Labor Services Act

56 Ill. Adm. Code 260.495 Liability Insurance

Any day and temporary labor service agency that provides transportation, as provided in Section 20 of the Act or this Part, to a day or temporary laborer to transport the laborer to a work site shall be required to notify the Department if the insurance policy is cancelled. The day and temporary labor service agency shall ensure that the insurance company provides the Department notice of cancellation of the insurance.

History

• Source: Added at 30 Ill. Reg. 11557, effective June 22, 2006

56 Ill. Adm. Code 260.497 Workers' Compensation Insurance

Valid workers' compensation insurance covering all day or temporary laborers shall be in effect at the time of and for the duration of the registration period. The day and temporary labor service agency shall have an affirmative duty to report any lapse of coverage to the Department.

It shall also be required that the day and temporary labor service agency ensure that the insurance

company provide the Department notice of cancellation of the insurance.

History

• Source: Added at 30 Ill. Reg. 11557, effective June 22, 2006

56 Ill. Adm. Code 260.500 Wage Payments and Legal Responsibility

All wage payments must be in compliance with all laws relating to wages contained in 820 ILCS. Third party clients that contract with day and temporary labor service agencies for the services of day or temporary laborers shall share with the day and temporary labor service agency all legal liability and responsibility for the payment of wages.

History

• Source: Added at 30 Ill. Reg. 11557, effective June 22, 2006

56 Ill. Adm. Code 260.505 Responsibility to Provide Compensation Information

a) Upon request, a third party client to which a day or temporary laborer has been assigned to work and has performed work for more than 720 hours within a 12-month period or 4,160 hours within a 48-month period shall be obligated to timely provide the day and temporary labor service agency with all necessary information related to job duties, working conditions, pay, and seniority of directly hired employees necessary for the day and temporary labor service agency to comply with the equal pay provisions of Section 260.445. Upon receipt of the accurate and complete information described in this subsection from the third party client, it shall be the responsibility and duty of the day and temporary labor service agency to calculate and determine the straight-time hourly rate of pay it shall offer to the day or temporary laborer, including any cash equivalent.

b) For purposes of this Section, "timely" means before the beginning of the day or temporary laborer's next pay period.

c) The failure by a third party client to timely provide any of the information required under this Section shall constitute a notice violation subject to a private right of action under Section 95 of the Act. For purposes of this Section, the day and temporary labor service agency shall be considered a person aggrieved as described in Section 95 of the Act. [820 ILCS 175/42]

History

• Source: Added at 50 Ill. Reg. 7177, effective April 28, 2026

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 260 Day and Temporary Labor Services Act

56 Ill. Adm. Code 260.510 Verification of Registration

Third party clients have a duty to verify that a day and temporary labor service agency is registered with the Department before entering into a contract with the agency, and again on March 1 and September 1 of each year. Third party clients may verify that an agency is registered by consulting the Department's website.

History

• Source: Added at 30 Ill. Reg. 11557, effective June 22, 2006

56 Ill. Adm. Code 260.520 Work Verification Form

For each day or temporary laborer who is contracted to work a single day, the third party client shall provide the day or temporary laborer with a work verification form at the end of the work day. The form shall be provided by or approved by the Department and shall contain the date, the name of the day or temporary laborer, the work location and the hours worked on that day. (See 820 ILCS 175/30(a-1).)

History

• Source: Added at 30 Ill. Reg. 11557, effective June 22, 2006

56 Ill. Adm. Code 260.530 Safety Hazard Disclosure to Agency

a) Prior to a day and temporary labor service agency assigning or dispatching a day or temporary laborer to a worksite, the third party company must notify the agency of all of the client's safety and health practices and disclose all known hazards at the actual location where the day or temporary laborer will be working in order for the day and temporary labor service agency to assess the safety conditions, worker's tasks, and the company's safety program;

b) If the day and temporary labor service agency becomes aware of an additional safety or health practice, or hazard at the actual worksite, then the agency shall notify the third party company as soon as possible. [820 ILCS 175/85]

c) No day or temporary laborer shall be asked to work at a worksite with a job hazard known by the day and temporary labor service agency unless the job hazard has been fixed or addressed by the third party client prior to assignment.

History

• Source: Added at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.540 Labor Dispute Disclosure to Agency

A third party client must notify a day and temporary labor service agency if a strike, lockout, or other work stoppage exists because of a labor dispute at the location where the agency is dispatching day or temporary laborers.

History

• Source: Added at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.550 Recordkeeping Requirements for Third Party Clients

Pursuant to the Act, third party clients shall keep the following records and produce them for inspection by the Department upon request, for a period of three years from their creation:

a) contracts for the referral or dispatch of day or temporary laborers, including documentation that all contracted agencies hold a valid certificate of registration issued by the Department;

b) any documents related to wages, hours, and terms and conditions of employment for each day or temporary laborer sent to work for that third party client, including hours worked, type of work performed, and any deductions charged to the day or temporary laborer;

c) all records related to all known safety hazards, including documentation of steps taken to mitigate or control the hazards; and

d) records relating to compensation of directly hired employees for comparison purposes necessary for compliance with Sections 260.445 and 260.505.

History

• Source: Added at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.600 Suspension, Revocation, or Denial

a) The Department may suspend, revoke, or deny the registration of a day and temporary labor service agency for, but not limited to, any of the following reasons:

1. A violation of, or failure to comply with, any provision of the Act or this Part;

2. Knowingly making any misrepresentation or false statement in connection with an application for, or renewal of, a registration of a day and temporary labor service agency with the Department;

3. For any conduct or practice found, as a result of an administrative hearing, conducted by the Department and evidenced by a final administrative decision, to be detrimental to public health and safety; or

4. upon order of a circuit court.

b) When determining whether to suspend, revoke, or deny a registration, the Director shall consider the following factors:

1. The seriousness of the violation, including the nature, circumstances, extent, and gravity of the violation, including probability that death or serious physical or mental harm to a laborer will result or has resulted, the severity of the actual or potential harm, the number of laborers impacted or potentially impacted, and the extent to which the provisions of the applicable statutes or regulations were violated;

2. The economic harm to the day or temporary laborer caused by the violation;

3. The history of previous violations;

4. The action necessary to deter a future violation;

5. Efforts to correct the violation; and

6. Any other factor that justice may require.

c) A day or temporary labor service agency whose registration has been revoked or denied may submit a new application for registration after:

1. paying any penalties assessed by the Department;

2. correcting any outstanding violations to the satisfaction of the Director; and

3. providing any additional information deemed necessary by the Director to ensure continued compliance with the Act and this Part.

d) A day or temporary labor service agency whose registration has been suspended may request that their registration be reinstated after:

1. paying any penalties assessed by the Department;

2. correcting any outstanding violations to the satisfaction of the Director; and

3. providing any additional information deemed necessary by the Director to ensure continued compliance with the Act and this Part.

History

• Source: Amended at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.610 Administrative Hearings

Hearings shall be conducted pursuant to the provisions of Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 10] and the Department's Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120).

History

• Source: Amended at 50 Ill. Reg. 7177, effective April 28, 2026

56 Ill. Adm. Code 260.620 Considerations in Reaching a Decision (Repealed)

History

• Source: Renumbered from Section 260.320 and repealed at 30 Ill. Reg. 11557, effective June 22, 2006

56 Ill. Adm. Code 260.630 Service of Documents

Service of any document upon any person may be made by personal delivery, certified mail with the return receipt signed by the person or its agent, US regular mail with postage prepaid, electronic mail (e-mail) when agreed to by the party, or any other verifiable means, such as private carrier, to the following:

a) An address on file with the Department;

b) An address on file with the Secretary of State;

c) An address on file with any other State agency with which the respondent shall maintain a current address; or

d) Any other address, including e-mail address, the Department reasonably calculates to be a true and current address for the party.

History

• Source: Added at 50 Ill. Reg. 7177, effective April 28, 2026

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 270 State Construction Minority and Female Building Trades Act

56 Ill. Adm. Code 270.100 Purpose and Scope

It is the purpose of this Part to prescribe rules outlining the procedures for submission of apprenticeship reports under the State Construction Minority and Female Building Trades Act.

56 Ill. Adm. Code 270.110 Definitions

"Apprenticeship Report" means a report compiled by a labor organization or other entity that includes information regarding minority participation in the labor organization's or other entity's apprenticeship program.

"Act" means the State Construction Minority and Female Building Trades Act [30 ILCS 577/Art. 35].

"Construction" means any constructing, altering, reconstructing, repairing, rehabilitating, refinishing, refurbishing, remodeling, remediating, renovating, custom fabricating, maintenance, landscaping, improving, wrecking, painting, decorating, demolishing, and adding to or subtracting from any building, structure, highway, roadway, street, bridge, alley, sewer, ditch, sewage disposal plant, water works, parking facility, railroad, excavation or other structure, project, development, real property or improvement, or to do any part thereof, whether or not the performance of the work herein described involves the addition to, or fabrication into, any structure, project, development, real property or improvement herein described of any material or article of merchandise. Construction shall also include moving construction related materials on the job site or to or from the job site. (Section 35-5 of the Act)

"Department" means the Illinois Department of Labor.

"Labor Organization or Other Entity" means, for purposes of this Part, an organization or entity in Illinois with one or more apprenticeship programs for construction trades, whether or not recognized and certified by the United States Department of Labor, Bureau of Apprenticeship and Training.

"Under-represented Minority" means African-American, Hispanic, and Asian-American as those terms are defined in the Business Enterprise for Minorities, Females, and Persons with Disabilities Act [30 ILCS 575]. (Section 35-5 of the Act)

56 Ill. Adm. Code 270.200 Contents and Filing of a Report

a) By January 15 of each year, each labor organization or other entity must submit an apprenticeship report to the Illinois Department of Labor regarding all individuals participating in its construction apprenticeship program.

b) The apprenticeship report must include the following information on apprentices in the apprenticeship program of that labor organization or other entity during the preceding calendar year:

1. the official name of the apprenticeship program;

2. contact information for an authorized representative of the apprenticeship program, including name, address, phone number and email address;

3. a verification statement that the records are true and accurate; and

4. the race, gender, ethnicity and national origin for each apprentice in the program.

c) Each apprenticeship report shall be submitted on a form prescribed by the Department. This form is available on the Department's website.

d) All apprenticeship reports shall be filed with the Department's Springfield office at 1 W. Old State Capitol Plaza, Room 300, Springfield IL 62701 and will be considered filed upon receipt.

Part 280 Victims' Economic Security and Safety Act

56 Ill. Adm. Code 280.100 Purpose and Scope

This Part shall apply to complaints arising under the Victims' Economic Security and Safety Act [820 ILCS 180]. The purpose of the Act is:

a) to allow employees who are victims of domestic violence, sexual violence, gender violence, or any other crime of violence, or who have a family or household member who is a victim of domestic violence, sexual violence, gender violence, or any other crime of violence whose interests are not adverse to the employee as it relates to the domestic violence, sexual violence, gender violence, or any other crime of violence to take unpaid job-protected leave if the employee or the employee's family or household member is experiencing an incident of domestic violence, sexual violence, gender violence, or any other crime of violence or to seek medical attention for or to address the incident of domestic violence, sexual violence, gender violence, or any other crime of violence by recovering from physical or psychological injuries; obtaining services from a victim services organization; obtaining counseling; participating in safety planning; temporarily or permanently relocating; seeking legal assistance; preparing for or participating in any legal proceeding related to or derived from domestic violence, sexual violence, gender violence, or any other crime of violence; or taking other actions to ensure the health, safety, or economic security of the employee or employee's family or household member;

b) to prohibit employers from discriminating against employees who are victims of domestic violence, sexual violence, gender violence, or any other crime of violence or who have a family or household member who is a victim of domestic violence, sexual violence, gender violence, or any other crime of violence. [820 ILCS 180/20(a)(3)]; and

c) to require employers to provide reasonable accommodations in a timely manner to employees who are victims of domestic violence, sexual violence, gender violence, or any other crime of violence or who have a family or household member who is a victim of domestic violence, sexual violence, gender violence, or any other crime of violence.

History

• Source: Amended at 46 Ill. Reg. 18530, effective November 2, 2022

56 Ill. Adm. Code 280.110 Definitions

"Act" means the Victims' Economic Security and Safety Act (VESSA) [820 ILCS 180].

"Certification", as used in Section 20(c) of the Act, means a signed, written statement of an employee certifying to the employee's employer that:

the employee or the employee's family or household member is a victim of domestic violence, sexual violence, gender violence, or any other crime of violence; and

the leave is for one of the purposes enumerated in Section 20(a)(1) of the Act. [820 ILCS 180/20(c)(2)]

If the employee possesses documentation, records, or other corroborating evidence to support the certified statement, the employee shall provide at least one such supporting document to the employer. The employer cannot require the employee or the employee's family or household member to obtain any documentation, records, or other corroborating evidence that is not in the employee's possession. The employee shall choose which document to submit, and the employer shall not request or require more than one document to be submitted during the same 12-month period leave is requested or taken if the reason for leave is related to the same incident or incidents of violence or the same perpetrator or perpetrators of the violence.

"Complaint" means an allegation of a violation of the Act filed with the Department.

"Complainant" means a person who files a complaint.

"Department" means the Illinois Department of Labor or a duly authorized representative.

"Director" means the Director of the Illinois Department of Labor or the Director's designee.

"Employee" means any person suffered or permitted to work by an employer, including on a full-time or part-time basis or as a participant in a work assignment as a condition of receipt of federal or State income-based public assistance.

"Employer" means

the State or any agency of the State;

any unit of local government or school district; or

any person that employs at least one employee.

Evidence that may be submitted to support a certified statement means the following:

documentation from an employee, agent, or volunteer of a victim services organization, an attorney, a member of the clergy, or a medical or other professional from whom the employee or the employee's family or household member has sought assistance in addressing domestic violence, sexual violence, gender violence, or any other crime of violence and the effects of the violence;

a police or court record; or

other corroborating evidence. [820 ILCS 180/20(c)(2)]

"FMLA" means the federal Family and Medical Leave Act of 1993 (29 U.S.C. 2601 et seq.).

"Public hearing" means a formal administrative hearing conducted pursuant to 56 Ill. Adm. Code 120.

"Respondent" means an employer against whom a complaint is filed.

History

• Source: Amended at 46 Ill. Reg. 18530, effective November 2, 2022

56 Ill. Adm. Code 280.120 Application of the Act

a) All individuals, regardless of gender, have equal protection under the Act.

b) The Department will investigate a complaint when:

1. The complaint concerns work performed within the State of Illinois, but not when the complaint concerns sporadic work performed in the State of Illinois for an employer located outside of Illinois.

2. The complaint concerns work performed outside the State of Illinois if the specified employer is located within the State of Illinois or the contract for hire was entered into in the State of Illinois, but not when the complaint is filed by an employee whose permanent work station was outside the State of Illinois and who performed a substantial portion of the employee's duties outside the State of Illinois.

c) In any calendar month that an employer is subject to the prescriptions of the Act, including, without limitation, providing leave or reasonable accommodation and prohibitions against discriminatory acts and retaliation against an employee, the employer shall continue to be subject to the Act and this Part for the following 12 months.

History

• Source: Amended at 46 Ill. Reg. 18530, effective November 2, 2022

56 Ill. Adm. Code 280.130 Independent Contractor Exemption

a) As used in this Part, the term "employee" shall not include any individual:

1. who has been and will continue to be free from control and direction over the performance of the individual's work, both under the contract of service with the employer and in fact; and

2. who performs work that is either outside the usual course of business or is performed outside all the places of business of the employer unless the employer is in the business of contracting with third parties for the placement of employees; and

3. who is an independently established trade, occupation, profession or business.

b) "Control" means the existence of general control or right to general control, even though the details of the work are left to an individual's judgment.

c) "An independently established trade, occupation, profession or business" means the individual performing the services has a proprietary interest in such business, to the extent that the individual operates the business without hindrance from any other person and as the enterprise's owner, may sell or otherwise transfer the business.

d) All three conditions in subsection (a) must be satisfied and demonstrated by a respondent for the independent contractor exemption to apply.

e) An individual may be an employee without being entirely dependent upon the relationship with a specified employer for the individual's livelihood. An individual engaged in other occupations may be an employee of a specified employer even though the individual only worked intermittently or part time.

f) In determining whether the exemption applies, the Department may consider the actual, rather than the alleged, relationship between a respondent and complainant. Designations and terminology used by the parties, as well as the individual's status for tax purposes, are not controlling.

56 Ill. Adm. Code 280.140 Records Retention and Release

a) Employers must maintain records that contain the following:

1. Name, address, and occupation of each employee; rate or basis of pay, terms of compensation; daily and weekly hours worked per pay period; additions to or deductions from wages; and total compensation paid each pay period.

2. All dates leave under the Act is used by each employee shall be designated in the records as such leave. If leave is taken in increments of less than one full day and the number of hours taken must be recorded.

3. Copies of "employee requests", if in writing, for leave under the Act, with any attachments, furnished to the employer.

4. Copies of any written notices regarding the Act given to employees.

5. Any documents describing employee benefits or employer policies and practices regarding the taking of paid and unpaid leaves.

6. Any employer that provides any paid time off, including, without limitation, vacation, sick or personal leave, to its employees must maintain true and accurate records of the paid time off earned for each year and the dates on which paid time off was taken or paid.

7. Records of any dispute between the employer and an employee regarding designation of leave under the Act, including any written documents from the employer or employee stating the reasons for the designation and for the disagreement.

b) In addition, the employer shall preserve any records made in the regular course of the business operation that relate to personnel records, employee qualifications for promotion, transfer, discharge or other disciplinary action, wage rates, skills testing certifications, job evaluations, job descriptions, merit systems, seniority systems, individual employment contracts, collective bargaining agreements, description of practices or other matters that describe or explain the basis for any use of any type of paid and unpaid time off.

c) Records and documents relating to certifications, medical histories of employees or employees' family and household members, created for purposes of the Act, shall be maintained in conformance with all State and federal laws, including, without limitation, all confidentiality requirements.

d) All records under this Section shall be maintained by an employer for at least three years. Failure by a respondent to maintain all records for the stated period or in the stated manner may result in a finding of failure to cooperate.

56 Ill. Adm. Code 280.200 Persons Who May File a Complaint

An employee, or representative of employees, who believes his or her rights under this Act have been violated may file a complaint with the Department requesting a review of the alleged violation.

56 Ill. Adm. Code 280.210 Requirements for Filing a Complaint

a) A complaint shall be filed on a form to be supplied by the Department. This form can be found at https://www2.illinois.gov/idol/Laws-Rules/CONMED/Pages/vessa.aspx. Such form shall name the respondent, shall be signed by the complainant and shall be accurately completed alleging the violation of the Act being reported. The form may have attached copies of all supporting documentation.

b) All complaints and amendments to any complaint shall be delivered, by U.S. mail or personal delivery, to the Department's Chicago office at 160 N. LaSalle St., Suite C-1300, Chicago, IL 60601, or submitted electronically to the Department at dol.questions@illinois.gov, within three years after the alleged violation of the Act occurred. The complaint shall be deemed filed as of the date it is postmarked on the envelope if sent via U.S. mail or date stamped as received by the Department if submitted by personal delivery or electronic means.

History

• Source: Amended at 46 Ill. Reg. 18530, effective November 2, 2022

56 Ill. Adm. Code 280.220 Confidentiality

Where a complainant requests confidentiality, the Department will advise the complainant of the need to reveal the complainant's identity so that the Department can conduct its investigation. In such cases, the Department will allow the complainant an opportunity to withdraw the complaint pursuant to Section 280.300 before notification of the complainant's identity is given to a respondent.

56 Ill. Adm. Code 280.230 Incomplete Complaint

If the Department receives a complaint from an individual that complies substantially with Section 280.210 but is lacking an element that still must be provided, the Department may accept and docket the complaint as an incomplete complaint. The Department shall notify the complainant, in writing, of the elements that must be supplied. If the complainant is unavailable or unwilling, without good cause, to perfect the complaint within 30 calendar days, the Department may make a finding of a failure to cooperate or may deem there to be a waiver of all proceedings before the Director.

56 Ill. Adm. Code 280.240 Amendment of Complaint

a) A complaint may be amended, prior to a determination under Section 280.410:

1. to cure technical defects;

2. to set forth additional facts or allegations related to the subject matter of the original complaint if, at the time of the amendment, a separate complaint could have been timely filed under Section 280.210;

3. to substitute or name additional respondents;

4. to add an additional issue if, at the time of the amendment, the added respondent knew, or should have known or had reason to know, of the additional issue.

The amendment shall relate back to the original filing date.

b) If the employee who is the subject of the complaint dies while the investigation is pending, the Department may continue, if feasible, to process the remaining issues.

c) The Department shall provide any amendment to a complaint to all parties.

56 Ill. Adm. Code 280.300 Withdrawal, Settlement, Waiver and Consents

a) A complaint may be voluntarily withdrawn at any time.

b) Complainant and a respondent may settle at any time.

c) Any party may waive a public hearing at any time after the time for filing a response has passed.

d) At any time, the parties may enter into a consent decree under 56 Ill. Adm. Code 120.540.

e) Any withdrawal, settlement or consent decree will not affect the processing of a complaint made by any other complainant, the allegations of which are similar or related to the individual allegations settled.

History

• Source: Amended at 30 Ill. Reg. 6157, effective March 23, 2006

56 Ill. Adm. Code 280.310 Presentation of Parties' Information

a) At the time of filing of the complaint, the Department may determine initially whether the allegations in the complaint sufficiently state a claim under the Act so that the Department can proceed with the investigation.

b) If, at the time of filing, or at any subsequent time, it is determined that there is a lack of jurisdiction, the complaint shall be denied. Upon the specific request of either of the parties, or on its own motion, the Department may recommend to the Director the denial of the complaint. All parties shall be notified of the denial of the complaint pursuant to the Administrative Procedures Act.

c) If the Department determines jurisdiction appears to exist, the Department shall promptly serve upon each respondent a copy of the complaint with a written notice setting forth the rights and obligations of the parties. The notice shall be served by U.S. regular mail.

d) Each respondent must remit a written response to the complaint within 21 calendar days after the date the Department forwarded the complaint. The response shall be signed by a duly authorized individual representative and shall include a complete, accurate and responsive explanation to the claim necessary and appropriate to the Department's investigation, specifying any defenses and any disputed and undisputed facts. If a respondent relied on any record for the response, the respondent shall submit a copy of that record. Failure, without good cause, of a respondent to submit an appropriate response to the Department may result in a finding of a failure to cooperate with the Department.

e) Upon receipt of a respondent's response, the Department is to forward the response to the complainant. Complainant shall submit a rebuttal to the Department within 21 calendar days after the date the Department forwarded the response of the respondent. Failure, without good cause, of the complainant to submit timely a rebuttal to the Department may result in a finding of a failure to cooperate or may be deemed to be a waiver of all proceedings before the Director and will permit a final order denying the complaint.

History

• Source: Amended at 30 Ill. Reg. 6157, effective March 23, 2006

56 Ill. Adm. Code 280.320 Duplicative Issues or Inconsistent Rulings (repealed)

History

• Source: Repealed at 30 Ill. Reg. 6157, effective March 23, 2006

56 Ill. Adm. Code 280.400 Investigation

a) The Department may conduct an investigation to ascertain the facts relating to the violation alleged in the complaint, to determine whether reasonable cause exists to believe a violation of the Act has occurred and to determine whether the issues may be resolved between the parties. The investigation may be in person or by telephone and may include written or oral inquiry, field visit or any method or combination of methods deemed suitable in the discretion of the Department. The Department will limit its investigation to reviewing up to three years prior to the date the complaint was filed, but in no case shall review occur prior to the effective date of the Act, August 25, 2003.

b) The parties must cooperate fully with the Department at all times as provided for in this Part. Such cooperation shall include without limitation:

1. promptly providing the Department with a notice of address or telephone change or any prolonged absence from the current address so that the parties can be located;

2. providing necessary information and being available for interviews, conferences and hearings upon reasonable notice or request by the Department. If the parties cannot be located or do not respond to reasonable requests by the Department, without good cause, such action may result in a finding of a failure to cooperate with the Department.

c) If, at any time, a party fails to cooperate with the Department under this Part, the Department, upon seven calendar days notice to all parties, may make a part of the official record a finding of failure to cooperate. If a finding of a failure to cooperate is made, the Department may make such recommendations as are appropriate to the Director, including denial of the complaint, or other order, including provision of discovery, including subpoenas or depositions, or affirmative action under the Act.

d) The Department, on its own or at the request of a party or a witness, may issue an appropriate protective order. The order may be issued at any time and shall be for the purpose of preventing a clearly unwarranted invasion of personal privacy or other disclosure of confidential information, including, without limitation, documents, home addresses or names of individuals. The order may apply, where relevant, to nonparties and other parties. Further, the order may be subject to being modified or vacated by a court of competent jurisdiction.

History

• Source: Amended at 30 Ill. Reg. 6157, effective March 23, 2006

56 Ill. Adm. Code 280.410 Decision by the Department

a) At the conclusion of an investigation, the Department must make, in writing, at least one of the following determinations:

1. Reasonable Cause. If the Department determines that there is reasonable cause that a violation of the Act has occurred, it may seek a Consent Order, executed by both parties and the Department, that abates the unlawful practice and provides appropriate relief to the complainant.

2. No Reasonable Cause.

3. Whether any party has failed to cooperate with the Department and any appropriate recommendation.

b) Whenever a decision is made under this Section, notice must be in compliance with the Department's Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120).

c) Upon the issuance of a determination under this Section, any party may request, in writing, that the Department provide a formal administrative hearing. Such request shall be delivered by U.S. mail or personal delivery to the Chief Administrative Law Judge at the Department's Chicago office within 30 calendar days after the determination. The request shall be prominently marked REQUEST FOR VESSA HEARING on both the letter and the envelope.

56 Ill. Adm. Code 280.420 Enforcement Procedures

a) The Director may require reasonable evidence that a respondent is in full or substantial compliance with any order.

b) If a respondent does not voluntarily comply with any discovery (including depositions or subpoenas) or other order of the Department within 21 calendar days, there may be a finding of a failure to cooperate and the Director may refer the matter to the Office of the Attorney General for enforcement.

56 Ill. Adm. Code 280.500 Procedures in Formal Administrative Hearing

Upon referral of a matter for formal administrative hearing, the parties and the Department shall comply with this Part, all provisions of Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 10], and the Department's Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120).

Part 300 Payment and Collection of Wages or Final Compensation

56 Ill. Adm. Code 300.100 Cash or Inventory Shortages (repealed)

History

• Source: Repealed at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.110 Failure to Follow Credit Card, Check-Cashing, Accounts Receivable Procedures (repealed)

History

• Source: Repealed at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.120 Acceptance of Disputed Paycheck (repealed)

History

• Source: Repealed at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.200 Cash Advance Repayment Agreement (repealed)

History

• Source: Repealed at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.210 Deduction Limit (repealed)

History

• Source: Repealed at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.220 Balance Due at Termination (repealed)

History

• Source: Repealed at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.230 Acceptance of Disputed Paycheck (repealed)

History

• Source: Repealed at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.300 Damaged Property (repealed)

History

• Source: Repealed at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.310 Acceptance of Disputed Paycheck (repealed)

History

• Source: Repealed at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.400 Return of Employer's Property (repealed)

History

• Source: Repealed at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.410 Deposit (repealed)

History

• Source: Repealed at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.420 Conditions of Return of Deposit (repealed)

History

• Source: Repealed at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.430 Time for Return of Deposit (repealed)

History

• Source: Repealed at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.440 Jurisdiction

The Department will review a claim for wages or final compensation and determine whether the Department can assert jurisdiction over the claim.

a) The phrase "in this State" as used in the Act does not exclude entities physically situated outside the State of Illinois. An employer or employee, to be "in this State", need not have residency in this State. An officer or agent need not be physically present in order to be regarded as "in this State" for purposes of jurisdiction under the Act.

b) The Department will assert jurisdiction over a claim when the work was performed in Illinois for an Illinois employer, regardless of where the employee resides.

c) The Department will assert jurisdiction over a claim when the work was performed in Illinois for an employer that may have residency outside the State if the employer has sufficient contacts in the State, such as performing substantial business in the State, maintaining a principal place of business in the State, marketing its services in the State or maintaining a registered agent within the State.

d) If the work is performed outside the State of Illinois, the employer must be located in Illinois in order for the Department to assert jurisdiction over the claim.

e) The Department will exercise personal jurisdiction over a nonresident individual when the person is an officer, director or agent of a corporation organized under Illinois law having a principal place of business or presence in the State and when there are sufficient contacts within the State.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.450 Definitions

Except for the terms set forth in Section 2 of the Act, all other terms used in this Part shall have the meanings set forth in this Section.

"Act" means the Illinois Wage Payment and Collection Act [820 ILCS 115].

"Administrative Employee" means an employee as defined by 29 CFR 541 (March 30, 2003).

"Administrative Law Judge" or "ALJ" means an individual authorized by the Department to determine the merits of claims alleging violations of the Act.

"Aggrieved Employee" means an employee whom the Department has determined through investigation is owed wages or compensation from an employer or other respondent, regardless of whether the employee has filed a claim with the Department.

"Agreement" means the manifestation of mutual assent on the part of two or more persons. An agreement is broader than a contract and an exchange of promises or an exchange is not required for an agreement to be in effect. An agreement may be reached by the parties without the formalities and accompanying legal protections of a contract and may be manifested by words or by any other conduct, such as past practice. Company policies and policies in a handbook create an agreement even when the handbook or policy contains a general disclaimer such as a provision disclaiming the handbook from being an employment contract, a guarantee of employment, or an enforceable contract. While a disclaimer may preclude a contract from being in effect, it does not preclude an agreement by two or more persons regarding terms set forth in the handbook relating to compensation to which both have otherwise assented. An agreement exists even if does not include a specific guarantee as to the duration of the agreement or even if one or either party reserves the right to change the terms of the agreement.

"Claim" means a signed application alleging a violation of the Act, accompanied by supporting documentation required by the Department.

"Claimant" means any person who submits a claim.

"Compensation" means remuneration or compensation an employee receives in return for services rendered to an employer. The remuneration for services rendered includes hourly wages, overtime wages, commissions, piece rate work, salary, bonuses, expense reimbursements, or any other basis of calculation for services performed. Compensation does not include future wages to be paid under to a terminated employment contract.

"Day" means a calendar day.

"Department" means the Illinois Department of Labor, its Director, and the Director's authorized representatives.

"Executive Employee" means an employee as defined by 29 CFR 541 (March 30, 2003).

"Location readily available" means a location within reasonable proximity to an employee's home or place of work that can be easily accessed.

"Other Representative" means any person with a direct relationship to the party, who is not an attorney or legal representative, who can address the substance of the claim, including a spouse, relative, or friend who can provide further clarification on the issues being considered or assist with translation for the party the person represents.

"Party" means a claimant and any respondent or other named entity whose payment of wages or final compensation is in question.

"Professional Employee" means an employee as defined by 29 CFR 541 (March 30, 2003).

History

• Source: Amended at 47 Ill. Reg. 5406, effective March 31, 2023

56 Ill. Adm. Code 300.460 Independent Contractor Exemption

a) All three conditions enumerated in Section 2 of the Act must be satisfied for the independent contractor exemption to apply. For purposes of Section 2 of the Act:

1. "Control" means the existence of general control or right to general control, even though the details of work are left to an individual's judgment.

2. "An independently established trade, occupation, profession or business" means the individual performing the services has a proprietary interest in such business, to the extent that he/she operates the business without hindrance from any other person and, as the enterprise's owner, may sell or otherwise transfer the business.

b) An individual may be an employee without being entirely dependent upon his/her relationship with a specified employer for his/her livelihood. A person engaged in other occupations may be an employee of a specified employer even though he/she only worked intermittently or part time.

c) In determining whether this exemption applies, the Department shall consider the actual, rather than the alleged, relationship between an employer and a claimant; designations and terminology used by the parties are not controlling nor is the claimant's status for tax purposes controlling.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.500 Earned Bonuses

A bonus is compensation given in addition to the required compensation for services performed. The Department does not maintain jurisdiction over discretionary or gratuitous bonuses. In order to receive compensation under the Act, the bonus must be earned.

a) An employee has a right to an earned bonus when there is an unequivocal promise by the employer and the employee has performed the requirements set forth in the bonus agreement between the parties and all of the required conditions for receiving the bonus set forth in the bonus agreement have been met. Unless one of the conditions for the bonus is that the employee be on the payroll at the time of the bonus payout, the bonus is due and owing to the employee at the time of separation.

b) A former employee shall be entitled to a proportionate share of a bonus earned by length of service, regardless of any provision in the contract or agreement conditioning payment of the bonus upon employment on a particular date, when the employment relationship was terminated by mutual consent of the parties or by an act of the employer through no fault of the former employee.

c) A gratuitous bonus does not obligate the employee to do or forgo something in return for the bonus and the employee has no right to make a demand for the bonus.

d) A discretionary bonus is when the terms associated with the earning of the bonus are indefinite or uncertain, such as bonus being upon a positive evaluation of the "employee's performance" and not when the earning of a bonus is based on objective factors such as length of service, attendance or sign-on or relocation incentives.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.510 Earned Commissions

A commission is the compensation for services performed pursuant to an employment contract or agreement between the two parties. In order to be entitled to receive compensation for a commission under the Act, the commission must be earned under the terms of the agreement or contract.

a) A separated employee has a right to an earned commission when the conditions regarding entitlement to the commission have been satisfied , notwithstanding the fact that, due to the employee's separation from employment, the sale or other transaction was consummated by the principal personally or through another agent.

b) When the employer and employee agree that the employee is to be paid a commission on the basis of a particular sale, and the sale is subsequently voided, the employer may deduct from the employee's wages or final compensation the amount of the commission previously paid on that particular sale.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.520 Earned Vacations

a) Whenever an employment contract or an employment policy provides for paid vacation earned by length of service, vacation time is earned pro rata as the employee renders service to the employer.

b) Oral promises, handbooks, memoranda, and uniform patterns of practice may create a duty to pay the monetary equivalent of earned vacation.

c) Claims for vacation pay must be brought to the Department within 3 years from the date the vacation is earned.

d) Nothing in this Section shall be construed to reduce or impair the right of the claimant to maintain a civil action to recover additional vacation pay found due by a court.

e) An employment contract or an employer's policy may require an employee to take vacation by a certain date or lose the vacation, provided that the employee is given a reasonable opportunity to take the vacation. The employer must demonstrate that the employee had notice of the contract or policy provision.

f) The Department recognizes policies under which:

1. no vacation is earned during a limited period at the commencement of employment. The employer must demonstrate that the policy is not a subterfuge to avoid payment of vacation actually earned by length of service and, in fact, no vacation is implicitly earned or accrued during that period.

2. vacation is earned and accrues at an accelerating rate during the year. The policy is acceptable when the acceleration period and the changes in accrual rates are reasonable, and the policy is uniformly applied.

3. the employer does not have separate arrangements for vacation and sick leave. Under the policy, employees earn a certain amount of "paid time off" that they can use for any purpose, including vacation and sick leave. Because employees have an absolute right to take this time off (unlike traditional sick leave in which using sick leave is contingent upon illness), the Department will treat "paid time off" as earned vacation days.

g) Any employer that provides paid vacation to its employees must maintain true and accurate records of the number of vacation days earned for each year and the dates on which vacation days were taken and paid.

h) An employer cannot effectuate a forfeiture of earned vacation by a written employment policy or practice of the employer.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.530 Severance

Severance is a payment that an employee is entitled to be paid upon separation from employment pursuant to an agreement between the parties or established practice of the employer.

History

• Source: Added at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.540 Reimbursement of Expenses

a) Primary Benefit to the Employer

1. When determining if an expense is to the primary benefit of the employer, the relevant factors are:

A) Whether the employee has any expectation of reimbursement;

B) Whether the expense is required or necessary to perform the employee’s job duties;

C) Whether the employer is receiving a value that it would otherwise need to pay for;

D) How long the employer is receiving the benefit; and

E) Whether the expense is required of the job.

2. No single factor is dispositive; instead, the analysis should focus on the extent to which the expense benefits the employer and its business and business model.

b) Request for Reimbursement

1. If an employer denies a request for reimbursement that should have been reimbursable according to subsection (a), the following shall apply:

A) If an employer has informed an employee that they are not entitled to seek reimbursement, or has failed to respond to an employee’s request for reimbursement, that shall be considered a denial of reimbursement and the employee may file a claim against the employer with the Department seeking reimbursement for expenses as provided under subsection (a); and

B) If an employee cannot recover expenses incurred related to services performed for the employer during the course of the employee's employment, these expenses shall be included in the final compensation owed to an employee at the end of the employee's employment, in accordance with the Act.

c) Recordkeeping

An employer must maintain the following records pursuant to this Section for 3 years:

1. All policies regarding reimbursement;

2. All employee requests for reimbursement;

3. Documentation showing approval or denial of reimbursement; and

4. Documentation showing actual reimbursement and supporting documents.

d) Employer Policies

If an employer’s written expense reimbursement policy establishes specifications or guidelines for necessary reimbursable expenditures, but the employer, whether through direct authorization or practice, allows for reimbursement of amounts that exceed those specified in its written policy, the employer shall be liable for full reimbursement of such expenses.

History

• Source: Amended at 47 Ill. Reg. 5406, effective March 31, 2023

56 Ill. Adm. Code 300.600 Payment of Wages

a) All wages owed to an employee shall be paid at the discretion of the employer, in lawful money of the United States, by a check redeemable only upon demand and without discount at a bank or other financial institution readily available to the employee, or at the discretion of the employee, by an employee's voluntary acceptance of direct deposit of funds in any bank or other financial institution designated by the employee, or by an employee's voluntary acceptance of a payroll card authorized by Section 14.5 of the Act and that meets the requirements of that Section. An employer is not permitted to offer employees only the choice between two voluntary methods of payment. Because payment by either payroll card or direct deposit must be voluntary, an employer offering either or both of these payment methods must also provide an additional choice of payment by cash or check, in accordance with Section 4 of the Act. Notwithstanding the method of payment, the employer must provide the employee with a written receipt that shows hours worked, rate of pay, overtime pay and overtime hours, gross wages, an itemization of all deductions, wages and deductions year to date. When an employer offers to any of its employees alternative options for receipt of payment of wages, all employees must be afforded the same options. When an employer elects to pay employees in cash, the employer must obtain signed receipts from the employee indicating date of payment and amount received.

b) An employer shall not require an employee to enroll in a direct deposit arrangement or make payment of wages or final compensation by direct deposit unless the employee voluntarily accepts this form of payment and voluntarily designates a bank or a financial institution, and an employer shall not require an employee to accept a payroll card as payment of wages, unless the employer obtains the employee's voluntary written or electronic consent to receive wages by payroll card. It is not voluntary in fact if the employee is given to understand, or led to believe, that it is a condition for hire or maintenance of his or her present working conditions, or if continuance of his or her employment would be adversely affected by non-acceptance.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.610 Gratuitous Payments at Separation

The Department shall apply any gratuitous payments made by an employer to an employee upon separation against any final compensation which the employer is obligated to pay. As used herein, a gratuitous payment is money given by an employer to an employee that does not arise out of a contract or agreement between the parties or an employment policy.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.620 Individual Liability of Officers, Agents, or Other Persons

a) As a result of PA 96-1407, any person, including corporate officers, agents, or any person who acts directly or indirectly in the interest of an employer in relation to an employee is an employer under Section 2 of the Act and may be held individually liable for wages and final compensation. For example, any person, including corporate officers and agents, acting directly or indirectly in the interest of an employer, includes, but is not limited to, actions such as being a signatory to an employment or union contract, or otherwise maintaining a decision-making role with regards to employment decisions or payment of employees. In evaluating whether any person, including officers and agents, are individually liable under the Act, the "economic realities test" is the appropriate standard and, although no one factor is dispositive, the relevant inquiry is whether the person:

1. held a significant ownership interest in the corporation or entity;

2. exercised operational control over significant aspects of the corporation's or entity's day-to-day functions, including the compensation of employees, or had supervisory authority over employees and was responsible in whole or in part for the alleged violation; and

3. was personally involved in the decision to continue operations despite financial adversity during the period of nonpayment.

b) In addition to an individual who is deemed to be an employer under Section 2 of the Act, Section 13 of the Act allows for a separate and independent basis for liability for any agents of an employer who knowingly permit the employer to violate the provisions of the Act. Such a person may be deemed to be an employer of the employees of the corporation and shall be individually liable for an aggrieved employee's wages or final compensation. For example, individual liability would attach when an individual exercises sufficient control to allocate to whom or what entity the funds would be paid and in what amount (i.e., no paychecks, full paychecks, or partial paychecks) during the relevant period.

c) As used in subsection (b):

1. "Knowingly" means knowledge of the existence of facts constituting the alleged violation, rather than a knowledge of the unlawfulness of the act or omission.

2. "Permit" means to allow to happen or to fail to prevent, regardless of the corporation's ability to pay.

History

• Source: Amended at 47 Ill. Reg. 5406, effective March 31, 2023

56 Ill. Adm. Code 300.630 Records and Notice Requirements

a) Regardless of an employee's status as an exempt administrative employee, executive, or professional, every employer shall make and maintain for not less than 3 years the following true and accurate records for each employee: name and address, hours worked each day in each work week, the rate of pay, copies of all notices provided to the employee as required by subsection (d), amount paid each pay period, and all deductions made from wages or final compensation. Additionally, any employer that provides paid vacation to its employees must maintain, for a period of not less than 3 years, true and accurate records of the number of vacation days earned for each year and the dates on which vacation days were taken and paid.

b) In the absence of employer records, an aggrieved employee may not be denied recovery of wages or final compensation on the basis that the employee is unable to prove the precise extent of uncompensated work or final compensation. An employee need only produce sufficient evidence to demonstrate the amount and extent of work or time earned as a just and reasonable inference. The employer must then produce evidence of the exact amount of work or time earned or produce evidence to negate the reasonable inferences drawn from the employee's evidence. The employer's failure to make and maintain records as required under subsection (a) shall not preclude a finding based on the information available that wages or final compensation are due, even though the award may be only approximate.

c) Every employer shall furnish in writing to each employee an itemized statement of deductions made from wages for each pay period.

d) An employer is required to notify an employee in writing, at the time of hiring, of the rate of pay. An employee commencing work shall reflect mutual assent to the rate of pay. An employer shall not change an agreement regarding the payment of wages and compensation without first notifying the employee before the effective date of the change. The employer shall place the arrangement in writing at the time of the change and present the change to the employee unless impossible to do so. Because of extraordinary circumstances, the immediate placement in writing may not be able to be accomplished, but this inability to do so must be immediately rectified. An employer cannot rely upon an employee's continued employment as affirmation that the employee consented to an adverse modification of the employee's rate of compensation when the employee was not notified in writing of the modification before its effective date. However, when the employee continues to work after being notified of a change in writing, the employee shall be presumed to have assented to the change, absent evidence to the contrary. An employer may not retroactively adversely affect the wages earned by an employee. In every employment relationship, it is presumed that the employer will pay for all hours worked, as defined in 56 Ill. Adm. Code 210.110. An employee who has not been paid for all hours worked is not presumed because of the employee's continuing to work to have assented to work without compensation for the hours worked at the agreed rate of compensation or to have assented to the non-payment of required or promised overtime pay.

e) The employer shall bear the burden of showing that it was not possible to notify the employee in writing, at the time of hiring, of the rate of pay and of the time and place of payment. "Rate of pay" shall include a description of all wages or final compensation, as defined by Section 2 of the Act and this Part.

History

• Source: Amended at 47 Ill. Reg. 5406, effective March 31, 2023

56 Ill. Adm. Code 300.640 Refusal to Pay Wages or Final Compensation

a) The duty to pay wages or final compensation arises out of a contract of employment, an employment policy, or an agreement between the parties. The Department will make a determination in accordance with Subpart F or G as to whether the duty to pay exists.

b) An employer doing business at the time the duty to pay wages or final compensation arises is presumed to have the ability to pay.

c) A willful refusal to pay is a voluntary, conscious and intentional act. An employer who subordinates the wage claims of employees to the claims of other creditors has willfully refused to pay wages or final compensation, in violation of the Act.

History

• Source: Amended at 35 Ill. Reg. 12933, effective July 20, 2011

56 Ill. Adm. Code 300.700 Scope of Subpart D

Nothing in this Subpart shall be construed to permit an employer to violate the provisions of the Minimum Wage Law [820 ILCS 105] or the Fair Labor Standards Act of 1938, as amended (29 USC 201 et seq.).

History

• Source: Amended at 35 Ill. Reg. 12933, effective July 20, 2011

56 Ill. Adm. Code 300.710 Burden of Proof

The employer shall bear the burden of establishing the applicability of any claimed exception to Section 9 of the Act.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.720 Written Agreement Authorizing Deductions

a) Any written agreement between employer and employee permitting or authorizing deductions from wages or final compensation must be given freely at the time the deduction is made. In the case of cash advances, the agreement may be made either at the time of the deduction or at the time of the advance itself.

b) When a deduction is to continue over a defined duration of time and the written agreement provides for that defined duration of time and provides for the same amount of deduction each pay period, the agreement shall be considered to be given freely at the time the deduction is made. No agreements for a defined duration of time shall last longer than six months.

History

• Source: Amended at 47 Ill. Reg. 5406, effective March 31, 2023

56 Ill. Adm. Code 300.730 Cash or Inventory Shortages

An employer shall not deduct from an employee's pay or otherwise demand reimbursement from an employee for cash and/or inventory shortages unless the employee's express written consent is given freely at the time the deduction or demand for reimbursement is made.

History

• Source: Amended at 35 Ill. Reg. 12933, effective July 20, 2011

56 Ill. Adm. Code 300.740 Failure to Follow Credit Card, Check Cashing, or Accounts Receivable Procedures

This Part also will apply to shortages incurred as a result of a failure to follow proper credit card, check cashing or accounts receivable procedures.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.750 Cash Advance Repayment Agreement

If a cash advance is to be repaid through payroll deductions, both the employer and the employee must sign an agreement specifying the amount of the advance, the repayment schedule, and the method of repayment.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.760 Advanced Vacation Pay

If an employer permits an employee to take a vacation that has not yet been earned, and the employee resigns or is terminated, the employer may not deduct the unearned vacation pay from the employee's wages or final compensation without a written agreement as set forth in Sections 300.720 and 300.750.

History

• Source: Amended at 35 Ill. Reg. 12933, effective July 20, 2011

56 Ill. Adm. Code 300.770 Tuition Reimbursement

If an employer advances payment to or on behalf of the employee for the cost of tuition, textbooks and other expenses of voluntary elective educational courses, the employer may not deduct such advances from the employee's wages or final compensation without a written agreement as set forth in the rules pertaining to cash advances (see Sections 300.720 and 300.750).

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.780 Training and Educational Expenses

An employer shall not deduct expenses for training or educational courses required by the employer, even though such training or educational courses are also required by State or federal government, unless the employee's express written consent is given freely at the time the deduction is made.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.790 Cash Advance Exception

The provisions of these rules pertaining to cash advances shall not apply to funds transmitted by wire to employees who are traveling, if a signed authorization is not practicable.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.800 Deduction Limit

No cash advance repayment agreement shall provide for a repayment schedule of more than 15% of an employee's gross wages or final compensation per paycheck.

History

• Source: Amended at 35 Ill. Reg. 12933, effective July 20, 2011

56 Ill. Adm. Code 300.810 Balance Due at Termination

If, upon termination, an employee owes an amount greater than 15% of gross wages or final compensation, that amount may be withheld from the employee's wages or final compensation, but only if such an arrangement was included in the agreement signed when the advance was made.

History

• Source: Amended at 35 Ill. Reg. 12933, effective July 20, 2011

56 Ill. Adm. Code 300.820 Damaged Property

A financial loss suffered by an employer due to damage to his/her property or to that of a customer or client shall not be deducted from an employee's pay unless the employee's expressed written consent is given freely at the time the deduction is made.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.830 Return of Employer's Property

In no case shall an employer withhold all or part of the final compensation due an employee while the employer awaits return of property in the possession of the employee unless the employee's express written consent is given freely at the time the deduction is made.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.840 Uniforms Required by an Employer

An employer shall not deduct the cost of purchasing and/or cleaning uniforms required by the employer from an employee's wages or final compensation, unless the employee's express written consent is given freely at the time the deduction is made. Distinctive outfits or accessories, or both, intended to identify the employee with a specific employer shall be considered a uniform. If an employer requires a general type of ordinary basic street clothing to be worn, but permits variations in the detail of dress, this shall not be considered a uniform. However, when an employer requires that an employee purchase street clothes either from the employer or from a third party designated by the employer, the clothing shall be considered a uniform.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.850 Equipment Required by an Employer

An employer shall not deduct the cost of equipment required by the employer or by law from an employee's wages or final compensation unless the employee's express written consent is given freely at the time the deduction is made.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.860 Medical Examinations and Records

No employer shall require any employee or applicant for employment to pay the cost of medical examinations or the cost of furnishing any records of such examinations which are required by the employer as a condition of employment.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.870 Deposit

An employer may request that a deposit be paid on a particular piece of property, but such a deposit shall not be deducted from the employee's wages or final compensation unless the employee's express written consent is given freely at the time the deduction is made.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.880 Conditions of Return of Deposit

A deposit must be returned to the employee, along with any final compensation, provided the employee has returned the property on which the deposit was paid.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.890 Time for Return of Deposit

If property is returned after all other final compensation has been paid, the deposit on the property must be given to the employee immediately upon return of the property, if possible, but in no case later than the next payday.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.900 Overpayment

a) When the employee agrees that an overpayment has been made, the entire sum of the overpayment may be deducted on the employee's first regular payday subsequent to the payday on which the overpayment occurred. If an overpayment is not discovered until one or more paydays have passed, the employer and employee shall agree on a repayment schedule. If the employer and employee cannot agree on a repayment schedule, then the employer must comply with Section 9 of the Act and the rules herein (see all of Subpart D) and treat the overpayment as a cash advance.

b) If the employee refuses to sign such an agreement or in any way disputes the amount of overpayment or the employer's right to recoupment, no deduction shall be made unless the employer complies with the notice requirements enumerated in Section 9 of the Act and the rules herein (see all of Subpart D).

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.910 Deductions from Bank Accounts

Under no circumstances may an employer or its agents deduct or cause to be deducted disputed amounts from any banking account of the employee.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.920 Acceptance of Disputed Paycheck

Acceptance by an employee of a disputed paycheck will not be evidence that the employee has released all claims.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.930 Notice of Disputed Deductions

a) Notice by an employer of disputed deductions from wages under Section 9 of the Act shall be either typewritten or clearly handwritten and shall include: the name and last known address of the employee from whose wages or final compensation the deduction is being made; the amount that is being withheld; the reason for which the deduction is being made; the date on which payment would have been made; the name, business address and telephone number of the employer and any officer or agent of the employer who will present the employer's position to the Department during its investigation of the deduction; and any supporting documentation. The notice shall be prominently marked "NOTICE OF DISPUTED DEDUCTION" on both the letter and the envelope and shall be mailed or delivered to the Department's Chicago office at 160 N. LaSalle, C-1300, Chicago IL 60601 on or before the day the money is due to the employee.

b) The Department will notify the employee of the proposed deduction and provide an opportunity for the employee to contest the deduction. The employee's response shall be typewritten or clearly handwritten and shall state the reasons why the employee contests the deduction. The response shall be prominently marked "DISPUTED DEDUCTION RESPONSE" on both the letter and the envelope and shall be mailed or delivered to the Department's Chicago office. If the employee does not respond within 10 days after receipt of the Department's notice, the deduction shall be permitted and the Department will take no further action. Acceptance of late responses by the employee shall be at the sole discretion of the Department.

c) The Department may permit a deduction when an employer can establish by clear and convincing evidence that:

1. the employee is indebted to the employer in an amount equal to or greater than the amount sought to be withheld; and

2. it would be inequitable to require the employer to make payment to the employee prior to the employee satisfying his or her obligation to the employer.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.940 Filing of a Claim and Service

a) An employee or an employee's representative may file a complaint with the Department alleging violations of the Act by submitting a completed wage claim application on the form provided by the Department and by submitting all supporting documentation. All wage claims except those filed under Section 13.5 of the Act shall be filed within one year after the wages or final compensation were due. All wage claims filed under Section 13.5 of the Act shall be filed within three years after the wages or final compensation were due.

b) Wage claim applications shall be reviewed by the Department to determine whether there is cause for investigation. The Department will limit its investigation to reviewing the 3 years before the date the complaint was filed.

c) Service of any document upon any person may be made by personal delivery, certified mail with the return receipt signed by the person or its agent, US regular mail with postage prepaid, electronic mail (e-mail) when agreed to by the party, or any other verifiable means, such as private carrier, to the following:

1. address on file with the Department;

2. address on file with the Secretary of State;

3. address on file with any other State agency with which the respondent shall maintain a current address; or

4. any other address, including e-mail address, the Department reasonably calculates to be a true and current address for the respondent.

d) The Department will notify the respondent of the existence of the claim.

History

• Source: Amended at 47 Ill. Reg. 5406, effective March 31, 2023

56 Ill. Adm. Code 300.941 Response, Investigation, and Referral to Formal Administrative Hearing

a) The respondent must, in response, remit payment of all undisputed amounts and submit a written explanation of all the amounts remaining in dispute within 20 days after the date of mailing or other service of the notice of claim under Section 300.940(c) and (d).

b) The response shall include the reasons for non-payment and any business records and other documentation necessary for the Department's investigation of the claim.

c) If a respondent fails to answer the claim as required in subsections (a) and (b) or fails to answer all material allegations contained in the claim, any unanswered allegations shall be deemed admitted to be true as of the 21st day following the notice of claim.

d) The Department will review the information provided by the parties to determine whether wages or final compensation may be due and shall decide whether there is sufficient evidence to proceed to a formal administrative hearing. If the review demonstrates there is insufficient evidence to proceed to a hearing, the claim will be dismissed. If the review demonstrates sufficient evidence that the Act may have been violated, the matter will be set for a formal administrative hearing. The Department will notify all parties of its determination and may issue appropriate orders.

e) The Department may consider untimely submissions by any party, upon written request by the party within a reasonable period of time, if there is a showing that the delay was occasioned by a good cause beyond the party's control. Examples of good cause include the non-receipt or delayed receipt of mail, accident, illness, or other circumstances beyond the party's control.

f) If the matter is set for a formal administrative hearing, any document in the files of the Department of Labor submitted to it by any of the parties, shall be a part of the record, and shall be competent evidence bearing upon the issues. The failure of a party to appear at a hearing will not preclude a decision in their favor if, based on all of the information contained in the record, they are entitled to that decision.

g) Upon timely request to the Administrative Law Judge assigned to the case or the Administrative Law Judge's supervisor before the beginning of an in-person hearing, a party may inspect the case file during the Department's regular business hours at the office of the Administrative Law Judge assigned to the case. The Department will maintain a written record of the date and name of any person inspecting the file. A party may also request electronic access to the records pertaining to their case. In the case of a telephone hearing, a file may be inspected at the Springfield office or Chicago office, if the request is made at least 2 working days before the hearing. When the request is timely made, the Department will give the party making the request an opportunity to inspect the file at least 24 hours before the hearing.

h) For claims filed under Section 13.5, respondents shall comply with subsections (a) and (b) and be subject to the admissions described in subsection (c).

History

• Source: Amended at 47 Ill. Reg. 5406, effective March 31, 2023

56 Ill. Adm. Code 300.942 Withdrawal of a Claim

An employee may voluntarily withdraw his or her claim by submitting a written statement to the Department or making a verbal statement on the record during the hearing or at any time prior to the issuance of the ALJ's decision. The Department will provide written notice to all parties of the withdrawal of the claim.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.950 Scheduling and Notice of Investigative Hearing (repealed)

History

• Source: Repealed at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.960 Continuances (repealed)

History

• Source: Repealed at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.970 Application of the Rules of Evidence, Pleadings and Procedures in an Investigative Hearing (repealed)

History

• Source: Repealed at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.980 Participants at Informal Investigative Hearings (repealed)

History

• Source: Repealed at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.990 Contumacious Conduct at Informal Investigative Hearings (repealed)

History

• Source: Repealed at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1000 Informal Telephone Hearings

a) The Department does not routinely hold informal investigative hearings by telephone. Written requests to participate by telephone must be received by the Department's Chicago office no later than 7 days prior to the hearing date. The request shall be prominently marked "REQUEST FOR TELEPHONE HEARING" on both the letter and the envelope. The request shall be in writing and contain a compelling reason why the party needs to participate by telephone and the name, address and telephone number of the person to be contacted.

b) On its own initiative, the Department may also schedule a matter for telephone hearing without regard to the 7 day notice requirement.

c) The Department may consider untimely requests for telephone hearings upon a showing that the delay was occasioned by good cause beyond the party's control. Examples of good cause include the non-receipt or delayed receipt of mail, accident, illness or other circumstances beyond the party's control.

d) A party shall not consider its request granted unless the participant receives notice of the Department's approval prior to the hearing date by telephone or in writing.

History

• Source: Amended at 35 Ill. Reg. 12933, effective July 20, 2011

56 Ill. Adm. Code 300.1010 Issuance of Administrative Subpoena

The Department may issue an administrative subpoena to compel the attendance of a witness and/or the production of documents upon the Department's determination that the information to be produced by a subpoena is necessary and relevant to the Department's investigation, and that the Department cannot obtain the information by any other reasonable means.

History

• Source: Added at 16 Ill. Reg. 13828, effective September 1, 1992

56 Ill. Adm. Code 300.1020 Review of Hearing Officer Determination (repealed)

History

• Source: Repealed at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1028 Applicability

Subpart G is effective for retaliation complaints as well as wage claim applications filed regardless of the amount of the claim. This Subpart shall supersede the Department's Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120) for formal hearings conducted under this Subpart.

History

• Source: Added at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1030 Consolidation/Severance/Class Actions

a) The Department may, on its own or at the request of a party, consolidate hearings if it believes a common question of law or fact is involved, consolidation will expedite the hearings, and no right of any party will be prejudiced.

b) All parties will be given an opportunity to be heard on the issue of consolidation and may be severed from the proceeding if the factors in subsection (a) are not satisfied.

c) The Department may assist a class of employees and process cases on those employees' behalf in a class action. An action may be maintained as a class when:

1. The number of parties is so numerous that joinder of all parties is impracticable;

2. There are questions of fact or law common to the class that predominate over any questions affecting only individual members;

3. The representative parties will fairly and adequately protect the interest of the class; and

4. The class action is an appropriate method for the fair and efficient adjudication of the controversy.

History

• Source: Added at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1040 Scheduling and Notice of a Formal Hearing

A written notice of the formal hearing shall be served on the parties not less than 21 days prior to the date of the hearing. The notice shall advise all parties that a failure to appear at the hearing may result in the entry of an enforceable judgment or dismissal against a party not appearing.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1050 Manner and Service of Notice

a) Service of notice of a formal hearing shall be complete when the notice of hearing is:

1. Personally served; or

2. Sent not less than 21 days prior to the date designated for the hearing by:

A) Regular US mail, postage prepaid, to the parties' addresses;

B) Certified US mail, postage prepaid, to the parties' addresses;

C) E-mail, if the employer or claimant has agreed to service by those means; or

D) Other verifiable means, such as private carrier.

b) For purposes of subsection (a), notice of a formal hearing shall be deemed properly served if sent to the parties at an address:

1. On file with the Department;

2. On file with the Illinois Secretary of State;

3. On file with any other State agency with which the party has a duty to maintain a current address; or

4. The Department reasonably calculates to be a true and current address for the party.

c) The notice of a formal hearing under this Subpart G shall include:

1. The time, place and nature of the hearing;

2. A copy of the claim;

3. The legal authority and jurisdiction under which the hearing is to be held;

4. Instructions for all parties to bring all evidence and/or witnesses that support or dispute the employee claims;

5. A description of the procedure to request a continuance or to appear at the hearing telephonically; and

6. A designation and address of an ALJ to preside over the hearing.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1060 Formal Hearing Continuances

Parties shall be prepared to proceed at the hearing. Absent an emergency, all requests for a continuance must be made in writing to the ALJ at least 10 days prior to the scheduled hearing and will be granted only upon a showing of good cause. Copies of all continuance requests shall be served on the other party. Examples of good cause include the non-receipt or delayed receipt of mail or the unavailability of a witness or a party due to accident, illness or other circumstances beyond the party's control. When a hearing has been scheduled and a subsequent conflict arises in a schedule of a party's attorney, such as an appointment with a client, court appearance or comparable matter scheduled for the same time, those factors shall not be considered good cause shown. The Department may also cancel and continue a hearing due to an emergency or the unavailability of an ALJ. If granted, the Department will provide the parties with notice of the continuance of the hearing.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1070 Application of the Rules of Evidence, Pleadings, and Procedures in a

Formal Hearing

a) Technical rules of evidence do not apply in a hearing before an ALJ. The decision of the ALJ will be based upon the evidence and testimony. The ALJ may rely upon evidence of a type commonly relied upon by a reasonably prudent person in the conduct of such person's affairs. Absence of employer records required to be made and kept by an employer pursuant to Section 300.630 and Section 10 of the Act will not deny an aggrieved employee recovery of wages or final compensation on the basis that the aggrieved employee is unable to prove the precise extent of uncompensated work or final compensation. An aggrieved employee need only produce sufficient evidence to demonstrate the amount and extent of work or time earned as a just and reasonable inference. The employer must then produce evidence of the exact amount of work or time earned or produce evidence to negate the reasonable inferences drawn from the employee's evidence. The employer's failure to make and maintain records as required under Section 300.630 shall not preclude a finding based on the information available that wages or final compensation are due, even though the award may be only approximate.

b) A complete record of all proceedings before the ALJ at the hearing shall be maintained. The record will consist of: a verbatim record of the parties and witnesses; all pleadings, motions, rulings, evidence received, matters officially noticed, offers of proof, objections and rulings on objections; decision and findings of fact; and any ex parte communications.

c) The testimony of a party or witness shall be sworn or affirmed. If a party or witness refuses to consent to the recording of the hearing by the ALJ or refuses to take the oath or affirmation when requested, the participation of that individual in the hearing shall be terminated, and the hearing shall be conducted as if the individual failed to appear.

d) Any document a party intends to introduce into evidence should be served by the party on the other party at least five days before the hearing. Documents previously submitted to the other party during the investigation need not be resubmitted. If the ALJ finds any document was not served or received, the ALJ may proceed or not proceed with the hearing or take such other action as the ALJ deems appropriate. No other written or oral discovery shall be allowed, except in extraordinary circumstances to facilitate or expedite the proceedings, but shall be limited to the specific issue or amount of the claim, as the ALJ deems appropriate.

e) The claimant has the burden of proving by a preponderance of the evidence the merits of the claim.

f) Upon the ALJ's own motion or upon good cause shown by a party, the ALJ may direct the parties or their counsel to meet with the ALJ for a prehearing conference.

History

• Source: Amended at 47 Ill. Reg. 5406, effective March 31, 2023

56 Ill. Adm. Code 300.1080 Participants at a Formal Hearing

a) A party may be accompanied at a formal hearing by his or her attorney or other representative. The participation of the other representative in the hearing shall be limited to fact-finding and support functions. Other representatives shall not be permitted to engage in any conduct or function that constitutes or reasonably approximates the practice of law. Other representatives shall not: examine or cross-examine any party or witness; offer any documents or other exhibits into evidence; make evidentiary, procedural or other legal objections; cite, file or interpret case law, statutes, administrative rulings or other legal authority; make legal arguments or interpretations; or give legal advice or opinions to parties or witnesses. Other representatives must provide to the represented party for signature a written disclosure document that explicitly states that the representative is not an attorney and that the representative is not permitted to present legal arguments or otherwise engage in any function that reasonably approximates the practice of law as described in this subsection (a). The document shall be signed by both the representative and the represented party.

b) The parties may bring witnesses to the hearing and the ALJ shall determine the order in which the witnesses are to be heard and shall limit testimony to that which is relevant, not cumulative in nature, not unduly repetitious and material to the claim. In deciding whether to permit a witness to testify, the ALJ may consider the relevance and materiality of the testimony. The ALJ may exclude witnesses when they are not giving testimony. The Department will provide translation services for the hearing as necessary.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1090 Conduct in a Formal Hearing

a) The ALJ shall conduct and control the hearing, which will be confined to the factual and/or legal issues of the claim. The ALJ will ensure that all parties who have appeared have a reasonable opportunity to present all relevant evidence and testimony regarding the issues.

b) Witnesses may be questioned and cross-examined by any party or that party's attorney, except the other representative, and further questioned by the ALJ, if necessary, to ensure clarity and completeness of the issues and of the record.

c) If any person becomes abusive or disruptive so that a full and fair hearing cannot be conducted, the ALJ shall exclude that person from the hearing. The ALJ shall then move forward with the hearing without the participation of the excluded individual and will render a decision based on the evidence in the record.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1100 Telephone Hearing for a Formal Hearing

a) Written requests to participate via telephone must be received by the Department's Chicago office, 160 N. LaSalle, C-1300, Chicago IL 60601, no later than seven days prior to the hearing date. The request shall be prominently marked "REQUEST FOR TELEPHONE HEARING" on both the letter and envelope. The request shall be in writing and contain a compelling reason why the party needs to participate by telephone and the name, address and telephone number of the person to be contacted.

b) On its own initiative, the Department may also schedule a matter for telephone hearing without regard to the seven day notice requirement.

c) The Department may consider untimely requests for telephone hearings by the party upon a showing that the delay was occasioned by good cause beyond the party's control. Examples of good cause include the non-receipt or delayed receipt of mail, accident, illness or other circumstances beyond the party's control.

d) A party shall not consider the request granted unless the participant receives notice of the Department's approval prior to the hearing date by telephone or in writing.

e) A party appearing by telephone shall submit to the ALJ and the other party, no less than five days prior to the hearing, any documents the party intends to introduce at the hearing. Any documents previously submitted to a party during the investigation need not be resubmitted. If the ALJ finds that any document was not submitted or received, the ALJ may exercise discretion to proceed or not proceed with the hearing or take other action as the ALJ deems appropriate.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1110 Subpoenas for Investigation and Testimony at Hearing

a) The Department may issue an administrative subpoena to compel the attendance of a witness and/or the production of documents upon the Department's determination that the information to be produced by a subpoena is necessary and relevant to the Department's adjudication of the claim and cannot be obtained by any other reasonable means. The parties may also request that subpoenas be issued for documents and testimony at hearing.

b) Application by a party for a subpoena may be made ex parte and the party requesting the subpoena shall be responsible for service. The subpoena shall on its face show the name and address of the party at whose request the subpoena was issued. Service may be made by personal delivery, certified mail with return receipt signed by the person or its agent, U.S. regular mail, postage prepaid, or private carrier.

c) If a party or organization within control of a party fails to obey a subpoena and the ALJ finds the subpoena to have been validly served and the material requested to be relevant and material, the ALJ may impose such sanctions as are appropriate, including, but not limited to, prohibiting testimony by the party who has refused to comply on the subject matter encompassed by the subpoena, drawing an adverse inference against the party refusing to comply, or allowing the evidence required by the subpoena but not produced as establishing the truth of the position of the party who subpoenaed the documents. If a non-party fails to obey a subpoena, the party seeking enforcement shall be responsible for preparing an application for enforcement and filing in a court of appropriate jurisdiction.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1120 Ex Parte (one Party Only) Communications

a) An ALJ may not engage in ex parte communications, directly or indirectly, in any matter in connection with any substantive issue, with any interested person or party. If the ALJ receives any ex parte communication, including any documents, the ALJ shall inform the parties of the substance of any such communication and provide copies of any written communication or documents. The other party shall be given an opportunity to review any ex parte communication.

b) Nothing shall prevent the ALJ from communicating ex parte about routine matters, such as requests for continuances or opportunities to inspect the file, as long as the parties are informed of the substance of the ex parte communication. The date and type of communication, the persons involved and the results of those routine communications shall be part of the record.

c) When a party fails to appear at the hearing, the other parties' participation at the hearing shall not be considered ex parte communication.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1130 Disqualification of an Administrative Law Judge

At any time prior to the issuance of a substantive ruling by an ALJ, a party may move to disqualify the ALJ on the grounds of bias or conflict of interest. The motion shall be made in writing to the General Counsel, with a copy to the Director and the ALJ, setting forth the specific instances of bias or conflict of interest. The Director and/or her or his designee will assign the matter for a determination to an ALJ not challenged in the motion. An adverse decision or ruling, in and of itself, is not grounds for disqualification. The ALJ's employment or contract as an ALJ by the Department is not, in and of itself, a conflict of interest. The case shall be suspended until the neutral ALJ rules on the motion. The neutral ALJ may decline to disqualify the presiding ALJ or appoint another ALJ to hear the case.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1140 Consolidation/Severance (repealed)

History

• Source: Repealed at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1150 Failure of a Party to Appear at a Formal Hearing

a) Failure of a claimant to appear at a scheduled formal hearing may result in dismissal of the claim. If the hearing or any party's appearance is by telephone, failure of that party to inform the ALJ of the telephone number at which he or she can be reached, or failure to answer the telephone at the scheduled time, may result in dismissal of the claim.

b) Failure of the employer to appear at a scheduled formal hearing shall cause the ALJ to issue a decision based on the evidence introduced and the evidence of record. If the hearing or the employer's appearance is by telephone, failure of the employer to inform the ALJ of the telephone number at which the employer can be reached, or failure to answer the telephone at the scheduled time, shall cause the ALJ to issue a decision based on the evidence introduced and the evidence of the record.

History

• Source: Amended at 38 Ill. Reg. 18517, effective August 22, 2014

56 Ill. Adm. Code 300.1160 Notice and Appeal of Department's Order

a) Following the entry of a final order, the Department will send written notice of its order to the parties by regular U.S. mail, or via email to an email address previously designated by the party for purposes of receiving communications under this Act, setting forth the amount of the judgment, if any, including all damages, administrative fees, and penalties, as well as the parties' appeal rights. Service shall be presumed to be accomplished upon mailing or emailing.

b) A party may file a motion to reconsider with the Department within 15 days after the Department's order and the motion will only be considered by the Department for procedural issues. A motion to reconsider should be sent to the Department's Chicago office, 160 N. LaSalle, C-1300, Chicago IL 60601. The Department will issue a written decision on any motions to reconsider and serve that decision on all parties via regular US mail or via email to an email address previously designated by the party for purposes of receiving communications under this Act. No further appeal process or administrative remedies may be sought at the Department level.

c) Any party may appeal the Department's order or dismissal to the circuit court within 35 days under the provisions of the Administrative Review Law [735 ILCS 5/Art. III]. If a motion to reconsider is filed with the Department, the time period to appeal to the circuit court will begin when the Department issues its written decision on any motion to reconsider via regular US mail or via email to an email address previously designated by the party for purposes of receiving communications under this Act.

d) If a party seeks judicial review of a Department order or dismissal, that party will pay the actual cost to the Department of preparing the administrative record and filing the record in court. Payment must be made by certified check, cashier's check, or money order, made payable to the Illinois Department of Labor or using the State Treasurer's E-Pay program or any successor program.

e) Actions for judicial review shall be filed where the hearing proceeding took place, which is either the circuit court of Cook County or Sangamon County.

f) The order of the Department will become final and enforceable if no appeals are filed within 35 days after the Department's order or after all appeals are exhausted.

History

• Source: Amended at 47 Ill. Reg. 5406, effective March 31, 2023

56 Ill. Adm. Code 300.1180 Non-Waivable Administrative Fee to the Department

If the Department determines that a respondent owes wages or final compensation to the claimant and any other aggrieved employee, it shall assess the appropriate non-waivable administrative fee per employee as provided for by the Act payable to the Department and make the administrative fee against the respondent a part of the determination. The administrative fee shall be due to the Department within 15 days after the order becomes final.

History

• Source: Amended at 47 Ill. Reg. 5406, effective March 31, 2023

56 Ill. Adm. Code 300.1190 Statutory Damages Due to the Employee

If the Department determines that a respondent owes wages or final compensation to the claimant, statutory damages shall be assessed at 5% of the amount owed, multiplied by the number of months that elapse between the time of initial underpayment and the time the order is paid. The total amount due to the claimant and any aggrieved employee, including the unpaid wages and final compensation plus statutory damages, will be due to the claimant and aggrieved employee within 15 days after the order becomes final.

History

• Source: Amended at 47 Ill. Reg. 5406, effective March 31, 2023

56 Ill. Adm. Code 300.1200 Additional Penalties Due to the Department and Employee

If a respondent fails to comply with the order within 15 days after the order becomes final, the respondent shall also be liable to the Department for a statutory penalty of 20% of the amount owed and shall be additionally liable to the claimant and any other aggrieved employee for a statutory penalty in the amount of 1% per day of the amount owed for each day that payment is delayed.

History

• Source: Amended at 47 Ill. Reg. 5406, effective March 31, 2023

56 Ill. Adm. Code 300.1210 Payment of Wages or Compensation Owed, Penalties, and Fees

a) A respondent shall pay wages, compensation, penalties, or fees owed in either of the following manners:

1. Mail two separate certified checks, cashier's checks, or money orders to pay the amount of wages or compensation owed to the office location designated by the Department. One certified check, cashier's check, or money order shall be for the amount of any wages or final compensation, less all required deductions for federal and State taxes and social security plus statutory damages and statutory penalties owed to the employee, made payable to: “[INSERT EMPLOYEE NAME] or Illinois Department of Labor", inserting the employee's name accordingly. The second certified check, cashier's check, or money order shall be for the amount of any penalties and fees owed to the Department made payable to the "Illinois Department of Labor".

2. Make two separate payment transactions using an electronic payment system designated by the Department for such payments. One transaction shall be for the amount of any wages owed or final compensation, less all required deductions for federal and State taxes and social security; plus statutory damages and statutory penalties owed to the employee, designated with the employee’s name. The second transaction shall be for the amount of any penalties and fees owed to the Department, designated as "Fines/Fees to IDOL".

b) The Department shall make a good faith effort to find any aggrieved employee owed wages or other compensation. To aid the Department in locating all aggrieved employees, the Department may seek the last known address of the aggrieved employee from the employer and may require the employer to provide the Department with known contact information for an aggrieved employee. If an aggrieved employee cannot be found after one year from the date the payment from the employer is received by the Department, the money owed to that aggrieved employee shall be transferred to the Office of the Treasurer as unclaimed property, under the Revised Uniform Unclaimed Property Act [765 ILCS 1026/15-201].

1. For the purposes of this Section, "good faith effort" means that the Department took all necessary and reasonable steps to locate all aggrieved employees, including phone calls, electronic mail, and electronic searches for each aggrieved employee, even if those steps were not successful. "Good faith efforts" are those that one could reasonably expect from a person who is actively attempting to contact an aggrieved employee.

2. Each respondent who provides wages, compensation, damages, penalties, or fees under this Section shall be assigned a vendor number by the Department. The vendor number shall be communicated to the Illinois State Comptroller’s Office. When an aggrieved employee makes a valid request for payment to the Department, the Department shall use the vendor payment number to process payment on behalf of the aggrieved employee. [820 ILCS 115/11.5(b)]

c) When the Department can locate the claimant or other aggrieved employee, the Department shall remit payment of wages or other compensation owed within 120 days after the Department received such payment from the employer or located the claimant or other aggrieved employee.

History

• Source: Amended at 47 Ill. Reg. 5406, effective March 31, 2023

56 Ill. Adm. Code 300.1220 Filing of a Complaint, Investigation and Service

a) An employee or an employee's representative may file a complaint with the Department alleging unlawful retaliation by submitting a complaint on a form provided by the Department. Complaints shall be filed within one year from the date of the alleged discriminatory action.

b) The Department will notify the employer of the existence of the complaint and provide the employer an opportunity to submit a response to the complaint along with any documentation necessary for the Department's investigation of the complaint.

c) If an employer fails to answer the complaint or fails to answer all material allegations contained in the complaint, any unanswered allegations shall be deemed admitted to be true.

d) The Department will review the information provided by the parties in order to determine whether unlawful retaliation has occurred. If the review demonstrates there is reason to believe the Act has not been violated, the complaint will be dismissed. If the review demonstrates that there is reason to believe the Act has been violated, the matter will be set for a formal administrative hearing. The Department will notify both parties of its determination and may issue appropriate orders.

e) Service of any document under this Section shall be in accordance with Section 300.940(c).

f) All hearings held under this Section shall be conducted pursuant to Subpart G.

History

• Source: Added at 38 Ill. Reg. 18517, effective August 22, 2014

Part 320 Equal Pay in Employment

56 Ill. Adm. Code 320.100 Purpose and Scope

This Part shall apply to actions arising under the Equal Pay Act of 2003 [820 ILCS 112] administered under the jurisdiction of the Director of the Illinois Department of Labor and the Illinois Department of Labor.

History

• Source: Amended at 47 Ill. Reg. 155, effective December 22, 2022

56 Ill. Adm. Code 320.110 Application of the Act

In areas where the State and federal government have concurrent powers under their respective statute, the stricter of the two laws shall prevail.

History

• Source: Amended at 47 Ill. Reg. 155, effective December 22, 2022

56 Ill. Adm. Code 320.120 Definitions

"Act" means the Equal Pay Act of 2003 [820 ILCS 112].

"Authorized agent" means an employee of a business with knowledge of pay practices and who has been designated by the corporate officers of the business to submit information to the Department as required by the Act. Authorized agent does not include any outside or third-party consultant or vendor who serves the business.

"Average compensation" means the average wages for a specific occupation in the State of Illinois as determined by the most recent U.S. Bureau of Labor Statistics State Occupational Employment and Wage Estimates publication.

"Benefits" as used in Section 10 (b-25) of the Act, means all employment benefits an employer is offering to provide or make available to a person hired into a position, including health care benefits, retirement benefits, any benefits permitting paid time off (including sick leave, parental leave, and paid time off or vacation benefits) any benefits permitting job-protected paid time off, and any other benefits that must be reported for federal tax purposes, but not benefits in the form of minor privileges incidental to regular salary or wages.

"Complaint" means an allegation of a violation of the Act filed with or initiated by the Department.

"Complainant" means a person who files a complaint,.

"Department" means the Illinois Department of Labor. [820 ILCS 112/5]

"Director" means the Director of the Illinois Department of Labor or a duly authorized representative of the Director. [820 ILCS 112/5]

"Effort" means the physical or mental exertion needed for the performance of a job. Job factors that cause mental fatigue and stress, as well as those factors that alleviate fatigue, are to be considered in determining the effort required for the job. Effort encompasses the total requirements of the job. Occasional or sporadic performance of an activity that may require extra physical or mental exertion is not alone sufficient to justify a finding of unequal or equal effort.

"Employee" means any individual permitted to work by an employer. [820 ILCS 112/5]

"Employer" means an individual, partnership, corporation, association, business, trust, person, or entity for whom employees are gainfully employed in Illinois and includes the State of Illinois, any State officer, department, or agency, any unit of local government, and any school district. [820 ILCS 112/5]

"Employment Agency" means any person engaged for gain or profit in the business of placing, referring, securing, or attempting to secure employment for persons seeking employment, or in screening or finding employees for employers, including but not limited to agencies licensed under the Private Employment Agency Act [225 ILCS 515].

"Engage" means activity between an employer and a third party in which the employer and the third party communicate regarding one or more job postings, that the employer has consented to be announced, posted, published, shared or otherwise made known by the third party.

"Equal Pay Registration Certificate" means a certificate issued by the Department to a business in accordance with the requirements of Section 11 of the Act.

"Filing year" means any calendar year in which a business is due to submit its Equal Pay Registration Certificate application, as determined by the due date assigned to the business by the Department, whether the business is applying for its initial certification or a recertification. The filing year is the year immediately after the payroll year.

"Job posting" means a written announcement that an employer is seeking to hire or is accepting applications for a specific position, whether announced, posted, published, or otherwise made known by the employer, the employer's agent, or a third party that the employer has engaged to announce, post, publish, or otherwise make known the announcement on the employer's behalf. "Job posting" does not include general announcements that do not identify a specific job opportunity, job title, or position, such as "help wanted" signs.

"Merit system" means an established, bona fide, uniform and objective system that rewards an employee with promotion, bonus, increased pay or other advantages based on competence, expertise, proficiency and human relations.

"Minority" means a minority person as defined in the Business Enterprise for Minorities, Women, and Persons with Disabilities Act. [30 ILCS 575]

"Pay scale and benefits" means the wage or salary, or the wage or salary range, and a general description of the benefits and other compensation, including, but not limited to, anticipated or possible bonuses, stock options, or other incentives the employer reasonably expects in good faith to offer for a position, set by reference to any applicable pay scale, the previously determined range for the position, the actual range of others currently holding equivalent positions, any compensation model relied on by the employer or the budgeted amount for the position, as applicable. [820 ILCS 112/5]

"Payroll year" means the complete calendar year (January 1-December 31) upon which the payroll data in the business' Equal Pay Registration Certificate application is based. The payroll year is the year immediately preceding the filing year.

"Promotional opportunity" means an employment opportunity announced, posted, published, or otherwise made known in writing by an employer or a third party the employer has engaged to act on its behalf, to its current employees.

"Respondent" means an employer, or third party engaged by an employer for purposes of job postings, against whom a complaint is filed.

"Responsibility" means the degree of accountability required in the performance of a job. Minor or occasional responsibility added to an employee's duties that are not of significant consequence or importance will not justify a finding of unequal or equal responsibility.

"Seniority system" means a system that gives preference to employees based on years of service.

"Sex" means the sex or gender of an employee or job applicant.

"Similar working conditions" means the surroundings and hazards, including the frequency and intensity of such conditions. Surroundings measure the elements, such as toxic chemicals or fumes, regularly encountered by an employee. Hazards take into account the physical hazards regularly encountered by an employee. Slight or inconsequential differences in working conditions that are not usually taken into account by employers or in collective bargaining in setting wage rates do not justify a differential in pay. The method used for testing this requirement is flexible. The mere fact that jobs are in different departments of a workplace or performed in different locations will not necessarily mean that the jobs are performed under dissimilar working conditions.

"Skill" means experience, training, education and ability. Possession of a skill not needed to meet the requirements of the job cannot be considered in making a determination regarding equality of skill.

"Substantially similar work" means comparable work on jobs with comparable requirements related to equal skill, effort and responsibility. Substantially similar is not dependent on a job classification or title but depends rather on actual job requirements and genuine differences in how work is performed.

"Wage or salary history" means any information related to an employee or job applicant's current or past earnings at any point of time.

"Wages", except as used in Section 10(b-25) of the Act, means any compensation made to an employee as remuneration for employment regardless of whether paid periodically or deferred until a later date. Compensation includes but is not limited to: wages, salary, vacation pay, sick leave, holiday pay, overtime pay, premium pay, and other benefits such as health insurance, life insurance, disability insurance, commission, draw payments, pension and profit sharing, expenses, bonus, uniform cleaning allowance, hotel accommodations, use of vehicle, gasoline allowance, cafeteria plan and educational benefits. "Wage", as used in Section 10(b-25) of the Act, means hourly base wage rate, salary, overtime pay, premium pay, expected bonuses, and commissions.

"Workplace" means a distinct physical place of business rather than an entire business or enterprise that may include several separate places of business.

History

• Source: Amended at 50 Ill. Reg. 8918, effective June 18, 2026

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 320 Equal Pay in Employment

56 Ill. Adm. Code 320.130 Independent Contractor Exemption

a) As used in this Part, the term “employee” shall not include any individual:

1. who has been and will continue to be free from control and direction over the performance of the individual’s work, both under the contract of service with the employer and in fact; and

2. who performs work that is either outside the usual course of business or is performed outside all the places of business of the employer unless the employer is in the business of contracting with third parties for the placement of employees; and

3. who is an independently established trade, occupation, profession or business.

b) “Control” means the existence of general control or right to general control, even though the details of the work are left to an individual’s judgment.

c) “An independently established trade, occupation, profession or business” means the individual performing the services has a proprietary interest in such business, to the extent that the individual operates the business without hindrance from any other person and as the enterprise’s owner, may sell or otherwise transfer the business.

d) All three conditions in subsection (a) must be satisfied for the independent contractor exemption to apply.

e) An individual may be an employee without being entirely dependent upon the relationship with a specified employer for the individual's livelihood. An individual engaged in other occupations may be an employee of a specified employer even though the individual only worked intermittently or part time.

f) In determining whether the exemption applies, the Department shall consider the actual, rather than the alleged, relationship between a respondent and complainant. Designations and terminology used by the parties, as well as the individual's status for tax purposes, are not controlling.

56 Ill. Adm. Code 320.140 Recordkeeping Requirements

a) An employer subject to any provision of the Act shall make and preserve records that document the name, address, and occupation of each employee; the wages paid to each employee and any other forms of compensation provided by the employer; dates of hire, dates of promotion, dates of pay increases, and dates any other compensation was provided by the employer, if applicable, for each employee; and payroll records.

b) The employer shall also preserve any records made in the regular course of the business operation related to personnel records, employee qualifications for hire, (including but not limited to applications for employment submitted by job applicants), promotion, transfer, discharge or other disciplinary action, wage rates, skills testing certifications, job evaluations, job descriptions, merit systems, seniority systems, written job offers, individual employment contracts, collective bargaining agreements, description of practices or other matters that describe or explain the basis for payment of any wage differential between employees of different sexes or the basis for payment of wages to any employee who is African-American at a rate less than the rate paid to employees who are not African-American by the same employer and that may be pertinent to a determination whether the differential or lower wage payment is based on a factor other than sex or race.

c) In addition to the recordkeeping requirements set forth in the Act, an employer subject to Section 10(b-25) of the Act shall also make and preserve records that document:

1. the pay scale and benefits for each job posting, such as a visual representation of that the posting looked like when it was published, made by the employer, the employer's agent, or a third party engaged by the employer; and

2. the promotional opportunities communicated to current employees as required by the Act, such as a visual representation of that the posting looked like when it was published. If the employer engages a third party to announce, post, publish, or otherwise make known job postings, the employer should also maintain records of such announcements. See Section 20 of the Act.

d) The records required by subsections (a), (b), and (c) shall be preserved and maintained for a period of not less than 5 years unless the records relate to an ongoing investigation or enforcement action under the Act, in which case the records must be maintained until their destruction is authorized by the Department or by court order.

History

• Source: Amended at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.150 Incorporated and Referenced Materials

The following regulations and standards are incorporated in this Part. All incorporations by reference refer to the regulations, guidelines and standards on the date specified and do not include any editions or amendments subsequent to the date specified.

a) Federal Regulations and Publications

1. U.S. Bureau of Labor Statistics Standard Occupational Classification (SOC) System Revision for 2018, April 15, 2020.

2. 29 CFR 1602.7 through 1602.14, July 26, 1991.

3. 41 CFR 60-1.7(a), December 22, 1997.

b) The following State statutes and rules are referenced in this Part:

1. The Freedom of Information Act [5 ILCS 140]

2. The Equal Pay Act of 2003 [820 ILCS 112]

3. The Illinois Income Tax Act [35 ILCS 5]

4. The Business Enterprise for Minorities, Women, and Persons with Disabilities Act [30 ILCS 575]

5. The Illinois Human Rights Act [775 ILCS 5]

6. The Equal Wage Act [820 ILCS 110]

7. The Illinois Administrative Procedure Act [5 ILCS 100/Art. 10]

8. Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120)

9. Joint Rules of the Department of Labor and Department of Human Rights: Rules on Investigation of Equal Pay Act Cases (56 Ill. Adm. Code 325)

10. The Private Employment Agency Act [225 ILCS 515]

c) The following federal laws are referenced in this Part:

1. 29 U.S.C. 2

2. Title VII of the Civil Rights Act of 1964 (42 U.S.C. 2000e et seq.)

3. The Equal Pay Act of 1963 (29 U.S.C. 201 et seq.)

History

• Source: Amended at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.160 Service of Documents

Service of any document under the Act or this Part upon any person may be made by personal delivery, certified mail with the return receipt signed by the person or its agent, U.S. regular mail with postage prepaid, email to an email address previously designated by the party for purposes of receiving communications under this Act, or any other verifiable means, such as private carrier, to the following:

a) an address on file with the Department;

b) an address on file with the Secretary of State;

c) an address on file with any other State agency with which the respondent must maintain a current address; or

d) any other address, including e-mail address, that the Department reasonably calculates to be a true and current address for the person.

History

• Source: Added at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.200 Complaints

a) An employee, job applicant, former employee, or, for the purposes of an alleged violation of subsection (b-25) of Section 10 of the Act, any person that claims to be aggrieved by a violation of that subsection, may file a complaint alleging a violation of the Act by submitting a signed, completed complaint form. The Department may also initiate an investigation. [820 ILCS 112/15]

b) Time Limit and Contents for Filing

1. All complaints shall be filed with the Department within one year from the date of the relevant violation. The complaint shall be deemed filed as of the date it is received by the Department. [820 ILCS 112/15(b)]

2. To the extent possible, a complaint shall be in such detail as to substantially apprise the Department and the parties of the dates, place, parties, and facts with respect to the alleged violation of the Act.

c) Jurisdiction

1. At the time of filing, the Department shall determine initially whether the allegations in the complaint sufficiently state a claim under the Act so that the Department can proceed with the investigation. If, at the time of filing, or at any subsequent time, it is determined that there is a lack of jurisdiction, the complaint shall be dismissed. All parties shall be notified of the dismissal pursuant to Section 320.160.

2. For alleged violations of all subsections except Section 10(b-25) of the Act, jurisdiction may exist where an employer has any number of employees who physically work, at least in part, either at an Illinois work site or outside of Illinois but reporting directly to a supervisor, office, or other work site in Illinois.

3. For alleged violations of Section 10(b-25) of the Act, jurisdiction may exist when an employer with 15 or more employees in any place announces, posts, publishes or otherwise makes known a specific job posting for a position that will be physically performed either:

A) in Illinois (at least in part); or

B) outside of Illinois but the position reports to a supervisor, office, or work site in Illinois.

4. When determining whether jurisdiction exists for any given alleged violation for which the physical location of the work presents a jurisdictional question, the Department may consider:

A) The amount of work performed in Illinois compared to the amount of work performed outside of Illinois;

B) Whether the work performed inside of Illinois is isolated, temporary, or transitory; or

C) Whether the work performed outside of Illinois is of the same nature or has the same duties of the work performed in Illinois.

5. Jurisdiction regarding actions arising under Section 11 of the Act are addressed in Subpart H of this Part.

d) Referral to the Illinois Department of Human Rights

1. The Department may refer a complaint alleging a violation of the Act to the Department of Human Rights for investigation if the subject matter of the complaint also alleges a violation of the Illinois Human Rights Act and the Department of Human Rights has jurisdiction over the matter. When a complaint is referred to the Department of Human Rights under this subsection (d)(1), the Department of Human Rights shall also file the complaint under the Illinois Human Rights Act and be the agency responsible for investigating the complaint. The Department shall review the Department of Human Rights' investigation and findings to determine whether a violation of the Act has occurred or whether further investigation by the Department is necessary and take any necessary or appropriate action required to enforce the provisions of the Act. [820 ILCS 112/15(c)]

2. If, at the time of filing, or at any subsequent time while the matter is pending with the Department of Labor, it is determined that the subject matter of the complaint also alleges a violation of the Illinois Human Rights Act, the Department may refer the complaint to the Department of Human Rights to be processed pursuant to 56 Ill. Adm. Code 325 (Joint Rules of the Department of Labor and the Department of Human Rights: Rules on Investigation of Equal Pay Act Cases).

History

• Source: Amended at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.210 Investigations Other Than Those Under Section 11 of the Act

a) After the Department determines jurisdiction, the Department may conduct an investigation to determine whether reasonable cause exists to believe a violation of the Act has occurred. When conducting an investigation, the Department shall provide the respondent with a written notice of investigation stating the substance of the alleged violation and giving the respondent an opportunity to respond to the allegation and present any information the respondent wishes the Department to consider in its investigation of the alleged violation. The respondent must submit such response to the Department within 30 calendar days after receipt of the notice of investigation.

b) The Department is authorized to investigate and gather data and records regarding employee wages and hours, and other conditions and practices of employment of the respondent, and may enter the respondent's premises to inspect such records at reasonable times during regular business hours; question the respondent's employees; and investigate the facts, conditions, practices, or matters as the Department may deem necessary or appropriate to determine whether the respondent has violated the Act. [820 ILCS 112/15(c)] Investigations may also include written or oral inquiries, field visits, subpoenas, conferences, and interviews, or any investigation method or combination of methods deemed suitable in the discretion of the Department or authorized by the Act. In no case will the Department review data and records from more than five years prior to the date the complaint was filed.

c) Cooperation By Parties

1. If during the investigation a respondent refuses to cooperate, the Director may either make a finding of reasonable cause or issue subpoenas to compel the attendance of respondent witnesses or the production of documents.

2. In case of failure of any person to comply with any subpoena lawfully issued under Section 25 of the Act or on the refusal of any witness to produce evidence or to testify to any matter regarding which he or she may be lawfully interrogated, it is the duty of any circuit court, upon application of the Director, or his or her authorized representative, to compel obedience by proceedings for contempt, as in the case of disobedience of the requirements of a subpoena issued by such court or a refusal to testify therein. The Director may certify to official acts. [820 ILCS 112/25] In such proceedings the Director shall be represented by the Attorney General.

d) Investigations of violations of Section 11 of the Act, Equal Pay Registration Certificate Requirements, shall be governed by the provisions of Subpart H.

History

• Source: Amended at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.220 Dismissal

If the Department determines that dismissal of all or portions of a complaint is warranted, the Department shall notify all parties in writing of the Department's decision to dismiss. The dismissal notice shall also advise the parties of the complainant's right to bring a private action within 5 years from the date of the violation.

History

• Source: Amended at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.230 Determination

a) At the conclusion of the Department's investigation, unless the complaint has been withdrawn, dismissed, or otherwise resolved, the Department shall make one of the following determinations:

1. Reasonable cause found. If the Department determines that there is reasonable cause to believe that a violation of the Act has occurred, it shall:

A) Seek a voluntary settlement agreement signed by the respondent that addresses the violation and provides appropriate relief to the complainant; or

B) Commence referral to the Attorney General for initiation of a civil action.

2. No reasonable cause found. If the Department determines that there is no reasonable cause to believe that a violation of the Act has occurred, the Department shall dismiss the complaint pursuant to Section 320.220.

b) Whenever a determination is made under this Section, a written notice shall be provided to the parties stating the Department's findings and any applicable civil penalty assessments pursuant to Section 30(c) of the Act. The notice shall also advise the parties of the complainant's right to bring a civil action as provided for in Section 30 of the Act.

History

• Source: Amended at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.240 Cure Period for Pay Transparency

a) Solely with respect to allegations that an employer violated its pay transparency and promotional opportunity obligations in Section 10(b-25) of the Act, when the Department determines that a violation has occurred, it shall issue to the employer a notice, using a method set forth in Section 320.160, setting forth: the violation, the applicable penalty as described in Section 30(c-10) and (c-15) of the Act, and, for active job postings, the period to cure the violation as described in Section 30(c-10) of the Act. A job posting found to be in violation of Section 10(b-25) of the Act shall be considered as one violating job posting regardless of the number of duplicative postings that list the job opening. [820 ILCS 112/30(c-7)]

b) For purposes of Section 30(c-15) of the Act, the Department, during its investigation of a complaint, shall make a determination as to whether a job posting is active by considering the totality of the circumstances, including, but not limited to:

1. whether a position has been filled;

2. the length of time a posting has been accessible to the public;

3. the existence of a date range for which a given position is active; and

4. whether the violating posting is for a position for which the employer is no longer accepting applications. [820 ILCS 112/30(c-15)]

c) For job postings that are still active, the following cure periods shall apply:

1. For an employer's first offense, 14 calendar days. A first offense may be either a single job posting that violates Section 10(b-25) or multiple job postings that violate Section 10 and are identified at the same time by the Department.

2. For an employer's second offense, 7 calendar days. A second offense is a single job posting that violates Section 10(b-25). [820 ILCS 112/30(c-10)]

d) There is no cure period for an employer's third or subsequent offense, or for non-active job postings. [820 ILCS 112/30(c-10)]

e) If an employer fails to cure the violation in the time allotted by this Section, or is found to have committed a third or subsequent violation, the Department shall proceed as provided for in the Act and this Part.

History

• Source: Amended at 50 Ill. Reg. 8918, effective June 18, 2026

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 320 Equal Pay in Employment

56 Ill. Adm. Code 320.250 Withdrawal of Complaint

A complaint may be withdrawn at any time prior to issuance of a notice dismissing the complaint or filing of a court action based on the complaint. A complainant’s request to withdraw a complaint shall be in writing and signed by the complainant and shall specifically reference the Department’s complaint number. The Department shall grant the request if it is shown that the request is made voluntarily. After the Department’s review of the withdrawal request, the complaint may be closed and the Department will notify all parties in writing. Withdrawal does not preclude the Department from pursuing a complaint on its own motion based on the same facts.

56 Ill. Adm. Code 320.260 Enforcement, Penalties and Relief

a) Wage Underpayment, and Penalties for Underpayment of Wages

1. Upon investigating and finding of a violation of Section 10(a) of the Act, the Director may order and supervise payment of any underpayment of wages owing to any employee or employees pursuant to Section 30(b) of the Act, payable to the employee or employees. possible, by the Director.

2. An employer with fewer than 4 employees who violates Section 10(a) of the Act is subject to a civil penalty ordered by the Director pursuant to Section 30(c) of the Act as follows:

A) A penalty not to exceed $500 for the first offense;

B) A penalty not to exceed $2,500 for the second offense; and

C) A penalty not to exceed $5,000 for the third or subsequent offense.

3. An employer with between 4 and 99 employees who violates Section 10(a) of the Act is subject to a civil penalty ordered by the Director pursuant to Section 30(c) of the Act as follows:

A) A penalty not to exceed $2,500 for the first offense;

B) A penalty not to exceed $3,000 for the second offense; and

C) A penalty not to exceed $5,000 for the third or subsequent offense.

4. An employer with 100 or more employees who violates Section 10(a) of the Act is subject to a civil penalty ordered by the Director pursuant to Section 30(c) of the Act not to exceed $10,000.

5. Any employer who has been demanded by the Director to pay wages due an employee and who fails to do so within 15 calendar days after such demand or the order is entered shall be liable to pay a penalty of 1% per calendar day to the employee for each day of delay in paying such wages to the employee, up to an amount equal to twice the sum of unpaid wages due the employee. [820 ILCS 112/35(a)]

b) Penalties for Pay Transparency and Promotional Opportunity Violations Only

1. Upon investigating and finding a violation of Section 10(b-25) of the Act regarding a job posting or batch of job postings that is active at the time the Department issues a notice of violation, if the employer or other respondent fails to cure the violation in the time allowed, the Department may impose a penalty as follows:

A) For a first offense, following a cure period of 14 days to remedy the violation, a fine not to exceed $500 at the discretion of the Department. A first offense may be either a single job posting that violates Section 10(b-25) or multiple job postings that violate Section 10(b-25) and are identified at the same time by the Department. The Department shall have discretion to waive any civil penalty under this this subsection (b)(1)(A).

B) For a second offense, following a cure period of 7 days to remedy the violation, a fine not to exceed $2,500 at the discretion of the Department. A second offense is a single job posting that violates Section 10(b-25). The Department shall have discretion to waive any civil penalty under this subsection (b)(1)(A).

C) For a third or subsequent offense, with no cure period, a fine not to exceed $10,000 at the discretion of the Department. A third or subsequent offense is a single job posting that violates Section 10(b-25). The Department shall have discretion to waive any civil penalty under this this subsection (b)(1)(A). If a company has had a third offense, it shall incur automatic penalties without a cure period for a period of 5 years, at the completion of which any future offense shall count as a first offense. The 5-year period shall restart if, during that period, an employer receives a subsequent notice of violation from the Department. [820 ILCS 112/30(c-10)]

2. Upon investigating and finding a violation of Section 10(b-25) of the Act regarding a job posting or batch of job postings that are not active at the time the Department issues a notice of violation, the Department may impose a penalty as follows:

A) For a first offense, a fine not to exceed $250 at the discretion of the Department. A first offense may be either a single job posting that violates Section 10(b-25) or multiple job postings that violate Section 10(b-25) and are identified at the same time by the Department. The Department shall have discretion to waive any civil penalty under this subsection (b)(2)(A).

B) For a second offense, a fine not to exceed $2,500 at the discretion of the Department. A second offense is a single job posting that violates subsection (b-25) of Section 10. The Department shall have discretion to waive any civil penalty under this paragraph.

C) For a third or subsequent offense, a fine not to exceed $10,000 at the discretion of the Department. A third or subsequent offense is a single job posting that violates Section 10(b-25). The Department shall have discretion to waive any civil penalty under this subsection (b)(2)(C). [820 ILCS 112/30(c-15)]

c) Penalties for Other Violations of the Act

1. Upon investigating and finding a violation of any Section of the Act or this Part that is not explicitly referenced in subsections (a) and (b) of this Section – including but not limited to Section 10(b), Section 10(b-5), Section 10(b-10), Section 10(b-20), Section 11, Section 20, and Section 40 of the Act – the Director may order and supervise payment of any damages owing to any employee or employees pursuant to Section 30(b) of the Act, payable to the employee or employees.

2. An employer with fewer than 4 employees who violates any provision of this Act not explicitly referenced in subsections (a) and (b) of this Section is subject to a civil penalty ordered by the Director pursuant to Section 30 (c) of the Act as follows:

A) A penalty not to exceed $500 for the first offense;

B) A penalty not to exceed $2,500 for the second offense; and

C) A penalty not to exceed $5,000 for the third or subsequent offense.

3. An employer with between 4 and 99 employees who violates any provision of this Act not explicitly referenced in subsections (a) and (b) of this Section is subject to a civil penalty ordered by the Director pursuant to Section 30(c) of the Act as follows.

A) A penalty not to exceed $2,500 for the first offense;

B) A penalty not to exceed $3,000 for the second offense; and

C) A penalty not to exceed $5,000 for the third or subsequent offense.

4. An employer with 100 or more employees who violates any Section of this Act that is not explicitly referenced in subsections (a) and (b) of this Section, except for Section 11 of the Act, is subject to a civil penalty ordered by the Director pursuant to Section 30(c) of the Act not to exceed $10,000 per employee affected.

5. An employer with 100 or more employees that is a business as defined under Section 11 and commits a violation of Section 11 shall be fined up to $10,000. [820 ILCS 112/30(c)]

6. An employer or person who violates subsection (b), (b-5), (b-10), (b-20), or (c) of Section 10 of the Act is subject to a civil penalty not to exceed $5,000 for each violation for each employee affected, payable to the Department. [820 ILCS 112/30(c)]

d) Subsections (a), (b) and (c) shall not be construed as limiting the authority of the Director to seek all remedies authorized by the Act when, pursuant to Section 30(a) of the Act, the Department makes an assignment of the employee's claim for wages in violation of Sections 10 or 11 of the Act in trust for the assigning employee and brings any legal action necessary to collect the claim, whether at the request of an employee or on motion of the Director.

e) When determining the amount of a penalty to be imposed in this Section, the Department shall consider the appropriateness of the penalty to the size of the business of the employer charged and the gravity of the violation, and may also consider other facts including but not limited to the employer's history of previous violations, and (if applicable) the number of employees affected. A penalty may be recovered in a civil action brought by the Director in any circuit court. [820 ILCS 112/30(d)]

f) Payment for unpaid wages and civil penalties may be made to the Department using the State Treasurer's E-Pay program or any successor program, certified checks, cashier's checks, or money orders, made payable to the individual employees or the Department of Labor.

g) If a respondent does not comply within the time allowed after the Director's demand, the Director may bring a civil action against the respondent as provided for in Section 30 of the Act.

History

• Source: Added at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.300 Jurisdiction (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.310 Investigations Except Those Under Section 11 of the Act (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.320 Fact-Finding Conference (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.330 Decision After Investigation (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.340 Enforcement Procedures (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.400 Settlement (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.500 Dismissal (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.510 Default (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.520 Closure (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.600 Request for Informal Investigative Hearing (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.610 Convening an Informal Investigative Hearing (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.620 Continuances (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.630 Application of the Rules of Evidence, Pleading and Procedure (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.640 Attorneys and Witnesses at an Informal Investigative Hearing (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.650 Contumacious Conduct (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.660 Telephone Hearings (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.700 Filing with Chief Administrative Law Judge (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.710 Contents of Request for Review (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.720 Reply to Request for Review and Surreply (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.730 Extensions of Time (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

56 Ill. Adm. Code 320.740 Additional Investigation and Decision (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 8918, effective June 18, 2026

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 320 Equal Pay in Employment

56 Ill. Adm. Code 320.800 Purpose

This Subpart shall prescribe the process for businesses as defined in Section 320.810 to apply for and be issued an Equal Pay Registration Certificate under Section 11 of the Equal Pay Act of 2003 [820 ILCS 112].

History

• Source: Added at 47 Ill. Reg. 155, effective December 22, 2022

56 Ill. Adm. Code 320.810 Definitions

The following definitions shall apply for this Subpart H only:

"Application" means the form provided by the Department that a business must complete and submit to the Department in order to obtain an Equal Pay Registration Certificate or recertification of an Equal Pay Registration Certificate.

"Business" means any private employer who has 100 or more employees in the State of Illinois, but does not include the State of Illinois or any political subdivision, municipal corporation, or other governmental unit or agency. [820 ILCS 112/11]

"Compliance" means that, as of the date of application or recertification, the business either:

1. has not had any final and non-appealable adverse judgment or final and non-appealable administrative ruling entered against it in the preceding two years under Title VII of the Civil Rights Act of 1964 (42 U.S.C. 2000e), the Equal Pay Act of 1963 (29 U.S.C. 206), the Illinois Human Rights Act (775 ILCS 5), the Equal Wage Act (820 ILCS 110), or the Equal Pay Act of 2003 (820 ILCS 112); or

2. has corrected any final and non-appealable adverse judgment or final and non-appealable administrative ruling entered against it under Title VII of the Civil Rights Act of 1964 (42 U.S.C. 2000e), the Equal Pay Act of 1963 (29 U.S.C. 206), the Illinois Human Rights Act (775 ILCS 5), the Equal Wage Act (820 ILCS 110), or the Equal Pay Act of 2003 (820 ILCS 112).

For purposes of Section 320.840(a)(3)(A), any business that has corrected a final and non-appealable adverse judgment or final and non-appealable administrative ruling entered against it shall submit evidence of the underlying judgment or ruling and the corrective measures undertaken by the employer business.

"Employee" means any person performing a service for a business under the Act whose base of operations, or if there is no base of operations, the place from which the service is directed or controlled, is located within the State of Illinois; or whose base of operations or the place from which the service is directed or controlled is not in any state in which some part of the service is performed, but the individual's residence is in the State of Illinois. [35 ILCS 5/304(a)(2)(B)(iii)]

"Job classification" or "job category" means one of the following job categories: executive/senior-level officials and managers, first/mid-level officials and managers, professionals, technicians, sales workers, administrative support workers, craft workers, operatives, laborers and helpers, and service workers.

"Job title" means the title or role established for an employee by their employer that is used to identify and classify the employee internally within that workplace.

"Occupation" means any one of the Standard Occupational Classifications identified and published in the Standard Occupational Classification (SOC) System – Revision for 2018 published by the U.S. Bureau of Labor Statistics.

History

• Source: Amended at 50 Ill. Reg. 8918, effective June 18, 2026

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 320 Equal Pay in Employment

56 Ill. Adm. Code 320.820 Enrollment

a) A business that is authorized to transact business in the State of Illinois on or before March 23, 2021 shall submit an enrollment form notifying the Department that the business is subject to Section 11 of the Act. A business that becomes authorized to transact business in the State of Illinois on or after March 24, 2021 shall submit an enrollment form notifying the Department that the business is subject to Section 11 of the Act by January 1 of the calendar year immediately following the year in which the business becomes authorized to conduct business in the State of Illinois. The enrollment form must include designated contact information for the business.

b) An enrollment form must be submitted via the Department's web-based submission portal found on its web site at https://www2.illinois.gov/idol/Pages/default.aspx.

c) If the Department determines that a business that is not subject to the Act has submitted an enrollment form, the Department shall notify the business in writing that the business is not required to obtain an Equal Pay Registration Certificate.

History

• Source: Added at 47 Ill. Reg. 155, effective December 22, 2022

56 Ill. Adm. Code 320.830 Assignment of Filing Date

a) The Department will assign every business a date by which the business must submit an application and a list of the information outlined in Section 320.840(a) that the business must provide with its application. The filing date shall be randomly assigned by the Department. Each business will receive at least 120 calendar days’ notice of the filing date. The application due date is the date by which the application must be received by the Department.

b) Once an application filing date is assigned by the Department, the business shall be enrolled in the Department's web-based portal as a business required to obtain an Equal Pay Registration Certificate. The business shall be required to obtain an Equal Pay Registration Certificate every two years after the initial due date, unless the business has fewer than 100 employees on December 31 of the business's payroll year.

History

• Source: Added at 47 Ill. Reg. 155, effective December 22, 2022

56 Ill. Adm. Code 320.840 Application for Certification; Recertification

A business that has employees in multiple locations or facilities in Illinois shall submit a single application to the Department regarding all of the business's operations in Illinois. [820 ILCS 112/11(c)(3)]

a) An application shall include the following:

1. A list of all employees during the payroll year (January 1 through December 31) immediately preceding the application due date, separated by gender, race, and ethnicity categories in a text-searchable, sortable Microsoft Excel file or comma-separated values file format, as well as any other information required by the Department on the application form. For the purposes of this report, wages shall be reported by either the mean hourly wage (for employees paid hourly wages) or annual mean wage (for salaried employees). The business may provide any other information it believes is relevant to explain any pay disparities amongst its employees. [820 ILCS 112/11(c)(1)(A)]

2. An Equal Pay Compliance Statement, signed by a corporate officer, legal counsel employed by the business, or authorized agent employed by the business, that certifies:

A) that the business is in compliance with the Act and other relevant laws, including but not limited to, Title VII of the Civil Rights Act of 1964 (42 U.S.C. 2000e), the Equal Pay Act of 1963 (29 U.S.C. 206(d)), the Illinois Human Rights Act [775 ILCS 5], and the Equal Wage Act [820 ILCS 110];

B) that the average compensation for the business's female and minority employees is not consistently below the average compensation for its male and non-minority employees within each job category for which an employee is expected to perform work, taking into account factors such as length of service, requirements of specific jobs, experience, skill, effort, responsibility, working conditions of the job, education or training, job location, use of a collective bargaining agreement, or other mitigating factors;

C) that the business does not restrict employees of one sex to certain job classifications, and makes retention and promotion decisions without regard to sex. Businesses with positions for which sex is a bona fide occupational qualification, as defined in 29 CFR 1604.2, must provide a list of such positions with a short explanation of why sex is a bona fide occupational qualification for those positions;

D) that wage and benefit disparities are corrected when identified to ensure compliance with the Acts in subsection (a)(3)(A)(i);

E) how often wages and benefits are evaluated; and

F) the approach the business takes in determining what level of wages and benefits to pay its employees; acceptable approaches include, but are not limited to, a wage and salary survey. [820 ILCS 112/11(c)]

b) An application shall be submitted to the Department via the Department's web-based submission portal found on its website at http://labor.illinois.gov.

c) An application must be accompanied by a filing fee of $150, to be paid using the State Treasurer's E-Pay program or any successor program.

d) After receiving an initial Equal Pay Registration Certificate, a business must recertify every two years by submitting to the Department an application, as described in this Subpart, with updated information. The Department will notify the business that recertification is required and will provide the business with a recertification due date at least 180 calendar days before the recertification due date. A business that has fewer than 100 employees on December 31 of the business's payroll year must notify the Department, in writing by the recertification due date, of the number of employees employed by the business on December 31 of the business's payroll year and shall not be required to recertify. [820 ILCS 112/11(c)]

e) If a business discovers that it has provided incorrect or incomplete information in its application, that business shall submit to the Department a revised application with correct or complete information, along with a letter identifying the information that was amended. A business that makes a correction shall not be subject to penalties if the incorrect or incomplete information was provided in good faith and without knowledge that such information was incorrect or incomplete.

History

• Source: Amended at 50 Ill. Reg. 8918, effective June 18, 2026

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 320 Equal Pay in Employment

56 Ill. Adm. Code 320.850 Issuance or Rejection

a) Within 45 calendar days after receipt of an application, the Department will issue to the business an Equal Pay Registration Certificate or a Statement of Rejection stating why the application was rejected.

b) A business has 30 calendar days from the date it receives the Statement of Rejection to cure any deficiencies in its application that led to the rejection and resubmit the revised application to the Department.

History

• Source: Added at 47 Ill. Reg. 155, effective December 22, 2022

56 Ill. Adm. Code 320.860 Appeal

a) A business may appeal a rejected application under Section 11 of the Act. An appeal shall be submitted to the Department in writing within 14 calendar days after a Statement of Rejection is received. Appeals may be submitted via email to DOL.EPRC.APPEAL@illinois.gov, or mailed to: Illinois Department of Labor, ATTN: Con/Med, 524 S. 2nd Street, Suite 400, Springfield, Illinois 62701. The request, if mailed, shall be prominently marked REQUEST FOR EPRC APPEAL on both the letter and the envelope; or, if emailed, shall contain the subject line REQUEST FOR EPRC APPEAL.

b) Within 30 calendar days after receipt of an appeal, the Department will notify the business in writing of the Department's decision on the appeal. If the appeal is granted, the Department will issue the business an Equal Pay Registration Certificate. If the appeal is denied, the Department will provide the business with a notice stating the reason for the denial and a date by which the business must submit an amended application to the Department.

c) If the Department denies the appeal, the business must submit to the Department an application with all identified deficiencies cured. Once that application is received and contains all the information required by this Subpart, the Department will issue the business an Equal Pay Registration Certificate. The business shall be in violation of the Act until all deficiencies in its application are cured and the application is approved by the Department.

History

• Source: Amended at 50 Ill. Reg. 8918, effective June 18, 2026

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 320 Equal Pay in Employment

56 Ill. Adm. Code 320.870 Suspension and Revocation

An Equal Pay Registration Certificate for a business may be suspended or revoked by the Department when a business:

a) fails to make a good faith effort to comply with the Act, Title VII of the Civil Rights Act of 1964 (42 U.S.C. 2000e), the Equal Pay Act of 1963 (29 U.S.C. 206(d)), the Illinois Human Rights Act [775 ILCS 5], the Equal Wage Act [820 ILCS 110], or any other relevant laws.

b) fails to make a good faith effort to comply with Section 11 of the Act; or

c) has two or more violations of Section 11 of the Act or the statutes identified in subsection (a). [820 ILCS 112/11(e)] For purposes of this subsection, a violation means any final and non-appealable adverse judgment or final and non-appealable administrative ruling entered against the business since the most recent submission to the Department under this Act.

d) As used in this Section, “good faith effort” means demonstrable efforts by the business to promote pay equity and combat employment discrimination, including but not limited to, internal compensation reviews, staff training, adoption of equal opportunity policies, and evidence that such policies were enforced through evaluation, investigation, and personnel action.

History

• Source: Added at 47 Ill. Reg. 155, effective December 22, 2022

56 Ill. Adm. Code 320.875 Section 11 Investigations

a) Prior to the suspension or revocation of an Equal Pay Registration Certificate, the Department shall initiate an investigation under Section 11(e) of the Act to determine whether reasonable cause exists to suspend or revoke to Equal Pay Registration Certificate. Such investigations shall be initiated upon the Department's reasonable belief that a business's Equal Pay Registration Certificate may be suspended or revoked for any of the reasons listed in Section 320.870(a) through (c).

b) The Department is authorized to conduct audits, interview workers, administer oaths, take or cause to be taken the depositions of witnesses, and require by subpoena the attendance and testimony of witnesses, and the production of personnel and compensation information, and all books, records, and other evidence relative to the matter under investigation. A subpoena issued under this Section shall be signed and issued by the Director. [820 ILCS 112/11]

c) Within 30 business days after starting the investigation, the Department shall provide the business with a written notice of investigation stating the reason for the investigation under Section 320.870(a) through (c) and identifying the data in the application that merits the investigation. The notice of investigation shall provide the business with an opportunity to respond to the notice and present any information the business wishes the Department to consider in its investigation. The business must submit its response to the Department within 30 business days after receipt of the notice of investigation.

d) If a business refuses to cooperate during the investigation, the Director may either make a finding of reasonable cause and suspend or revoke the business's Equal Pay Registration Certificate or issue subpoenas to compel the attendance of witnesses or the production of documents.

e) The Director may, upon request or in the Director's discretion, withhold any witness statement or the identity of any witness as confidential.

History

• Source: Added at 47 Ill. Reg. 155, effective December 22, 2022

56 Ill. Adm. Code 320.880 Initiation of Hearing

a) A hearing pursuant to Section 11(e) and Section 11(i) of the Act shall be initiated upon the request of a party after the party has received a written decision of notice of suspension or revocation of the certificate or imposition of civil penalties. The request must be made in writing and mailed by certified mail or delivered in person to the Chief Administrative Law Judge at the Illinois Department of Labor, 115 S. LaSalle St., 37th floor, Chicago, Illinois, 60603 within 20 business days after receipt of the written decision of notice of suspension or revocation. The request shall be marked REQUEST FOR HEARING UNDER THE EQUAL PAY ACT on both the letter and the envelope.

b) Hearings pursuant to Section 11(e) and Section 11(i) of the Act shall be conducted pursuant to the provisions of Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 10] and the Department's Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120).

History

• Source: Amended at 50 Ill. Reg. 8918, effective June 18, 2026

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 320 Equal Pay in Employment

56 Ill. Adm. Code 320.890 Employee Request for Data

a) A current employee of a business may request anonymized data regarding that employee's own job classification or title and the pay for that title or classification. [820 ILCS 112/11(h)(3)] A request for data must be submitted in writing to the Department, and shall include the employee's name, date of hire, job title or classification, the dates for which the data is being requested, a signed affidavit swearing that the employee holds the specified job title at that business, and evidence that the employee currently holds the specified job title at that business. Acceptable evidence includes, but is not limited to, pay stubs, work schedules, hire letters, work ID cards, business cards, and company website listings. The Director may require multiple forms of evidence as necessary to demonstrate current employment.

b) Upon request and if in the possession of the Department, the Department shall provide current and historical data from no more than 10 years prior to the date of the request to a requesting employee, based on the data timeframe specified in the request for employees working in the same county as the requestor.

History

• Source: Added at 47 Ill. Reg. 155, effective December 22, 2022

Part 325 Joint Rules of the Department of Labor and Department of Human Rights: Rules on Investigation of Equal Pay Act Cases

56 Ill. Adm. Code 325.10 Purpose

This Part shall apply to actions filed with the Department of Labor on or after January 1, 2015 under the Equal Pay Act of 2003 [820 ILCS 112], if the action also alleges a violation of the Illinois Human Rights Act [775 ILCS 5]. IDOL will refer these actions to IDHR for investigation pursuant to Section 15(d) of the Equal Pay Act of 2003.

56 Ill. Adm. Code 325.20 Definitions

The following definitions shall only apply to this Part.

EPA – the Equal Pay Act of 2003 [820 ILCS 112].

EPA Complaint – an allegation of a violation of the EPA filed with IDOL.

EPA Complainant – a person who files an EPA Complaint or EPA Referred Complaint.

EPA Referred Complaint – an EPA Complaint that is referred to IDHR pursuant to this Part.

EPA Respondent – an employer against whom an EPA Complaint or EPA Referred Complaint has been filed.

IDHR – Illinois Department of Human Rights.

IDHR Charge of Discrimination – a formalized charge of discrimination that satisfies the requirements of IDHR's 56 Ill. Adm. Code 2520.330.

IDOL – Illinois Department of Labor.

IDOL Referral Notice – a Notice from IDOL advising the EPA Complainant and EPA Respondent that:

an EPA Complaint has been received by IDOL and has been referred to IDHR for investigation pursuant to EPA Section 15(d);

IDHR is the State agency responsible for initially investigating the EPA Complaint and that the investigation shall be conducted pursuant to rules and procedures adopted by IDHR;

IDOL retains jurisdiction over the EPA Complaint during IDHR's investigation, but will take no action on the EPA Complaint until IDHR completes its investigation;

IDOL will review IDHR's Investigation Report and any evidence obtained by IDHR and conduct any further investigation, it deems necessary to determine whether a violation of the EPA occurred; and

the EPA Complainant's failure to cooperate with IDHR, including formalizing the IDHR Charge of Discrimination, may result in the dismissal of the EPA Referred Complaint for failure to cooperate.

IHRA − Illinois Human Rights Act [775 ILCS 5].

Party – the EPA Complainant or EPA Respondent.

56 Ill. Adm. Code 325.30 Idol and Idhr Agency Relationship

For the purposes of accepting, investigating and referring EPA Complaints filed with IDOL pursuant to this Part, IDHR shall be the agent of IDOL and IDOL shall be the agent of IDHR.

56 Ill. Adm. Code 325.40 Access to Investigation Records and Files

a) Requests for access to the investigation records and files must be submitted to each respective agency.

b) Any request for a copy of, or to inspect, a closed IDHR investigation record or file must be submitted to IDHR pursuant to either IDHR's 2 Ill. Adm. Code 926.210 or the Freedom of Information Act [5 ILCS 140].

c) Any request for a copy of, or to inspect, a closed IDOL investigative record or file must be submitted, in writing, to IDOL pursuant to the Freedom of Information Act.

56 Ill. Adm. Code 325.100 Criteria for Referral to Idhr

IDOL may refer an EPA Complaint to IDHR pursuant to EPA Section 15(d) if the EPA Complaint meets the following criteria:

a) The EPA Complaint alleges facts that, if proven, would also constitute a violation of the IHRA or if, during the investigation of the EPA Complaint by IDOL, IDOL discovers evidence of a violation of the IHRA;

b) The EPA Complaint was filed with IDOL within 180 days after the alleged violation;

c) The EPA Respondent has 15 or more employees, or is the State, a political subdivision of the State, or a municipal corporation or other governmental unit or agency; and

d) The EPA Complainant has indicated to IDOL a desire to also file an IDHR Charge of Discrimination or the EPA Complainant has already filed an IDHR Charge of Discrimination with IDHR.

56 Ill. Adm. Code 325.110 Intake of the Epa Complaint

a) After receipt of the EPA Complaint, IDOL will review the EPA Complaint and determine whether the criteria for referral to IDHR set forth in Section 325.100 of this Subpart has been satisfied.

b) If IDOL determines that the criteria for referral have not been satisfied, IDOL will process the EPA Complaint pursuant to IDOL's 56 Ill. Adm. Code 320.

c) If IDOL determines that the criteria for referral have been satisfied, IDOL will refer the EPA Complaint to IDHR pursuant to Section 325.120.

56 Ill. Adm. Code 325.120 Referral of the Epa Complaint

a) After determining that the EPA Complaint meets the criteria for referral to IDHR, IDOL will submit a copy of the EPA Complaint, along with any supporting documentation received by IDOL, to IDHR at its Chicago Office.

b) Once the EPA Complaint has been referred to IDHR, IDHR becomes the State agency responsible for initially investigating the EPA Complaint, and the investigation will be conducted pursuant to IDHR rules and procedures.

c) IDOL will retain jurisdiction over the EPA Referred Complaint but will take no action on the EPA Referred Complaint until after IDHR completes its investigation and provides IDOL with its investigation report.

56 Ill. Adm. Code 325.130 Disclosure of the Epa Complainant's Identity

Nothing in 56 Ill. Adm. Code 320 shall be deemed to restrict IDOL from disclosing the identity of the EPA Complainant to IDHR or to require IDHR to keep the EPA Complainant's identity confidential.

56 Ill. Adm. Code 325.140 Epa Complaints Returned by Idhr

If IDHR does not accept the EPA Complaint and returns the EPA Complaint to IDOL pursuant to Section 325.200(c), IDOL will process the EPA Complaint pursuant to 56 Ill. Adm. Code 320.

56 Ill. Adm. Code 325.150 Idhr's Investigation Findings

a) Upon receipt of IDHR's investigation report, IDOL will review that report and any evidence obtained by IDHR to determine whether a violation of the EPA has occurred.

b) If IDOL determines that further investigation of the EPA Complaint is warranted, IDOL will conduct any further investigation it deems necessary.

c) If, after reviewing IDHR's investigation report and any other evidence obtained by IDHR or IDOL, IDOL determines that a violation of the EPA has occurred, IDOL will issue a reasonable cause determination pursuant to 56 Ill. Adm. Code 320.330(a)(1).

d) If, after reviewing IDHR's investigation report and any other evidence obtained by IDHR or IDOL, IDOL determines that there is insufficient evidence that a violation of the EPA occurred, IDOL will issue a no reasonable cause determination pursuant to 56 Ill. Adm. Code 320.330(a)(2).

e) In determining whether a violation of the EPA has occurred, IDOL is not bound by any findings of fact or law made by IDHR in its final determination of the IDHR Charge of Discrimination.

f) Neither IDHR nor the Illinois Human Rights Commission shall have the authority to review IDOL's findings as to the EPA Complaint.

56 Ill. Adm. Code 325.160 Withdrawal of the Idhr Charge of Discrimination

a) If an EPA Complainant withdraws the IDHR Charge of Discrimination prior to IDOL issuing a final determination as to the EPA Complaint, withdrawal of the IDHR Charge of Discrimination will also constitute a withdrawal of the EPA Complaint and IDOL will close the EPA Complaint.

b) IDOL will notify all parties in writing of the closure of the EPA Complaint after receipt of a notice of withdrawal from IDHR.

c) The closure of an EPA Complaint pursuant to this Subpart does not preclude IDOL from pursuing a complaint on its own motion based on the same facts.

56 Ill. Adm. Code 325.170 Settlement

a) If the parties settle the IDHR Charge of Discrimination prior to IDOL issuing a final determination, settlement of the IDHR Charge of Discrimination will also constitute a settlement of the EPA Complaint, and IDOL will close the EPA Complaint after receipt of a notice of the settlement from IDHR.

b) The closure of an EPA Complaint pursuant to this Section does not affect the processing of complaints alleging similar violations of the EPA made by other complainants.

56 Ill. Adm. Code 325.200 Receipt of an Epa Referred Complaint

a) Upon receipt of the EPA Referred Complaint from IDOL, IDHR will docket the EPA Complaint as an unperfected charge of discrimination pursuant to IDHR's 56 Ill. Adm. Code 2520.350. The filing date for the unperfected charge shall relate back to the filing date of the EPA Complaint with IDOL.

b) After receipt of the EPA Referred Complaint from IDOL, IDHR will review the EPA Complaint and determine whether the criteria for referral to IDHR set forth in Section 325.100 have been satisfied.

c) If IDHR determines that the criteria for referral to IDHR have not been satisfied, IDHR will return the EPA Referred Complaint to IDOL and administratively close IDHR's case.

d) If IDHR determines that the criteria for referral to IDHR have been satisfied, IDHR will accept the EPA Referred Complaint.

56 Ill. Adm. Code 325.210 Idhr's Acceptance of the Epa Referred Complaint

a) After IDHR accepts the EPA Referred Complaint from IDOL, IDHR will formalize an IDHR Charge of Discrimination for the EPA Complainant to sign and notarize, pursuant to IDHR's 56 Ill. Adm. Code 2520.330.

b) If the EPA Complainant fails to sign and notarize the IDHR Charge of Discrimination or otherwise cooperate with IDHR, IDHR may dismiss the charge for the EPA Complainant's failure to cooperate.

c) Dismissal of the IDHR Charge of Discrimination for the EPA Complainant's failure to cooperate will also constitute a dismissal of the EPA Complaint.

56 Ill. Adm. Code 325.220 Notice of Referral

a) After receipt of the formalized IDHR Charge of Discrimination, IDHR will notify the parties and IDOL of the filing of the EPA Referred Complaint and the IDHR Charge of Discrimination.

b) IDHR's Notice of Charge of Discrimination will include an IDOL Referral Notice from IDOL.

56 Ill. Adm. Code 325.230 Duplicate Idhr Charges of Discrimination

a) If, prior to docketing the EPA Complaint, IDHR discovers that the EPA Complainant has already filed an IDHR Charge of Discrimination with IDHR alleging the same or similar facts as alleged in the EPA Complaint, IDHR will consolidate the EPA Complaint with the existing IDHR Charge of Discrimination and issue a notice to the parties pursuant to Section 325.220.

b) If, after docketing the EPA Complaint, IDHR discovers that the EPA Complainant has filed an IDHR Charge of Discrimination separately with IDHR alleging the same or similar facts as alleged in the EPA Complaint, IDHR will administratively close the newly docketed IDHR Charge of Discrimination, consolidate the EPA Complaint with the existing IDHR Charge of Discrimination, and issue a notice to the parties pursuant to Section 325.220.

56 Ill. Adm. Code 325.240 Idhr Investigation

a) IDHR will conduct its investigation pursuant to IHRA Sections 7A-102(A) and (B) through (G) and its 56 Ill. Adm. Code 2520.

b) IDHR will determine whether there is substantial evidence of a violation of the IHRA as to the IDHR Charge of Discrimination. IDHR's findings will be processed according to IHRA Sections 7A-102(D) through (G). IDHR's findings as to the IDHR Charge of Discrimination are not a finding on the EPA Complaint and shall not preclude IDOL from rendering any findings of fact or law it deems appropriate on the EPA Complaint under the EPA.

c) At least 10 calendar days prior to issuance of IDHR's investigation report to the parties, IDHR will provide a copy of the report to IDOL. IDOL may review IDHR's investigation file and any other evidence obtained by IDHR or IDOL to assist IDOL in making its determination under the EPA.

d) IDOL shall not have the authority to review IDHR's findings as to the IDHR Charge of Discrimination.

56 Ill. Adm. Code 325.250 Withdrawal of the Idhr Charge of Discrimination

a) An EPA Complainant may withdraw the IDHR Charge of Discrimination. In order to withdraw the IDHR Charge of Discrimination, the EPA Complainant must submit a signed withdrawal form identifying the parties' names and IDHR's charge number. The withdrawal form will notify the parties that withdrawal of the IDHR Charge of Discrimination will also serve as a withdrawal of the EPA Complaint, unless the IDOL has already issued its determination.

b) Upon receiving a properly submitted withdrawal form, IDHR will administratively close the IDHR Charge of Discrimination pursuant to 56 Ill. Adm. Code 2520.550 and provide notice of the withdrawal to IDOL.

c) Withdrawal of the IDHR Charge of Discrimination by the EPA Complainant will also serve as a withdrawal of the EPA Complaint, unless IDOL has already issued its determination.

56 Ill. Adm. Code 325.260 Settlement

a) The parties may settle the IDHR Charge of Discrimination prior to IDHR issuing a final determination or prior to the filing of a complaint with the Illinois Human Rights Commission after a finding of substantial evidence.

b) If the parties settle the IDHR Charge of Discrimination prior to IDHR issuing a final determination, IDOL will close the EPA Complaint and provide notice of the settlement to IDOL.

Part 330 Use of Illinois Resident Labor

56 Ill. Adm. Code 330.100 Purpose and Scope

It is the purpose of Article 80 of the FY2010 Budget Implementation (capital) Act (PA 96-37) and this Part to ensure that at least 50% of the total labor hours on State construction projects funded by capital infrastructure appropriations enacted by the 96th General Assembly are performed by actual residents of the State of Illinois.

56 Ill. Adm. Code 330.110 Definitions

"Act" means the FY2010 Budget Implementation (Capital) Act (PA 96-37).

"Actual Residents of the State of Illinois" means persons domiciled in the State of Illinois. [20 ILCS 605/605-390]

"Awarding Agencies" means the Department of Commerce and Economic Opportunity, the Department of Natural Resources, the Department of Transportation, the Capital Development Board and the Environmental Protection Agency.

"Domiciled" means the place where an individual has his/her permanent home or principle establishment to where, whenever he/she is absent, he/she has the intention of returning.

"State Construction Project" means a construction project that is funded in whole or in part by capital infrastructure appropriations enacted by the 96th General Assembly.

"Resident Labor Requirement" means that, on State construction projects, at least 50% of the total labor hours must be performed by actual residents of the State of Illinois.

56 Ill. Adm. Code 330.120 Application of the Act

To the extent permitted by any applicable federal law or regulation, any State construction project commenced on or after July 13, 2009 is covered under the Act.

56 Ill. Adm. Code 330.200 Enforcement

a) For all State construction projects, it shall be the duty of the awarding agencies to include a provision in the contract, grant or other agreement between the parties requiring at least 50% of the labor hours to be performed by actual residents of the State of Illinois.

b) The awarding agencies shall diligently monitor and enforce the resident labor requirements for all State construction projects. All awardees/grantees shall collect documentation from project contractors reflecting the state of residence for each individual performing labor on a State construction project and the number of hours each individual has worked on the project. All awardees/grantees shall maintain these records for a period of 3 years (as directed by Section 20-65 of the Illinois Procurement Code [30 ILCS 500/20-65], for example) or as required by any governing grant or State or federal funding source, following the completion of the project. The awardee/grantee shall make these records available to the awarding agency upon request.

c) Complaints concerning violations of the Act shall be filed with the awarding agencies.

d) The requirement that a contractor comply with the Act's 50% resident labor hours provision shall be provided for in the contract, grant or other agreement between the parties.

Part 350 Health and Safety

56 Ill. Adm. Code 350.10 Definitions

The definitions and interpretations contained in Section 5 of the Occupational Safety and Health Act shall apply when those terms are used in this Part.

Act − the Occupational Safety and Health Act [820 ILCS 219].

Administrative Law Judge or ALJ - an attorney licensed to practice law in the State of Illinois who has been designated by the Director to conduct any hearings governed by this Part, 56 Ill. Adm. Code 120 (Rule of Procedure in Administrative Hearings), and Section 100 of the Act.

Authorized Employee Representative – any person authorized by the employees to represent their interests in collective bargaining and other labor relations matters.

Department or IDOL – the Illinois Department of Labor.

Director – the Director of the Illinois Department of Labor.

Division or Illinois OSHA – the Division of Occupational Safety and Health within the Illinois Department of Labor. The Illinois OSHA name will be used in all marketing and outreach efforts.

Division Manager − the employee regularly or temporarily in charge of the Division of Occupational Safety and Health within the Illinois Department of Labor, or any other person or persons who are authorized to act for that employee on a case-by-case basis.

Employee – means every person in the service of any of the following entities, regardless of whether the service is by virtue of election, by appointment or contract, or by hire, and regardless of whether the relationship is express or implied or established orally or in writing:

the State, including members of the General Assembly, members of the Commerce Commission, members of the Workers' Compensation Commission and any person in the service of a public university or college in Illinois;

an Illinois county, including deputy sheriffs and assistant state's attorneys; or

an Illinois city, township, village, incorporated town or school district, body politic, or other municipal corporation.

Public Employer or Employer – the State of Illinois or any political subdivisions of the State. [820 ILCS 219/5]

Enforcement Inspector or Inspector − a person authorized by the Division of Occupational Safety and Health within the Illinois Department of Labor, to conduct inspections.

Inspection − any inspection of an employer's establishment or other area, workplace or environment where work is performed by an employee of an employer, and includes any inspection conducted pursuant to a complaint filed under Section 350.120(a) and (c), any re-inspection, follow-up inspection, accident investigation or other inspection conducted under Section 65 of the Act.

Regional Enforcement Manager or REM – a person authorized, by the Division of Occupational Safety and Health within the Illinois Department of Labor to manage the day-to-day operations of Enforcement Inspectors.

Working Days − Mondays through Fridays, but not including State holidays. In computing 15 working days, the day of receipt of any notice shall not be included, and the last day of the 15 working days shall be included.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.20 Purpose and Scope

The Act requires, in part, that all public employers covered under the Act furnish to their employees employment and a place of employment that are free from recognized hazards that are causing or are likely to cause death or serious physical harm to the employees. The Act also requires that public employers comply with occupational safety and health standards promulgated under the Act, and that public employees comply with standards, rules, regulations and orders issued under the Act that are applicable to their own actions and conduct. The Act authorizes Illinois OSHA to conduct inspections and to issue citations and proposed penalties for alleged violations. The Act also contains provisions for adjudication of violations, periods prescribed for the abatement of violations, and proposed penalties, if contested by an employer or by an employee or authorized representative of employees, and for judicial review. The purpose of this Subpart A is to prescribe rules and regulations and to set forth general policies for dealing with the inspection of an employer's establishment, enforcement of the inspection, citation, and proposed penalty provisions of the Act.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.30 Posting of Notice; Availability of the Act, Regulations and Applicable Standards

a) Job Safety and Health Poster. Each employer shall post and keep posted a notice or notices, to be furnished by Illinois OSHA, informing employees of the protections and obligations provided for in the Act, and that, for assistance and information, including copies of the Act and of specific safety and health standards, employees should contact the employer or Illinois OSHA. The notice or notices shall be posted by the employer in each establishment (see subsection (b)) in a conspicuous place or places where notices to employees are customarily posted. Each employer shall take steps to ensure that the notices are not altered, defaced or covered by other material.

b) Establishment means a single physical location where business is conducted or where services or operations are performed. (For example: An office, warehouse or central administrative office.) When distinctly separate activities are performed at a single physical location, each activity shall be treated as a separate physical establishment, and a separate notice or notices shall be posted in each establishment, to the extent that the notices have been made available by the Illinois OSHA. When employers are engaged in activities that are physically dispersed, such as construction, transportation, and electric, gas and sanitary services, the notice or notices required by this Section shall be posted at the location to which employees report each day. When employees do not usually work at, or report to, a single establishment (such as technicians, engineers, etc.), the notice or notices shall be posted at the location from which the employees operate to carry out their activities. In all cases, the notice or notices shall be posted in accordance with the requirements of subsection (a).

c) Copies of the Act, all regulations published in this Chapter, and all applicable standards will be available at all Illinois OSHA offices and on the Division's website at OSHA.illinois.gov. If an employer has obtained copies of these materials, the employer shall make them available upon request to any employee or the employee's authorized representative for review in the establishment where the employee is employed on the same day the request is made, or at the earliest time mutually convenient to the employee or their authorized representative and the employer.

d) Any employer failing to comply with the provisions of this Section shall be subject to citation and penalty in accordance with the provisions of Sections 80 and 85 of the Act.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.40 Authority for Inspection

a) Enforcement Inspectors are authorized to enter without delay and at reasonable times any establishment, construction site, or other area, workplace or environment where work is performed by an employee of a public employer; to inspect and investigate during regular working hours and at other reasonable times, and within reasonable limits and in a reasonable manner, any such place of employment, and all pertinent conditions, structures, machines, apparatus, devices, equipment and materials in the place of employment; to question privately any employer, owner, operator, agent or employee; and to review records required by the Act, regulations and other records that are directly related to the purpose of the inspection.

b) Prior to inspecting areas containing information deemed classified by a State agency in the interest of national and/or State security, Inspectors shall have obtained the appropriate security clearance.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.50 Objection to Inspection

a) Upon a refusal to permit the Enforcement Inspector, in exercise of their official duties, to enter without delay and at reasonable times any place of employment or any area within the place of employment to inspect, to review records, or to question any employer, owner, operator, agent or employee in accordance with Section 350.40, or upon a refusal to permit a representative of employees to accompany the Inspector during the physical inspection of any workplace, in accordance with Section 350.90, the Inspector shall terminate the inspection or confine the inspection to other areas, conditions, structures, machines, apparatus, devices, equipment, materials, records or interviews concerning which no objection is raised. The Inspector shall endeavor to ascertain the reason for the refusal and shall immediately report the refusal and the reason for the refusal to the Regional Enforcement Manager. The REM shall consult with the Division Manager and Chief Legal Counsel, who shall take appropriate action, including compulsory process, if necessary.

b) Compulsory process shall be sought in advance of an attempted inspection or investigation if, in the judgment of the Division Manager and Chief Legal Counsel, circumstances exist that make the pre-inspection process desirable or necessary. Some examples of circumstances in which it may be desirable or necessary to seek compulsory process in advance of an attempt to inspect or investigate include, but are not limited to:

1. When the employer's past practice either implicitly or explicitly puts the Director on notice that a warrantless inspection will not be allowed;

2. When an inspection is scheduled far from the local office and procuring a warrant prior to leaving to conduct the inspection would avoid, in case of refusal of entry, the expenditure of significant time and resources to return to the office, obtain a warrant and return to the worksite;

3. When an inspection includes the use of special equipment or when the presence of an expert or experts is needed in order to properly conduct the inspection, and procuring a warrant prior to an attempt to inspect would alleviate the difficulties or costs encountered in coordinating the availability of the equipment or expert.

c) With the approval of the Division Manager and Chief Legal Counsel, compulsory process may also be obtained by the REM or the REM's.

d) For purposes of this Section, the term compulsory process shall mean the institution of any appropriate action, including ex parte application for an inspection warrant or its equivalent. Ex parte inspection warrants shall be the preferred form of compulsory process in all circumstances in which compulsory process is relied upon to seek entry to a workplace under this Section.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.60 Entry Not a Waiver

Any permission to enter, inspect, review records, or question any person shall not imply or be conditioned upon a waiver of any cause of action, citation or penalty under the Act. Enforcement Inspectors are not authorized to grant a waiver.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.70 Advance Notice of Inspections

a) Advance notice of inspections may not be given, except in the following situations:

1. In cases of apparent imminent danger, to enable the employer to abate the danger as quickly as possible;

2. In circumstances in which the inspection can most effectively be conducted after regular business hours or when special preparations are necessary for an inspection;

3. When necessary to assure the presence of representatives of the employer and employees or the appropriate personnel needed to aid in the inspection and in other circumstances in which the Division Manager determines that the giving of advance notice would enhance the probability of an effective and thorough inspection.

b) In the situations described in subsection (a), advance notice of inspections may be given only if authorized by the Division Manager, except that, in cases of apparent imminent danger, advance notice may be given by the Enforcement Inspector without such authorization if the Division Manager or Regional Enforcement Manager is not immediately available. When advance notice is given, it shall be the employer's responsibility to promptly notify the authorized representative of employees of the inspection, if the identity of the representative is known to the employer. Upon the request of the employer, the Inspector will inform the authorized representative of employees of the inspection, provided that the employer furnishes the Inspector with the identity of the representative and with other information as is necessary to enable the Inspector to promptly inform the representative of the inspection. An employer who fails to comply with their obligation to promptly inform the authorized representative of employees of the inspection, or to furnish information necessary to enable the Inspector to promptly inform the representative of the inspection, may be subject to citation and penalty. Advance notice in any of the situations described in subsection (a) shall not be given more than 24 hours before the inspection is scheduled to be conducted, except in apparent, imminently dangerous situations and in other unusual circumstances.

c) Section 120 of the Act provides that any person who gives advance notice of any inspection to be conducted under the Act, without authority from the Director or their designees, shall have committed a Class B misdemeanor and shall be subject to all repercussions, if convicted.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.80 Conduct of Inspections

a) Subject to Section 350.40, inspections shall take place at such times and in such places of employment as the Division Manager, Regional Enforcement Manager or the Inspector may direct. At the beginning of an inspection, Inspectors shall present their credentials to the owner, operator or agent in charge at the establishment; explain the nature and purpose of the inspection; and indicate generally the scope of the inspection and the records they wish to review. However, the designation of records shall not preclude access to additional records specified in Section 350.40.

b) Inspectors shall have authority to take environmental samples and to take or obtain photographs related to the purpose of the inspection, employ other reasonable investigative techniques, and question privately any employer, owner, operator, agent or employee of an establishment. (See Section 350.100, Trade Secrets.) As used in this subsection, "employ other reasonable investigative techniques" includes, but is not limited to, the use of devices to measure employee exposures and the attachment of personal sampling equipment such as dosimeters, pumps, badges and other similar devices by employees in order to monitor their exposures.

c) In taking photographs and samples, Inspectors shall take reasonable precautions to ensure that actions with flash, spark-producing or other equipment would not be hazardous. Inspectors shall comply with all employer safety and health rules and practices at the establishment being inspected, and shall wear and use appropriate protective clothing and equipment.

d) Inspections shall be conducted in a manner that avoids unreasonable disruption of the operations of the employer's establishment.

e) At the conclusion of an inspection, the Inspector shall confer with the employer or the employer's representative and informally advise the employer of any apparent safety or health violations disclosed by the inspection. During the conference, the employer shall be afforded an opportunity to bring to the attention of the Inspector any pertinent information regarding conditions in the workplace.

f) Inspections shall be conducted in accordance with this Part.

g) If needed in order to make a proper inspection, the Inspector may initiate the process to compel attendance and testimony of witnesses and the production of evidence under oath under the Director's authority.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.90 Representatives of Employers and Employees

a) Enforcement Inspectors shall be in charge of inspections and questioning of persons. A representative of the employer and a representative authorized by the employees shall be given an opportunity to accompany the Inspector during the physical inspection of any workplace for the purpose of aiding the inspection. Inspectors may permit additional employer representatives and additional representatives authorized by employees to accompany them when they determine that additional representatives will further aid the inspection. A different employer and employee representative may accompany the Inspector during each different phase of an inspection if this will not interfere with the conduct of the inspection.

b) Inspectors shall have authority to resolve all disputes concerning the identity of the representative authorized by the employer and employees for the purpose of this Section. If there is no authorized representative of employees, or if the Inspector is unable to determine with reasonable certainty who is the representative, the Inspector shall consult with a reasonable number of employees concerning matters of safety and health in the workplace.

c) The representative or representatives authorized by employees may be an employee of the employer or a third party. When the representative or representatives authorized by employees are not employees of the employer, they may accompany the Inspector during the inspection if, in the judgment of the Inspector, good cause has been shown why accompaniment by a third party is reasonably necessary to conduct an effective and thorough physical inspection of the workplace (including, but not limited to, the third party's relevant knowledge, skills, or experience with hazards or conditions in the workplace or similar workplaces, or language or communication skills).

d) Inspectors are authorized to deny the right of accompaniment under this Section to any person whose conduct interferes with a fair and orderly inspection. The right of accompaniment in areas containing trade secrets shall be subject to the provisions of Section 350.100. With regard to information classified by an agency of State government in the interest of homeland security, only persons authorized to have access to the information may accompany an Inspector in areas containing the information.

History

• Source: Amended at 48 Ill. Reg. 14714, effective September 28, 2024

56 Ill. Adm. Code 350.100 Trade Secrets

a) All information reported to or otherwise obtained by the Director of Labor or the Director's representative in connection with any inspection or proceeding under the Act or any standard, rule, regulation, or order adopted or issued under the Act which contains or might reveal a trade secret shall be considered confidential, except that such information may be disclosed confidentially to other officers or employees concerned with carrying out the Act or when relevant to any proceeding under the Act . In any such proceeding, the Director or the court shall issue such orders as may be appropriate, including the impoundment of files, or portions of files, to protect the confidentiality of trade secrets. (Sec. 125 of the Act)

b) A person who discloses a trade secret in violation of Section 125 of the Act and this Section commits a Class B misdemeanor. (Sec. 125 of the Act)

c) At the commencement of an inspection, the employer may identify areas in the establishment that contain or might reveal a trade secret. If the Enforcement Inspector has no clear reason to question the identification, information obtained in those areas, including all negatives and prints of photographs and environmental samples, shall be labeled "Confidential − Trade Secret" and shall not be disclosed.

d) Upon the request of an employer, any authorized representative of employees in an area containing trade secrets shall be an employee in that area or an employee authorized by the employer to enter that area. When there is no such representative or employee, the Inspector shall consult with a reasonable number of employees who work in that area concerning matters of safety and health.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.110 Consultation with Employees

Enforcement Inspectors may consult with employees concerning matters of occupational safety and health to the extent they deem necessary for the conduct of an effective and thorough inspection. During the course of an inspection, any employee shall be afforded an opportunity to bring any violation of the Act that the employee has reason to believe exists in the workplace to the attention of the Inspector.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.120 Complaints by Employees

a) Any employee or representative of employees who believes that a violation of the Act exists in any workplace where the employee is employed may request an inspection of the workplace by giving notice of the alleged violation to the Division Manager, Regional Enforcement Manager or to an Enforcement Inspector. Notice shall be in writing, shall set forth with reasonable particularity the grounds for the notice, and shall be signed by the employee or representative of employees. A copy shall be provided to the employer or the employer's agent by the Inspector no later than at the time of inspection, except that, upon the request of the person giving the notice, that person's name and the names of individual employees referred to in the notice shall not appear in the copy or on any record published, released or made available by Illinois OSHA.

b) If, upon receipt of the notification required by subsection (a), the REM determines that the complaint meets the requirements set forth in subsection (a) and that there are reasonable grounds to believe that the alleged violation exists, the REM shall cause an inspection to be made as soon as practicable to determine if the alleged violation exists. Inspections under this Section shall not be limited to matters referred to in the complaint.

c) Prior to or during any inspection of a workplace, any employee or representative of employees employed in the workplace may notify the Inspector, in writing, of any violation of the Act that the employee or representative has reason to believe exists in the workplace. The notice shall comply with the requirements of subsection (a).

d) A person may not discharge or in any way discriminate against an employee because the employee has:

1. filed a complaint or instituted or caused to be instituted any proceeding under the Act;

2. testified or is about to testify in any such proceeding under the Act; or

3. exercised on their own behalf or on behalf of another person, any right afforded by the Act. (Sec. 110 of the Act)

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.125 Discrimination Prohibited Against Employees

a) Basic Requirement

Section 110 of the Act provides in general that no person shall discharge or in any manner discriminate against any employee because the employee has:

1. Filed any complaint under the Act or related to the Act;

2. Instituted or caused to be instituted any proceeding under the Act or related to the Act;

3. Testified or is about to testify in any proceeding under the Act or related to the Act; or

4. Exercised on the employee's own behalf or on behalf of another any right afforded by the Act.

b) Any employee who believes that they have has been discriminated against in violation of Section 110 may, within 30 calendar days after the violation occurs, lodge a written complaint with the Division alleging the violation.

c) The Division shall then cause appropriate investigation to be made. If, as a result of the investigation, it is determined that the provisions of Section 110 have been violated, civil action may be instituted in any appropriate court to restrain violations of Section 110 and to obtain appropriate relief, including rehiring or reinstatement of the employee to their former position with back pay.

d) Section 110 of the Act further provides for notification of complainants by the Division of determinations made pursuant to their complaints.

e) Section 110 does not limit the actions to employers against employees. A person may be chargeable with discriminatory action against an employee of another person. It would extend to such entities as organizations representing employees for collective bargaining purposes or any other person in a position to discriminate against an employee.

f) All public employees are afforded the full protection of Section 110. The Act does not define the term "employ"; however, the broad remedial nature of the Act demonstrates a clear intent that the existence of an employment relationship is to be based upon economic realities rather than upon common law doctrines and concepts.

g) Actions taken by an employer, or others, that adversely affect an employee may be predicated upon non-discriminatory grounds. The proscriptions of Section 110 apply when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in activities protected by the Act does not automatically render that employee immune from discharge or discipline for legitimate reasons, or from adverse action dictated by non-prohibited considerations.

h) At the same time, to establish a violation of Section 110, the employee's engagement in a protected activity need not be the sole consideration behind discharge or other adverse action. If a protected activity was a substantial reason for the action, or if the discharge or other adverse action would not have taken place but for engagement in a protected activity, Section 110 has been violated. Ultimately, the issue as to whether a discharge was because of a protected activity will have to be determined on the basis of the facts in the particular case.

i) Complaints Under or Related to the Act

1. Discharge or discrimination against an employee because the employee has filed any complaint under or related to the Act] is prohibited by Section 110. (Sec. 110(a) of the Act) An example of a complaint made under the Act would be an employee request for inspection pursuant to Section 70 of the Act. However, this would not be the only type of complaint protected by Section 110.

2. The salutary principles of the Act would be seriously undermined if employees were discouraged from lodging complaints about occupational safety and health matters with their employers. These complaints to employers, if made in good faith, therefore would be related to the Acts, and an employee would be protected against discharge or discrimination caused by a complaint to the employer.

j) Proceedings Under or Related to the Act

1. Discharge or discrimination against an employee because the employee has instituted or caused to be instituted any proceeding under the Act is also prohibited by Section 110. (Sec. 110(a) of the Act) Examples of proceedings that could arise specifically under the Act include inspection of worksites under Section 65 of the Act, employee contest of abatement date under Section 95 of the Act, employee initiation of proceeding for promulgation of an occupational safety and health standard under Section 25 of the Act, and employee application for modification or revocation of a variance under Section 50 of the Act.

2. An employee need not directly institute the proceedings to be protected by the anti-discrimination provisions of this Section. It is sufficient if the employee sets into motion activities of others that result in proceedings under or related to the Act.

k) Testimony

1. Discharge or discrimination against an employee because the employee has testified or is about to testify in any proceedings under or related to the Act is also prohibited under Section 110. (Sec. 110(a) of the Act) This protection would not be limited to testimony in proceedings instituted or caused to be instituted by the employee, but would extend to any statements given in the course of judicial, quasi-judicial and administrative proceedings, including inspections, investigations and administrative rulemaking or adjudicative functions.

2. If the employee is giving or is about to give testimony in any proceeding under or related to the Act, the employee is protected against discrimination resulting from that testimony.

l) Exercise of Any Right Afforded by the Act

1. Section 110 also protects employees from discrimination occurring because of the exercise of any right afforded by the Act. Certain rights are explicitly provided in the Act; for example, there is a right to participate as a party in enforcement proceedings. Certain other rights exist by necessary implication. For example, employees may request information from the Division; these requests would constitute the exercise of a right afforded by the Act. Likewise, employees interviewed by agents of the Department in the course of inspections or investigations could not be subsequently discriminated against because of their cooperation.

2. As a general matter, there is no right afforded by the Act that entitles employees to walk off the job because of potential unsafe conditions at the workplace, because hazardous conditions that may be a violation of the Act will ordinarily be corrected by the employer, once brought to their attention. Under these circumstances, an employer would not ordinarily be in violation of Section 110 by taking action to discipline an employee for refusing to perform normal job activities because of alleged safety or health hazards. Notwithstanding the above, if corrections are not accomplished, or if there is dispute about the existence of a hazard, the employee will normally have the opportunity to request inspection of the workplace. In no circumstance shall an employee be subject to discipline solely because the employee files, or plans to file, a complaint with Illinois OSHA.

3. An employee may be confronted with a choice between performing assigned tasks or risking serious injury or death arising from a hazardous condition in the workplace. If the employee, with no reasonable alternative, refuses in good faith to be exposed to the dangerous condition, the employee would be protected against subsequent discrimination. The condition causing the employee's apprehension of death or injury must be of such a nature that a reasonable person, under the circumstances then confronting the employee, would conclude that there is a real danger of death or serious injury and that there is insufficient time, due to the urgency of the situation, to eliminate the danger through resort to regular statutory enforcement channels. In addition, in such circumstances, the employee, when possible, must also have sought from the employer, and been unable to obtain, a correction of the dangerous condition.

m) Filing of a Discrimination Complaint

1. A complaint of Section 110 discrimination may be filed by the employee or by an authorized representative of the employee.

A) Nature of Filing. The complaint must be received in a verbal or written form by the employee or authorized representative of the employee.

B) Place of Filing. A complaint should be filed with Illinois OSHA .

C) Time for Filing. Section 110 provides that an employee who believes that discrimination has occurred may, within 30 calendar days after the violation occurs, file a complaint with Illinois OSHA. (Sec. 110(b) of the Act)

D) Circumstances that would justify tolling of the 30-calendar-day period on recognized equitable principles or because of strongly extenuating circumstances include, but are not limited to, e.g., when the employer has concealed the nature of, or misled the employee regarding the grounds for, discharge or other adverse action; or when the discrimination is in the nature of a continuing violation. The pendency of grievance-arbitration proceedings or filing with another agency, among others, are circumstances that do not justify tolling the 30-calendar-day period. In the absence of circumstances justifying tolling of the 30-calendar-day period, untimely complaints will not be processed.

n) Notification of the Division's Determination. The complainant shall be notified of the Division's determination in a timely manner.

o) Withdrawal of Complaint. Attempts by an employee to withdraw a previously filed complaint will not necessarily result in termination of the investigation. The Division's jurisdiction cannot be foreclosed as a matter of law by unilateral action of the employee. However, a voluntary and uncoerced request from a complainant to withdraw the complaint will be given careful consideration and substantial weight as a matter of policy and sound enforcement procedure.

p) Arbitration or Other Agency Proceedings. The Division's jurisdiction to entertain Section 110 complaints, to investigate, and to determine whether discrimination has occurred is independent of the jurisdiction of other agencies or bodies. Due deference may be paid to the jurisdiction of other forums established to resolve disputes that may also be related to Section 110 complaints. Postponement of the Division's determination, and deferral to the results of the proceedings of another jurisdiction, may be warranted.

1. Postponement of Determination. Postponement of determination would be justified when the rights asserted in other proceedings are substantially the same as rights under Section 110, and those proceedings are not likely to violate the rights guaranteed under Section 110. The factual issues in such proceedings must be substantially the same as those raised by the Section 110 complaint, and the forum hearing the matter must have the power to determine the ultimate issue of discrimination.

2. Deferral to Outcome of Other Proceedings. A determination to defer to the outcome of other proceedings initiated by a complainant must necessarily be made on a case-by-case basis, after careful scrutiny of all available information. Before deferring to the results of other proceedings, it must be clear that those proceedings dealt adequately with all factual issues, that the proceedings were fair, regular and free of procedural infirmities, and that the outcome of the proceedings was not repugnant to the purpose and policy of the Act. In this regard, if the other actions initiated by a complainant are dismissed without adjudicatory hearing, that dismissal will not ordinarily be regarded as determinative of the Section 110 complaint.

q) Employee Refusal to Comply with Safety Rules. Employees who refuse to comply with occupational safety and health standards or valid safety rules implemented by the employer in furtherance of the Act are not exercising any rights afforded by the Act. Disciplinary measures taken by an employer solely in response to an employee's refusal to comply with appropriate safety rules and regulations will not ordinarily be regarded as discriminatory action prohibited by Section 110. This situation should be distinguished from refusals to work as discussed in subsection (l).

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.130 Inspection Not Warranted; Informal Review

a) If the Regional Enforcement Manager determines that an inspection is not warranted because there are no reasonable grounds to believe that a violation or danger exists with respect to a complaint under Section 350.120, the REM shall notify the complaining party in writing of that determination. The complaining party may obtain review of the determination by submitting a written statement of position to the Division Manager and, at the same time, providing the employer with a copy of the statement by certified mail. The employer may submit an opposing written statement of position with the Division Manager and, at the same time, provide the complaining party with a copy of such statement by certified mail. Upon the request of the complaining party or the employer, the Division Manager has discretion to hold an informal conference in which the complaining party and the employer may orally present their views. After considering all written and oral views presented, the Division Manager shall affirm, modify or reverse the determination of the REM and furnish the complaining party and the employer written notification of this decision and the reasons for the decision. The decision of the Division Manager shall be final and not subject to further review.

b) If the REM determines that an inspection is not warranted because the requirements of Section 350.120(a) have not been met, the REM shall notify the complaining party in writing of that determination. The determination shall be without prejudice to the filing of a new complaint meeting the requirements of Section 350.120(a).

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.140 Imminent Danger

Whenever, and as soon as, an Enforcement Inspector concludes on the basis of an inspection that conditions or practices exist in any place of employment that could reasonably be expected to immediately cause death or serious physical harm or before the imminence of the danger can be eliminated through the enforcement procedures otherwise provided by the Act, the Inspector shall inform the affected employees and employers of the danger and inform them that the Inspector is recommending a civil action to restrain the conditions or practices and for other appropriate relief in accordance with the provisions of Section 115 of the Act. Appropriate citations and notices of proposed penalties may be issued with respect to an imminent danger even though, after being informed of the danger by the Inspector, the employer immediately eliminates the imminence of the danger and initiates steps to abate the danger.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.150 Citations; Policy Regarding Employee Rescue Activities

a) The Regional Enforcement Manager, on behalf of the Division Manager, shall review the inspection report of the Enforcement Inspector. If, on the basis of the report, the REM believes that the employer has violated a requirement of Section 20 of the Act, of any standard, rule or order promulgated pursuant to Section 20 of the Act, or of this Chapter, the REM shall, if appropriate, consult with the Chief Legal Counsel and issue to the employer a citation on behalf of the Division Manager. An appropriate citation shall be issued even if, after being informed of an alleged violation by the Inspector, the employer immediately abates, or initiates steps to abate, the alleged violation. Any citation shall be issued with reasonable promptness after completion or termination of the inspection. No citation may be issued under this Section after the expiration of 6 months following the occurrence of any alleged violation.

b) Any citation shall describe with particularity the nature of the alleged violation, including a reference to the provisions of the Act, standard, rule, regulation or order alleged to have been violated. Any citation shall also fix a reasonable time or times for the abatement of the alleged violation.

c) If a citation is issued for a violation alleged in a request for inspection under Section 350.120(a) or a notification of violation under Section 350.120(c), a copy of the citation shall also be sent to the employee or representative of employees who made the request or notification.

d) After an inspection, if the REM determines that a citation is not warranted with respect to a danger or violation alleged to exist in a request for inspection under Section 350.120(a) or a notification of violation under Section 350.120(c), the informal review procedures prescribed in Section 350.130 shall be applicable. After considering all views presented, the Division Manager shall affirm the determination of the REM, order a re-inspection, or issue a citation if the Division Manager believes that the inspection disclosed a violation. The Division Manager shall furnish the complaining party and the employer with written notification of this determination and the reasons for the determination. The determination of the Division Manager shall be final and not subject to review.

e) Every citation shall state that the issuance of a citation does not constitute a finding that a violation of the Act has occurred unless there is a failure to contest as provided for in the Act or, if contested, unless the citation is affirmed by the Administrative Law Judge.

f) No citation may be issued to an employer because of a rescue activity undertaken by an employee of that employer with respect to an individual in imminent danger unless:

1. the employee is designated or assigned by the employer to have responsibility to perform or assist in rescue operations, and the employer fails to provide protection of the safety and health of the employee, including failing to provide appropriate training and rescue equipment;

2. the employee is directed by the employer to perform rescue activities in the course of carrying out the employee's job duties, and the employer fails to provide protection of the safety and health of the employee, including failing to provide appropriate training and rescue equipment; or

3. the employee:

A) is employed in a workplace that requires the employee to carry out duties that are directly related to a workplace operation where the likelihood of life-threatening accidents is foreseeable, such as a workplace operation where employees are located in confined spaces or trenches, handle hazardous waste, respond to emergency situations, perform excavations, or perform construction over water;

B) the employee has not been designated or assigned to perform or assist in rescue operations and voluntarily elects to rescue such an individual; and

C) the employer has failed to instruct employees not designated or assigned to perform or assist in rescue operations of the arrangements for rescue and not to attempt rescue, and to instruct employees of the hazards of attempting rescue without adequate training or equipment.

g) For purposes of this Section, the term imminent danger means the existence of any condition or practice that could reasonably be expected to cause death or serious physical harm before the condition or practice can be abated.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.160 Petitions for Modification of Abatement Date

a) An employer may file a petition for modification of an abatement date when he or she has made a good faith effort to comply with the abatement requirements of a citation, but the abatement has not been completed because of factors beyond his or her reasonable control.

b) A petition for modification of an abatement date shall be in writing and shall include the following information:

1. All steps taken by the employer, and the dates of the action, in an effort to achieve compliance during the prescribed abatement period.

2. The specific additional abatement time necessary to achieve compliance.

3. The reasons the additional time is necessary, including the unavailability of professional or technical personnel or of materials and equipment, or because necessary construction or alteration of facilities cannot be completed by the original abatement date.

4. All available interim steps being taken to safeguard the employees against the cited hazard during the abatement period.

5. A certification that a copy of the petition has been posted and, if appropriate, served on the authorized representative of affected employees, in accordance with subsection (c)(1) and a certification of the date upon which the posting and service was made.

c) A petition for modification of abatement date shall be filed with the Division Manager or his or her designee who issued the citation no later than the close of the next working day following the date on which abatement was originally required. A later-filed petition shall be accompanied by the employer's statement of exceptional circumstances explaining the delay.

1. A copy of the petition shall be posted in a conspicuous place where all affected employees will have notice of the petition or near the location where the violation occurred. The petition shall remain posted for a period of 10 working days. When affected employees are represented by an authorized representative, the representative shall be served with a copy of the petition.

2. Affected employees or their representatives may file an objection in writing to the petition with the Division Manager. Failure to file the objection within 10 working days after the date of posting of the petition or after service upon an authorized representative shall constitute a waiver of any further right to object to the petition.

3. The Director or his or her duly authorized agent shall have the authority to approve any petition for modification of an abatement date filed pursuant to subsection (b) and this subsection (c). Uncontested petitions shall become final orders [820 ILCS 220/2.4(a)(3)].

4. The Director or his or her authorized representative shall not exercise his or her approval power until the expiration of 15 working days from the date the petition was posted or served by the employer pursuant to subsections (c)(1) and (2).

d) When any petition is objected to by the Director or affected employees, the petition, citation and any objections shall be forwarded to the Chief Administrative Law Judge within 3 working days after the expiration of the 15 day period set out in subsection (c)(4).

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 350 Health and Safety

56 Ill. Adm. Code 350.170 Proposed Penalties

a) After, or concurrent with, the issuance of a citation, and within a reasonable time after the termination of the inspection, the Division Manager shall notify the employer by certified mail or by personal service by the Enforcement Inspector of the proposed penalty under Section 85 of the Act or that no penalty is being proposed. Any notice of proposed penalty shall state that the proposed penalty is the final order of the Director of Labor and not subject to review by any court or agency unless, within 15 working days from the date of receipt of the notice, the employer notifies the Division Manager in writing of the employer's intention to contest the citation or the notification of proposed penalty before an Administrative Law Judge.

b) The Division Manager shall determine the amount of any proposed penalty, giving due consideration to the appropriateness of the penalty with respect to the size of the business of the employer being charged, the gravity of the violation, the good faith of the employer, and the history of previous violations, in accordance with Section 85 of the Act.

c) Appropriate penalties may be proposed with respect to an alleged violation even though, after being informed of the alleged violation by the Inspector, the employer immediately abates, or initiates steps to abate, the alleged violation.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.180 Posting of Citations

a) Upon receipt of any citation under the Act, the employer shall immediately post the citation, or a copy of the citation, unedited, at or near each place an alleged violation referred to in the citation occurred, except as provided in this subsection. When, because of the nature of the employer's operations, it is not practicable to post the citation at or near each place of alleged violation, the citation shall be posted, unedited, in a prominent place where it will be readily observable by all affected employees. For example, when employers are engaged in activities that are physically dispersed (see Section 350.30(b)), the citation may be posted at the location to which employees report each day. When employees do not primarily work at or report to a single location, the citation may be posted at the location from which the employees operate to carry out their activities. The employer shall take steps to ensure that the citation is not altered, defaced or covered by other material.

b) Each citation, or a copy, shall remain posted until the violation has been abated, or for 3 working days, whichever is later. The filing by the employer of a notice of intention to contest under Section 350.190 shall not affect the posting responsibility under this Section unless and until the Administrative Law Judge issues a final order vacating the citation.

c) An employer to whom a citation has been issued may post a notice in the same location where the citation is posted indicating that the citation is being contested before an ALJ, the notice may explain the reasons for the contest. The employer may also indicate that specified steps have been taken to abate the violation.

d) Any employer failing to comply with the provisions of subsections (a) and (b) shall be subject to citation and penalty in accordance with provisions of Sections 80 and 85 of the Act.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.190 Employer and Employee Contests Before the Administrative Law Judges of the Hearings Division

a) Any employer to whom a citation or notice of proposed penalty has been issued may, under Section 100 of the Act, notify the Division Manager in writing that the employer intends to contest the citation or proposed penalty before an Administrative Law Judge. The notice of intention to contest shall be postmarked within 15 working days after receipt by the employer of the notice of proposed penalty. Every notice of intention to contest shall specify whether it is directed to the citation or to the proposed penalty, or both. The Division Manager shall immediately transmit the notice to the Chief ALJ in accordance with IDOL's Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120).

b) Any employee or representative of employees of an employer to whom a citation has been issued may, under Section 95 of the Act, file a written notice with the Division Manager alleging that the period of time fixed in the citation for the abatement of the violation is unreasonable. The notice shall be postmarked within 15 working days after the receipt by the employer of the notice of proposed penalty or notice that no penalty is being proposed. The Division Manager shall immediately transmit the notice to the Chief ALJ in accordance with 56 Ill. Adm. Code 120.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.200 Failure to Correct a Violation for Which a Citation Has Been Issued

a) If an inspection discloses that an employer has failed to correct an alleged violation for which a citation has been issued within the period permitted for its correction, the Division Manager shall, if appropriate, consult with the Chief Legal Counsel and notify the employer by certified mail or by personal service by the Enforcement Inspector of that failure and of the penalty proposed to be assessed under Section 85 of the Act. The period for the correction of a violation for which a citation has been issued shall not begin to run until the entry of a final order of the Administrative Law Judge in the case of any review proceedings initiated by the employer in good faith and not solely for delay or avoidance of penalties.

b) Any employer receiving a notification of failure to correct a violation and of proposed additional penalty may, under Section 95 of the Act, notify the Division Manager in writing that the employer intends to contest the notification or proposed additional penalty before an ALJ. The notice of intention to contest shall be postmarked within 15 working days after the receipt by the employer of the notification of failure to correct a violation and of the proposed additional penalty. The Division Manager shall immediately transmit the notice to the Chief ALJ in accordance with 56 Ill. Adm. Code 120.

c) Each notification of failure to correct a violation and of proposed additional penalty shall state that it is the final order of the ALJ and not subject to review by any court or agency unless, within 15 working days from the date of receipt of the notification, the employer notifies the Division Manager in writing that the employer intends to contest the notification or the proposed additional penalty before an ALJ.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.210 Abatement Verification

Illinois OSHA inspections are intended to result in the abatement of violations of the Act. This Section sets forth the procedures the Division will use to ensure abatement. These procedures are tailored to the nature of the violation and the employer's abatement actions.

a) Scope and Application

This Section applies to employers who receive a citation for a violation of the Act.

b) Definitions

1. Abatement means action by an employer to comply with a cited standard or regulation or to eliminate a recognized hazard identified by the Division during an inspection.

2. Abatement date means:

A) For an uncontested citation item, the later of:

i) The date in the citation for abatement of the violation;

ii) The date approved by the Division or established in litigation as a result of a petition for modification of the abatement date (PMA); or

iii) The date established in a citation by an informal settlement agreement.

B) For a contested citation item for which the Administrative Law Judge has issued a final order affirming the violation, the later of:

i) The date identified in the final order for abatement; or

ii) The date computed by adding the period allowed in the citation for abatement to the final order date;

iii) The date established by a formal settlement agreement.

3. Affected employees means those employees who are exposed to the hazards identified as violations in a citation.

4. Final order date means:

A) For an uncontested citation item, the 15th working day after the employer's receipt of the citation;

B) For a contested citation item:

i) The 30th calendar day after the date on which a decision or order of an ALJ has been docketed; or

ii) When review has been directed, the 30th calendar day after the date on which the ALJ issues a or order disposing of all or pertinent parts of a case; or

iii) The date on which an appeals court issues a decision affirming the violation in a case in which a final order of an ALJ has been stayed.

5. Movable equipment means a hand-held or non-hand-held machine or device, powered or unpowered, that is used to do work and is moved within or between worksites.

c) Abatement Certification

1. Within 10 calendar days after the abatement date, the employer must certify to the Division Manager that each cited violation has been abated, except as provided in subsection (c)(2).

2. The employer is not required to certify abatement if the Enforcement Inspector, during the on-site portion of the inspection:

A) Observes, within 24 hours after a violation is identified, that abatement has occurred; and

B) Notes in the citation that abatement has occurred.

3. The employer's certification that abatement is complete must include, for each cited violation, in addition to the information required by subsection (h), the date and method of abatement and a statement that affected employees and their representatives have been informed of the abatement.

d) Abatement Documentation

1. The employer must submit to the Division Manager, along with the information on abatement certification required by subsection (c)(3), documents demonstrating that abatement is complete for each willful or repeat violation and for any serious violation for which the Division Manager indicates in the citation that abatement documentation is required.

2. Documents demonstrating that abatement is complete may include, but are not limited to, evidence of the purchase or repair of equipment, photographic or video evidence of abatement, or other written records.

e) Abatement Plans

1. The Division Manager may require an employer to submit an abatement plan for each cited violation when the time permitted for abatement is more than 90 calendar days. If an abatement plan is required, the citation must so indicate.

2. The employer must submit an abatement plan for each cited violation within 25 calendar days from the final order date when the citation indicates that a plan is required. The abatement plan must identify the violation and the steps to be taken to achieve abatement, including a schedule for completing abatement and, when necessary, how employees will be protected from exposure to the violative condition in the interim until abatement is complete.

f) Progress Reports

1. An employer who is required to submit an abatement plan may also be required to submit periodic progress reports for each cited violation. The citation must indicate:

A) That periodic progress reports are required and the citation items for which they are required;

B) The date on which an initial progress report must be submitted, which may be no sooner than 30 calendar days after submission of an abatement plan;

C) Whether additional progress reports are required; and

D) The dates on which additional progress reports must be submitted.

2. For each violation, the progress report must identify, in a single sentence if possible, the action taken to achieve abatement and the date the action was taken.

g) Employee Notification

1. The employer must inform affected employees and their representatives about abatement activities covered by this Section by posting a copy of each document submitted to the Division Manager or a summary of the document near the place where the violation occurred.

2. When the posting does not effectively inform employees and their representatives about abatement activities (e.g., for employers who have mobile work operations), the employer must:

A) Post each document or a summary of the document in a location where it will be readily observable by affected employees and their representatives; or

B) Take other steps to communicate fully to affected employees and their representatives about abatement activities.

3. The employer must inform employees and their representatives of their right to examine and copy all abatement documents submitted to the Division Manager.

A) An employee or an employee representative must submit a request to examine and copy abatement documents within 3 working days after receiving notice that the documents have been submitted.

B) The employer must comply with an employee's or employee representative's request to examine and copy abatement documents within 5 working days after receiving the request.

4. The employer must ensure that notice to employees and employee representatives is provided at the same time or before the information is provided to the Division Manager and that abatement documents are:

A) Not altered, defaced or covered by other material; and

B) Remain posted for 3 working days after submission to the Division Manager.

h) Transmitting Abatement Documents

1. The employer must include, in each submission required by this Section, the following information:

A) The employer's name and address;

B) The inspection number to which the submission relates;

C) The citation and item numbers to which the submission relates;

D) A statement that the information submitted is accurate; and

E) The signature of the employer or the employer's authorized representative.

2. The date of postmark is the date of submission for mailed documents. For documents transmitted by other means, the date the Division Manager receives the document is the date of submission.

i) Movable Equipment

1. For serious, repeat and willful violations involving movable equipment, the employer must attach a warning tag or a copy of the citation to the operating controls or to the cited component of equipment that is moved within the worksite or between worksites. Attaching a copy of the citation to the equipment is deemed to meet the tagging requirement of this Section, as well as the posting requirements of Section 350.180.

2. The employer must use a warning tag that properly warns employees about the nature of the violation involving the equipment and identifies the location of the citation issued.

3. If the violation has not already been abated, a warning tag or copy of the citation must be attached to the equipment:

A) For hand-held equipment, immediately after the employer receives the citation; or

B) For non-hand-held equipment, prior to moving the equipment within or between worksites.

4. For the construction industry, a tag that is designed and used in accordance with 29 CFR 1926.20(b)(3) and 1926.200(h) is deemed to meet the requirements of this Section when the information required by subsection (i)(2) is included on the tag.

5. The employer must assure that the tag or copy of the citation attached to movable equipment is not altered, defaced or covered by other material.

6. The employer must assure that the tag or copy of the citation attached to movable equipment remains attached until:

A) The violation has been abated and all abatement verification documents required by this Section have been submitted to the Division Manager;

B) The cited equipment has been permanently removed from service or is no longer within the employer's control; or

C) The ALJ issues a final order vacating the citation.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.220 Informal Conferences

At the request of an affected employer, employee or representative of employees, the Division Manager or designee may hold an informal conference for the purpose of discussing any issues raised by an inspection, citation, notice of proposed penalty, or notice of intention to contest. The settlement of any issue at the conference shall be subject to 56 Ill. Adm. Code 120. If the conference is requested by the employer, an affected employee or their representative shall be afforded an opportunity to participate, at the discretion of the Division Manager or designee. If the conference is requested by an employee or representative of employees, the employer shall be afforded an opportunity to participate, at the discretion of the Division Manager or designee. Any party may be represented by counsel at the conference. No conference or request for a conference shall operate as a stay of any 15-working-day period for filing a notice of intention to contest as prescribed in Section 350.190.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.250 Purpose, Scope and Definitions

a) Purpose

The purpose of this Subpart B is to require employers to record and report work-related fatalities, injuries and illnesses. Recording or reporting a work-related injury, illness or fatality does not mean that the employer or employee was at fault, that a standard or rule has been violated, or that the employee is eligible for workers' compensation or other benefits.

b) Scope. All public employers are required to maintain records of work-related injuries and illnesses under this Subpart B.

c) Definitions

For purposes of this Subpart B, the following terms have the meanings ascribed in this subsection:

Establishment − a single physical location where business is conducted or where services or industrial operations are performed. For activities in which employees do not work at a single physical location, such as construction, transportation, and electric, gas and sanitary services, and similar operations, the establishment is represented by main or branch offices, terminals, stations, etc., that either supervise those activities or are the base from which personnel carry out those activities.

One location contains two or more establishments if:

Each group represents a distinctly separate function (i.e., police, fire); or

Each establishment is engaged in different economic activity;

No one NAICS (North American Industry Classification System) Code applies to the joint activities; or

Separate reports are routinely prepared for each group on the number of employees and/or wages.

An establishment can include more than one physical location if:

The employer operates the locations as a single operation under common management;

The locations are all located in close proximity to each other; and

The employer keeps one set of records for the locations, such as records on the number of employees, their wages and salaries and other kinds of business information. For example, one establishment might include the main plant, a warehouse a few blocks away, and an administrative services building across the street.

When an employee telecommutes from home, the employee's home is not a business establishment and a separate OSHA Form 300 Log (Log of Work-Related Injuries and Illnesses) is not required. Employees who telecommute must be linked to one establishment.

Forms – the required forms for documenting work-related deaths, injuries and illnesses are the OSHA Form 300 (Log of Work-Related Injuries and Illnesses), the OSHA 300A (Summary of Injuries/Illnesses) and the OSHA 301 (Injury/Illness Incident Form). The Illinois Workers' Compensation Commission IWCC Form 45 (Employer's First Report of Injury) may be substituted for the OSHA Form 301 as long as the information is equivalent.

Injury or Illness − an abnormal condition or disorder. Injuries include, but are but not limited to, a cut, fracture, sprain or amputation. Illnesses include both acute and chronic illnesses, such as, but not limited to, a skin disease, respiratory disorder or poisoning. Injuries and illnesses are recordable only if they are new, work-related cases that meet one or more of this Subpart's recording criteria.

Physician or Other Licensed Health Care Professional − an individual whose legally permitted scope of practice (i.e., license, registration or certification) allows the individual to independently perform, or be delegated the responsibility to perform, the activities described by this Subpart.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.260 Recording Criteria

a) Basic Requirement

Every public employer that is required by this Part to keep records of fatalities, injuries and illnesses must record each fatality, injury and illness that:

1. is work-related;

2. is a new case; and

3. meets one or more of the general recording criteria of Section 350.290 or the recording criteria applying to specific cases in Sections 350.300 through 350.330.

b) Implementation

1. Criteria for Recording Work-Related Injuries and Illnesses

The criteria for recording work-related injuries and illnesses are found in various Sections of this Part as follows:

A) Determination of work-relatedness: Section 350.270.

B) Determination of a new case: Section 350.280.

C) General recording criteria: Section 350.290.

D) Additional criteria (needlestick and sharps injury cases, tuberculosis cases, hearing loss cases, medical removal cases, and musculoskeletal disorder cases): Sections 350.300 through 350.330.

2. Appendix A includes a decision tree to assist reporters in determining what particular injuries or illnesses are recordable.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.270 Determination of Work-Relatedness

a) Basic Requirement

An injury or illness is work-related if an event or exposure in the work environment either caused or contributed to the resulting condition or significantly aggravated a pre-existing injury or illness. Work-relatedness is presumed for injuries and illnesses resulting from events or exposures occurring in the work environment, unless an exception in subsection (b)(2) specifically applies.

b) Implementation

1. Work Environment

The work environment is defined as the establishment and other locations where one or more employees are working or are present as a condition of their employment. The work environment includes not only physical locations, but also the equipment or materials used by the employee during the course of work.

2. Exceptions

An injury or illness occurring in the work environment that falls under one or more of the following exceptions is not work-related and, therefore, is not recordable:

A) At the time of the injury or illness, the employee was present in the work environment as a member of the general public rather than as an employee.

B) The injury or illness involves signs or symptoms that surface at work but result solely from a non-work-related event or exposure that occurs outside the work environment.

C) The injury or illness results solely from voluntary participation in a wellness program or in a medical, fitness or recreational activity such as blood donation, physical examination, flu shot, exercise class, racquetball or baseball.

D) The injury or illness is solely the result of an employee eating, drinking or preparing food or drink for personal consumption (whether bought on the employer's premises or brought in). EXAMPLE: if the employee is injured by choking on a sandwich while in the employer's establishment, the case would not be considered work-related. However, if the employee is made ill by ingesting food contaminated by workplace contaminants (such as lead), or gets food poisoning from food supplied by the employer, the case would be considered work-related.

E) The injury or illness is solely the result of an employee doing personal tasks (unrelated to the employment) at the establishment outside of the employee's assigned working hours.

F) The injury or illness is solely the result of personal grooming, self-medication for a non-work-related condition, or intentionally self-inflicted.

G) The injury or illness is caused by a motor vehicle accident and occurs on a company parking lot or company access road while the employee is commuting to or from work.

H) The illness is the common cold or flu. Contagious diseases such as tuberculosis, brucellosis, hepatitis A, illness resulting from variants of SARS-CoV (including COVID-19), or plague are considered work-related if the employee is infected at work.

I) The illness is a mental illness. Mental illness will not be considered work-related unless the employee voluntarily provides the employer with an opinion from a physician or other licensed health care professional with appropriate training and experience (psychiatrist, psychologist, psychiatric nurse practitioner, etc.) stating that the employee has a mental illness that is work-related.

3. Determining whether the Precipitating Event Occurred in the Work Environment

If it is not obvious whether the precipitating event or exposure occurred in the work environment, the employer must evaluate the employee's work duties and environment to decide whether one or more events or exposures in the work environment either caused or contributed to the resulting condition or significantly aggravated a pre-existing condition.

4. Aggravating Pre-Existing Conditions

A pre-existing injury or illness has been significantly aggravated, for purposes of injury and illness recordkeeping, when an event or exposure in the work environment results in any of the following:

A) Death, provided that the pre-existing injury or illness would likely not have resulted in death but for the occupational event or exposure.

B) Loss of consciousness, provided that the pre-existing injury or illness would likely not have resulted in loss of consciousness but for the occupational event or exposure.

C) One or more days away from work, or days of restricted work, or days of job transfer that otherwise would not have occurred but for the occupational event or exposure.

D) Medical treatment in a case in which no medical treatment was needed for the injury or illness before the workplace event or exposure, or a change in medical treatment was necessitated by the workplace event or exposure.

5. Pre-existing Conditions

An injury or illness is a pre-existing condition if it resulted solely from a non-work-related event or exposure that occurred outside the work environment.

6. Travel Status

Injuries and illnesses that occur while an employee is on travel status are work-related if, at the time of the injury or illness, the employee was engaged in work activities in the interest of the employer. Examples of these activities include travel to and from customer contacts, conducting job tasks, and entertaining or being entertained to transact, discuss or promote business (work-related entertainment includes only entertainment activities being engaged in at the direction of the employer). Injuries or illnesses that occur when the employee is on travel status do not have to be recorded if they meet one of the following exceptions:

A) When a traveling employee checks into a hotel or motel, or other temporary residence, the employee establishes a home away from home. The employee's activities after the employee checks into the temporary residence must be evaluated by the employer for work-relatedness in the same manner as the employer evaluates the activities of a non-traveling employee. When the employee checks into the temporary residence, the employee is considered to have left the work environment. When the employee begins work each day, the employee re-enters the work environment. If the employee has established a home away from home and is reporting to a fixed worksite each day, injuries or illnesses are not work-related if they occur while the employee is commuting between the temporary residence and the job location.

B) Injuries or illnesses are not considered work-related if they occur while the employee is on a personal detour from a reasonably direct route of travel (e.g., has taken a side trip for personal reasons).

7. Work at Home

Injuries and illnesses that occur while an employee is working at home, including work in a home office, will be considered work-related if the injury or illness occurs while the employee is performing work for pay or compensation in the home, and the injury or illness is directly related to the performance of work rather than to the general home environment or setting. EXAMPLE: If an employee drops a box of work documents and injures their foot, the case is considered work-related. If an employee is injured because the employee trips on the family dog while rushing to answer a work phone call, the case is not considered work-related. If an employee working at home is electrocuted because of faulty home wiring, the injury is not considered work-related.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.280 Determination of New Cases

a) Basic Requirement

An injury or illness is a new case if:

1. The employee has not previously experienced a recorded injury or illness of the same type that affects the same part of the body; or

2. The employee previously experienced a recorded injury or illness of the same type that affected the same part of the body but had recovered completely (all signs and symptoms had disappeared) from the previous injury or illness and an event or exposure in the work environment caused the signs or symptoms to reappear.

b) Implementation

1. Recurrences

For occupational illnesses in which the signs or symptoms recur or continue in the absence of an exposure in the workplace, the case must only be recorded once. EXAMPLES: Occupational cancer, asbestosis, byssinosis and silicosis.

2. New Cases

When an employee experiences the signs or symptoms of an injury or illness as a result of an event or exposure in the workplace, such as an episode of occupational asthma, the incident must be treated as a new case because the episode or recurrence was caused by an event or exposure in the workplace.

3. Advice of a Health Care Professional

The employer is not required to seek the advice of a physician or other licensed health care professional. However, if such advice is sought, the employer must follow the licensed health care professional's recommendation about whether the case is a new case or a recurrence. If the employer receives recommendations from 2 or more licensed health care professionals, he or she must make a decision as to which recommendation is the most authoritative, best documented or best reasoned and record the case based upon that recommendation.

56 Ill. Adm. Code 350.290 General Recording Criteria

a) Basic Requirement

An injury or illness meets the general recording criteria, and is, therefore recordable, if it results in any of the following: death, days away from work, restricted work or transfer to another job, medical treatment beyond first aid, or loss of consciousness. A case meets the general recording criteria if it involves a significant injury or illness diagnosed by a physician or other licensed health care professional, even if it does not result in death, days away from work, restricted work or job transfer, medical treatment beyond first aid, or loss of consciousness.

b) Implementation

1. Recording Required

A work-related injury or illness must be recorded if it results in one or more of the following:

A) Death (see subsection (b)(2)).

B) Days away from work (see subsection (b)(3)).

C) Restricted work or transfer to another job (see subsection (b)(4)).

D) Medical treatment beyond first aid (see subsection (b)(5)).

E) Loss of consciousness (see subsection (b)(6)).

F) A significant injury or illness diagnosed by a physician or other licensed health care professional (see subsection (b)(7)).

2. Employee Death

The employer must record an injury or illness that results in death by entering a check mark on the OSHA 300 Log in the space for cases resulting in death. He or she must also report any work-related fatality to IDOL within 8 hours, as required by Section 350.410.

3. Days Away from Work

When an injury or illness involves one or more days away from work, record the injury or illness on the OSHA 300 Log with a check mark in the space for cases involving days away and an entry of the number of calendar days away from work in the number of days column. If the employee is out for an extended period of time, enter an estimate of the days that the employee will be away and update the day count when the actual number of days is known. Begin counting days away on the day after the injury occurred or the illness began.

4. Advice of Health Care Professional

A) When a physician or other licensed health care professional recommends that the worker stay at home but the employee comes to work anyway, record the injuries and illnesses on the OSHA 300 Log using the check box for cases with days away from work and enter the number of calendar days away recommended by the physician or other licensed health care professional. If the licensed health care professional recommends days away, encourage the employee to follow that recommendation. The days away must be recorded whether or not the employee follows the licensed health care professional's recommendation. If recommendations are received from 2 or more licensed health care professionals, the employer must decide which is the most authoritative and record the case based upon that recommendation.

B) When a licensed health care professional recommends that the worker return to work but the employee stays at home anyway, end the count of days away from work on the date the physician or other licensed health care professional recommends that the employee return to work.

5. Non-Work Days

A) The number of calendar days the employee was unable to work as a result of the injury or illness shall be counted, regardless of whether the employee was scheduled to work on those days. Weekend days, holidays, vacation days or other days off are included in the total number of days recorded if the employee would not have been able to work on those days because of a work-related injury or illness.

B) When a worker is injured or becomes ill on a Friday and reports to work on a Monday, and was not scheduled to work on the weekend, record the case only if the employer receives information from a licensed health care professional indicating that the employee should not have worked or should have performed only restricted work during the weekend. The injury or illness must be recorded as a case with days away from work or restricted work and the day counts must be entered, as appropriate.

6. Day Before Scheduled Time Off

When a worker is injured or becomes ill on the day before scheduled time off, such as a holiday, planned vacation, or temporary closing, the case needs to be recorded only if the employer receives information from a licensed health care professional indicating that the employee should not have worked, or should have performed only restricted work, during the scheduled time off. The injury or illness shall be recorded as a case with days away from work or restricted work and the day counts shall be entered, as appropriate.

7. Limitation on Days Counted

A) The employer may cap the total days away at 180 calendar days. The employer is not required to keep track of the number of calendar days away from work if the injury or illness resulted in more than 180 calendar days away from work and/or days of job transfer or restriction. In such a case, entering 180 in the total days away column will be considered adequate.

B) The employer may stop counting days if an employee who is away from work because of an injury or illness retires or leaves employment. If the employee leaves employment for some reason unrelated to the injury or illness, such as retirement, or to take another job, stop counting days away from work or days of restriction/job transfer. If the employee leaves because of the injury or illness, estimate the total number of days away or days of restriction/job transfer and enter the day count on the OSHA 300 Log.

C) If a case occurs in one year but results in days away during the next calendar year, only record the injury or illness once. Enter the number of calendar days away for the injury or illness on the OSHA 300 Log for the year in which the injury or illness occurred. If the employee is still away from work because of the injury or illness when the annual summary is prepared, estimate the total number of calendar days the employee is expected to be away from work, use this number to calculate the total for the annual summary, and update the initial log entry later when the day count is known or reaches the 180-day cap.

8. Restricted Work or Job Transfer

A) When an injury or illness involves restricted work or job transfer but does not involve death or days away from work, record the injury or illness on the OSHA 300 Log by placing a check mark in the space for job transfer or restriction and entering the number of restricted or transferred days in the restricted workdays column. Restricted work occurs when, as the result of a work-related injury or illness:

i) The employer keeps the employee from performing one or more of the routine functions of his or her job, or from working the full workday that he or she would otherwise have been scheduled to work; or

ii) A physician or other licensed health care professional recommends that the employee not perform one or more of the routine functions of his or her job, or not work the full workday that he or she would otherwise have been scheduled to work.

B) For recordkeeping purposes, an employee's routine functions are those work activities the employee regularly performs at least once per week.

C) Do not record restricted work or job transfers if the employer or the licensed health care professional imposes the restriction or transfer only for the day on which the injury occurred or the illness began.

D) A recommended work restriction is recordable only if it affects one or more of the employee's routine job functions. To determine whether this is the case, evaluate the restriction in light of the routine functions of the injured or ill employee's job. If the restriction from the employer or licensed health care professional keeps the employee from performing one or more of his or her routine job functions or from working the full workday the injured or ill employee would otherwise have worked, the employee's work has been restricted and the case must be recorded.

E) A partial day of work is recorded as a day of job transfer or restriction for recordkeeping purposes, except for the day on which the injury occurred or the illness began.

F) The case is not considered restricted work if the injured or ill worker produces fewer services than he or she would have produced prior to the injury or illness but otherwise performs all of the routine functions of his or her work. The case is considered restricted work only if the worker does not perform all of the routine functions of his or her job or does not work the full shift that he or she would otherwise have worked.

G) Restrictions from a licensed health care professional may be vague, such as limiting the employee to only "light duty" or instructing the employee to "take it easy for a week". If the licensed health care professional's recommendation is not clear, ask whether the employee can do all of his or her routine job functions and work all of his or her normally assigned work shift. If the answer to both of these questions is "yes", the case does not involve a work restriction and does not have to be recorded as such. If the answer to one or both of these questions is "no", the case involves restricted work and must be recorded as a restricted work case. If you are unable to obtain this additional information from the licensed health care professional who recommended the restriction, record the injury or illness as a case involving restricted work.

H) If a licensed health care professional recommends a job restriction meeting the definition, but the employee does all of his or her routine job functions anyway, record the injury or illness on the OSHA 300 Log as a restricted work case. If a licensed health care professional recommends a job restriction, ensure that the employee complies with that restriction. If recommendations are received from 2 or more physicians or other licensed health care professionals, make a decision as to which recommendation is the most authoritative and record the case based upon that recommendation.

I) Job Transfers

i) If an injured or ill employee assigned to a job other than his or her regular job for part of the day, the case involves transfer to another job. This does not include the day on which the injury or illness occurred.

ii) Both job transfer and restricted work cases are recorded in the same box on the OSHA 300 Log. EXAMPLE: if the employer assigns, or a licensed health care professional recommends that the employer assign, an injured or ill worker to his or her routine job duties for part of the day and to another job for the rest of the day, the injury or illness involves a job transfer. Record an injury or illness that involves a job transfer by placing a check in the box for job transfer.

J) Count days of job transfer or restriction in the same way days away from work are counted, using subsection (b)(3) through (b)(7). The only difference is that, if the injured or ill employee is assigned to a job that has been modified or permanently changed in a manner that eliminates the routine functions the employee was restricted from performing, stop the day count when the modification or change is made permanent. You must count at least one day of restricted work or job transfer for the cases.

9. Medical Treatment Beyond First Aid

A) If a work-related injury or illness results in medical treatment beyond first aid, record it on the OSHA 300 Log. If the injury or illness did not involve death, one or more days away from work, one or more days of restricted work, or one or more days of job transfer, enter a check mark in the box for cases in which the employee received medical treatment but remained at work and was not transferred or restricted.

B) Medical treatment means the management and care of a patient to combat disease or disorder. For the purposes of this Subpart B, medical treatment does not include:

i) Visits to a physician or other licensed health care professional solely for observation or counseling;

ii) The conduct of diagnostic procedures, such as x-rays and blood tests, including the administration of prescription medications used solely for diagnostic purposes (e.g., eye drops to dilate pupils); or

iii) First aid as defined in subsection (b)(9)(C).

C) For the purposes of Subpart B, first aid means the following:

i) Using a non-prescription medication at non-prescription strength (for medications available in both prescription and non-prescription form, a recommendation by a licensed health care professional to use a non-prescription medication at prescription strength is considered medical treatment for recordkeeping purposes);

ii) Administering tetanus immunizations (other immunizations, such as Hepatitis B vaccine or rabies vaccine, are considered medical treatment);

iii) Cleaning, flushing or soaking wounds on the surface of the skin;

iv) Using wound coverings such as bandages, Band-Aids, gauze pads, etc., or using butterfly bandages or Steri-Strips (other wound closing devices such as sutures, staples, etc., are considered medical treatment);

v) Using hot or cold therapy;

vi) Using any non-rigid means of support, such as elastic bandages, wraps, non-rigid back belts, etc. (devices with rigid stays or other systems designed to immobilize parts of the body are considered medical treatment for recordkeeping purposes);

vii) Using temporary immobilization devices while transporting an accident victim (e.g., splints, slings, neck collars, back boards, etc.);

viii) Drilling of a fingernail or toenail to relieve pressure or draining fluid from a blister;

ix) Using eye patches;

x) Removing foreign bodies from the eye using only irrigation or a cotton swab;

xi) Removing splinters or foreign material from areas other than the eye by irrigation, tweezers, cotton swabs or other simple means;

xii) Using finger guards;

xiii) Using massages (physical therapy or chiropractic treatment are considered medical treatment for recordkeeping purposes); or

xiv) Drinking fluids for relief of heat stress.

D) No other treatments are considered first aid for the purposes of this Subpart B.

E) The professional status of the person providing the treatment has no effect on what is considered first aid or medical treatment.

Even when these treatments are provided by a licensed health care professional, they are considered first aid. Similarly, treatment beyond first aid is considered to be medical treatment even when it is provided by someone other than a physician or other licensed health care professional.

10. Refusal of Medical Treatment

If a licensed health care professional recommends medical treatment, encourage the injured or ill employee to follow that recommendation. However, the case must be recorded even if the injured or ill employee does not follow the licensed health care professional's recommendation.

11. Loss of Consciousness

Record a work-related injury or illness if the worker becomes unconscious, regardless of the length of time the employee remains unconscious.

12. Significant Diagnosed Injury or Illness

A) Work-related cases involving cancer, chronic irreversible disease, a fractured or cracked bone, or a punctured eardrum must always be recorded under the general criteria at the time of diagnosis by a physician or other licensed health care professional, even if it does not result in death, days away from work, restricted work or job transfer, medical treatment beyond first aid, or loss of consciousness.

B) Most significant injuries and illnesses will result in one of the criteria listed in this Part, i.e., death, days away from work, restricted work or job transfer, medical treatment beyond first aid, or loss of consciousness. However, there are some significant injuries, such as a punctured eardrum or a fractured toe or rib, for which neither medical treatment nor work restrictions may be recommended. In addition, there are some significant progressive diseases, such as byssinosis, silicosis and some types of cancer, for which medical treatment or work restrictions may not be recommended at the time of diagnosis but are likely to be recommended as the disease progresses. Cancer, chronic irreversible diseases, fractured or cracked bones, and punctured eardrums are generally considered significant injuries and illnesses and must be recorded at the initial diagnosis even if medical treatment or work restrictions are not recommended, or are postponed, in a particular case.

56 Ill. Adm. Code 350.300 Recording Criteria for Needlestick and Sharps Injuries

a) Basic Requirement

Record all work-related needlestick injuries and cuts from sharp objects that are contaminated with another person's blood or other potentially infectious material (as defined by 29 CFR 1910.1030). Enter the case on the OSHA 300 Log as an injury. To protect the employee's privacy, do not enter the employee's name on the OSHA 300 Log (see the requirements for privacy cases in Section 350.340(b)(6) through (b)(9)).

b) Implementation

1. Other potentially infectious materials is defined in the Bloodborne Pathogens standard at 29 CFR1910.1030(b). These materials include:

A) Human bodily fluids, tissues and organs; and

B) Other materials infected with the HIV or hepatitis B virus, such as laboratory cultures or tissues from experimental animals.

2. All cuts, lacerations, punctures and scratches need to be recorded only if they are work-related and involve contamination with another person's blood or other potentially infectious material. If the cut, laceration or scratch involves a clean object, or a contaminant other than blood or other potentially infectious material record the case only if it meets one or more of the recording criteria in Section 350.290.

3. If an injury is recorded and the employee is later diagnosed with an infectious bloodborne disease, update the OSHA 300 Log. The classification of the case on the OSHA 300 Log must be updated if the case results in death, days away from work, restricted work or job transfer. The description must also be updated to identify the infectious disease and change the classification of the case from an injury to an illness.

4. If an employee is splashed with or exposed to blood or other potentially infectious material without being cut or scratched, record the incident on the OSHA 300 Log as an illness if:

A) It results in the diagnosis of a bloodborne illness, such as HIV, hepatitis B, or hepatitis C; or

B) It meets one or more of the recording criteria in Section 350.290.

56 Ill. Adm. Code 350.310 Recording Criteria for Cases Involving Medical Removal Under Idol-Adopted Osha Standards

a) Basic requirement

If an employee is medically removed under the medical surveillance requirements of an OSHA standard, record the case on the OSHA Form 300.

b) Implementation

1. Enter each medical removal case on the OSHA Form 300 as either a case involving days away from work or a case involving restricted work activity, depending on how the employer decides to comply with the medical removal requirement. If the medical removal is the result of a chemical exposure, enter the case on the OSHA Form 300 by checking the poisoning column.

2. Some OSHA standards, such as the standards covering bloodborne pathogens and noise, do not have medical removal provisions. Many OSHA standards that cover specific chemical substances have medical removal provisions. These standards include, but are not limited to, lead, cadmium, methylene chloride, formaldehyde and benzene.

3. When the employer voluntarily removes the employee from exposure before the medical removal criteria in an OSHA standard are met, the case does not need to be recorded on the OSHA Form 300.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.320 Recording Criteria for Cases Involving Occupational Hearing Loss

a) Basic Requirement

If an employee's hearing test (audiogram) reveals that the employee has experienced a work-related Standard Threshold Shift (STS) in hearing in one or both ears, and the employee's total hearing level is 25 dB or more above audiometric zero (averaged at 2000, 3000 and 4000 Hz) in the same ear or ears as the STS, record the case on the OSHA 300 Log.

b) Implementation

1. An STS is defined in the occupational noise exposure standard (29 CFR 1910.95(g)(10)(i)) as a change in hearing threshold, relative to the baseline audiogram for that employee, of an average of 10 dB or more at 2000, 3000 and 4000 Hz in one or both ears.

2. Evaluating the Current Audiogram to Determine Whether an Employee has an STS and a 25-dB Hearing Level

A) STS. If the employee has never previously experienced a recordable hearing loss, compare the employee's current audiogram with that employee's baseline audiogram. If the employee has previously experienced a recordable hearing loss, compare the employee's current audiogram with the employee's revised baseline audiogram (the audiogram reflecting the employee's previous recordable hearing loss case).

B) 25-dB Loss. Audiometric test results reflect the employee's overall hearing ability in comparison to audiometric zero. Therefore, using the employee's current audiogram, you must use the average hearing level at 2000, 3000 and 4000 Hz to determine whether the employee's total hearing level is 25 dB or more.

3. When determining whether an STS has occurred, adjust the employee's current audiogram results by using Table F-1 or F-2, as appropriate, in Appendix F of 29 CFR 1910.95. Do not use an age adjustment when determining whether the employee's total hearing level is 25 dB or more above audiometric zero.

4. If the employee's hearing is retested within 30 days of the first test, and the retest does not confirm the recordable STS, the employer is not required to record the hearing loss case on the OSHA 300 Log. If the retest confirms the recordable STS, record the hearing loss illness within 7 calendar days after the retest. If subsequent audiometric testing performed under the testing requirements of the 29 CFR 1910.95 noise standard indicates that an STS is not persistent, you may erase or line-out the recorded entry.

5. In determining whether a hearing loss case is work-related, use Section 350.270 to determine if the hearing loss is work-related. If an event or exposure in the work environment either caused or contributed to the hearing loss, or significantly aggravated a pre-existing hearing loss, consider the case to be work-related.

6. If a physician or other licensed health care professional determines that the hearing loss is not work-related or has not been significantly aggravated by occupational noise exposure, the employer is not required to consider the case work-related or to record the case on the OSHA 300 Log.

7. When entering a recordable hearing loss case on the OSHA 300 Log, check the 300 Log column for hearing loss.

56 Ill. Adm. Code 350.330 Recording Criteria for Work-Related Tuberculosis Cases

a) Basic Requirement

If any employee has been occupationally exposed to anyone with a known case of active tuberculosis (TB), and that employee subsequently develops a TB infection, as evidenced by a positive skin test or diagnosis by a physician or other licensed health care professional, record the case on the OSHA 300 Log by checking the respiratory condition column.

b) Implementation

1. A positive TB skin test result obtained at a pre-employment physical does not need to be recorded because the employee was not occupationally exposed to a known case of active TB in the workplace.

2. If the employer obtains evidence that the case was not caused by occupational exposure, the employer may line-out or erase the case from the Log under the following circumstances:

A) The worker is living in a household with a person who has been diagnosed with active TB;

B) The Illinois Department of Public Health has identified the worker as a contact of an individual with a case of active TB unrelated to the workplace; or

C) A medical investigation shows that the employee's infection was caused by exposure to TB away from work or proves that the case was not related to the workplace TB exposure.

56 Ill. Adm. Code 350.340 Forms

a) Basic Requirement

Use the OSHA Form 300 (Log of Work-Related Injuries and Illnesses), 300A (Summary of Work-Related Injuries and Illnesses) and 301 (Injury and Illness Incident Report), or equivalent forms for recorded injuries or illnesses.

b) Implementation

1. Enter information about the employer's business at the top of the OSHA Form 300, enter a one or two line description for each recordable injury or illness, and summarize this information on the OSHA Form 300A at the end of the year.

2. Complete an OSHA Form 301 (Injury and Illness Incident Report) or an equivalent form (i.e., IWCC Form 45) for each recordable injury or illness entered on the OSHA Form 300.

3. Enter each recordable injury or illness on the OSHA Form 300 and OSHA Form 301 (Injury and Illness Incident Report) within 7 calendar days after receiving information that a recordable injury or illness has occurred.

4. An equivalent form is one that has the same information, is as readable and understandable, and is completed using the same instructions as the OSHA form it replaces. Many employers use an insurance form instead of the OSHA Form 301 (Injury and Illness Incident Report) or supplement an insurance form by adding any additional information required.

5. Records may be kept on a computer if the computer can produce equivalent forms when they are needed, as described under Sections 350.390 and 350.420.

6. If there are privacy concerns, do not enter the employee's name on the OSHA Form 300. Instead, enter "privacy case" in the space normally used for the employee's name. This will protect the privacy of the injured or ill employee when another employee, a former employee, or an authorized employee representative is provided access to the OSHA Form 300 under Section 350.390(b)(2). Keep a separate, confidential list of the case numbers and employee names for privacy concern cases so the cases can be updated and provide the information to the government if asked to do so.

7. Consider only the following injuries or illnesses to be privacy concern cases:

A) An injury or illness to an intimate body part or the reproductive system;

B) An injury or illness resulting from a sexual assault;

C) Mental illnesses;

D) HIV infection, hepatitis, or tuberculosis;

E) Needlestick injuries and cuts from sharp objects that are contaminated with another person's blood or other potentially infectious material; and

F) Other illnesses, if the employee voluntarily requests that the employee's name not be entered on the log.

8. If the employer has a reasonable basis to believe that information describing the privacy concern case may be personally identifiable even though the employee's name has been omitted, the employer may use discretion in describing the injury or illness on both the OSHA 300 and 301 forms. Enter enough information to identify the cause of the incident and the general severity of the injury or illness, but do not include details of an intimate or private nature. EXAMPLE: A sexual assault case could be described as "injury from assault", or an injury to a reproductive organ could be described as "lower abdominal injury".

9. If the employer decides to voluntarily disclose the OSHA forms to persons other than government representatives, employees, former employees or authorized representatives, remove or hide the employees' names and other personally identifying information, except in the following instances. Disclose the forms with personally identifying information only to:

A) an auditor or consultant hired by the employer to evaluate the safety and health program;

B) the extent necessary for processing a claim for workers' compensation or other insurance benefits; or

C) a public health authority or law enforcement agency for uses and disclosures for which consent, an authorization, or opportunity to agree or object is not required under Department of Health and Human Services Standards for Privacy of Individually Identifiable Health Information (45 CFR 164.512).

c) Log of Injuries and Illnesses – OSHA Form 300

1. Each employer shall maintain in each workplace an OSHA Form 300 of all recordable occupational injuries and illnesses for that workplace. The name of the establishment, the city and state where the establishment is located, and the year must be designated at the top of the log. Within 7 calendar days after receiving information about a case, the employer shall:

A) Decide if the case is recordable under the recordkeeping provisions of Section 350.220.

B) Determine whether the incident is a new case or a recurrence of an existing one.

C) Establish whether the case was work-related.

E) Decide which form to fill out as the injury/illness incident report form required under Section 350.340(a), OSHA Form 301 (Injury and Illness Incident Report), IWCC Form 45, or a suitable substitute that contains the same information as either of those two forms.

2. The OSHA Form 300 shall contain the following information for each recordable injury and illness:

A) A unique case number assigned by the employer to this specific illness or injury to facilitate comparisons with the supplementary record of the illness or injury;

B) The name of the affected employee, unless protected as a privacy case due to the nature of the injury or illness;

C) The job title of the employee;

D) The date of the injury or onset of illness;

E) Location where the event occurred;

F) A description of the injury or illness, parts of the body affected, and object or substance that directly injured or made the person ill (e.g., second degree burns on right forearm from acetylene torch);

G) The most serious result from each case:

i) Death;

ii) Days away from work;

iii) Remained at work; job transfer or restriction (see federal form);

iv) Remained at work; other recordable cases (see federal form);

H) The designation of injury or the type of illness (e.g., skin disorder, respiratory condition, poisoning, hearing loss, all other illnesses);

I) The number of days the injured or ill worker was either on job transfer or restriction or away from work.

3. The OSHA Form 300 and its supplementary information must be retained by the employer for five years.

d) Injury and Illness Incident Report – OSHA Form 301

1. In addition to the OSHA Form 300 of injuries and illnesses, each employer shall maintain in each workplace a supplementary record of each recordable occupational injury and illness for that workplace. The employer shall complete the incident report and make it available as early as practicable, but no later than 7 calendar days after receiving information that a recordable injury or illness has occurred. The OSHA Form 301, IWCC Form 45, or a suitable substitute that contains the same information as either of those two forms may be used as the supplementary record. Records shall be available to any agency requesting them pursuant to Section 60 of the Act.

2. The OSHA Form 301 (Injury and Illness Incident Report) shall contain the following information for each recordable injury and illness:

A) Information about the employee:

i) Full name and address.

ii) Date of birth and date of hire.

iii) Gender.

B) Information about the physician or other health care professional:

i) Name of physician or health care professional.

ii) Location where treatment was administered.

iii) If an emergency room was visited or if the employee was hospitalized overnight as an in-patient.

C) Information about the case:

i) Case number corresponding to the Log of Injuries/Illnesses.

ii) Date of Injury or Illness.

iii) Time employee began work and time of event, if known.

iv) What the employee was doing just before the incident occurred.

v) What happened.

vi) What was the injury or the illness.

vii) What object or substance directly harmed the employee.

viii) If the employee died, date of death.

3. The name and title of the individual who completed the form, along with the telephone number and the date of completion.

4. This form must be kept on file for 5 years following the year to which it pertains. The Incident Report Form has to be completed within 7 calendar days after notice of the injury or illness. These forms shall be maintained for at least 5 years.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.350 Multiple Establishments

a) Basic Requirement

Keep a separate OSHA 300 Log for each establishment that is expected to be in operation for one year or longer.

b) Implementation

1. Keep OSHA injury and illness records for short-term establishments (i.e., establishments that will exist for less than a year), but the employer does not have to keep a separate OSHA 300 Log for each such establishment. One OSHA 300 Log may be kept that covers all of the employees short-term establishments. Include the short-term establishments' recordable injuries and illnesses on an OSHA 300 Log that covers short-term establishments for individual company divisions or geographic regions.

2. Keep the records for an establishment at the employer's headquarters or other central location if the employer can:

A) Transmit information about the injuries and illnesses from the establishment to the central location within 7 calendar days after receiving information that a recordable injury or illness has occurred; and

B) Produce and send the records from the central location to the establishment within the time frames required by Sections 350.390 and 350.420 when the employer is required to provide records to a government representative, employees, former employees or employee representatives.

3. Each employee must be linked to one of the employer's establishments for recordkeeping purposes. Record the injury and illness on the OSHA 300 Log of the injured or ill employee's establishment or on an OSHA 300 Log that covers that employee's short-term establishment.

4. When an employee of one of the employer's establishments is injured or becomes ill while visiting or working at another of the employer's establishments, or while working away from any of the employer's establishments the injury or illness must be recorded. If the injury or illness occurs at one of the employer's establishments, record the injury or illness on the OSHA 300 Log of the establishment at which the injury or illness occurred. If the employee is injured or becomes ill and is not at one of the employer's establishments, record the case on the OSHA 300 Log at the establishment at which the employee normally works.

56 Ill. Adm. Code 350.360 Covered Employees

a) Basic Requirement

Record on the OSHA 300 Log the recordable injuries and illnesses of all employees on the employer's payroll, whether they are labor, executive, hourly, salary, part-time, seasonal or migrant workers. Record the recordable injuries and illnesses that occur to employees who are not on the employer's payroll if the employer supervises these employees on a day-to-day basis.

b) Implementation

1. A self-employed person who is injured or becomes ill while doing work at an establishment is not covered by this Part.

2. Injury or illness to employees obtained from a temporary help service, employee leasing service or personnel supply service (the direct employer) must be recorded if the establishment employer supervises these employees on a day-to-day basis.

3. If a contractor's employee is under the day-to-day supervision of the contractor, the contractor is responsible for recording the injury or illness. If the employer in the establishment supervises the contractor employee's work on a day-to-day basis, that employer must record the injury or illness.

4. A direct employer or contractor does not also record the injuries or illnesses occurring to temporary, leased or contract employees supervised by the establishment employer on a day-to-day basis. The establishment employer and the direct employer or contractor should coordinate efforts to make sure that each injury and illness is recorded only once, either on the establishment employer's OSHA 300 Log (if the establishment employer provides day-to-day supervision) or on the direct employer's or contractor's OSHA 300 Log (if that entity provides day-to-day supervision).

56 Ill. Adm. Code 350.370 Annual Summary

a) Basic Requirements

At the end of each calendar year:

1. Review the OSHA Form 300 to verify that the entries are complete and accurate, and correct any deficiencies identified;

2. Create an annual summary of injuries and illnesses recorded on the OSHA Form 300;

3. Certify the summary;

4. Post the annual summary; and

5. File such report electronically if required by Section 350.375

b) Implementation

1. The employer must review the entries as extensively as necessary to make sure that they are complete and correct.

2. To complete the annual summary:

A) Total the columns on the OSHA Form 300 (if no recordable cases, enter zeros for each column total);

B) Enter the calendar year covered, the employer's name, establishment name, establishment address, annual average number of employees covered by the OSHA Form 300, and the total hours worked by all employees covered by the OSHA Form 300; and

C) If using an equivalent form other than the OSHA Form 300A (Summary of Work-Related Injuries and Illnesses) form, the summary used must also include the employee access and employer penalty statements found on the OSHA Form 300A.

3. A management executive must certify that the management executive has examined the OSHA 300 Log and reasonably believes, based on the management executive's knowledge of the process by which the information was recorded, that the annual summary is correct and complete.

4. The management executive who certifies the log must be:

A) The highest-ranking management official working at the establishment; or

B) The highest-ranking supervisor at the establishment who has signature authority for the highest-ranking management official.

5. Post a copy of the annual summary in each establishment in a conspicuous place or places where notices to employees are customarily posted and ensure the posted annual summary is not altered, defaced or covered by other material.

6. Post the summary no later than February 1 of the year following the year covered by the records and keep the posting in place until April 30.

7. Electronically report no later than March 2nd for the prior calendar year.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.375 Electronic Submission of OSHA Form 300A

a) Basic Requirement

1. Annual electronic submission of information from OSHA injury and illness forms (Summary of Work-Related Injuries and Illnesses).

A) If the establishment had 250 or more employees at any time during the previous calendar year, then the establishment must electronically submit information from OSHA Form 300A (Summary of Work-Related Injuries and Illnesses) to Illinois OSHA or Illinois OSHA's designee. The establishment must submit the information once a year, no later than March 2nd of the year after the calendar year covered by the form (e.g., 2020 for the 2019 form).

B) If the establishment had 20 or more employees but fewer than 250 employees at any time during the previous calendar year, and the establishment is classified in an industry listed in Appendix B, then the establishment must electronically submit information from OSHA Form 300A (Summary of Work-Related Injuries and Illnesses) to Illinois OSHA or Illinois OSHA's designee. The establishment must submit the information once a year, no later than March 2nd of the year after the calendar year covered by the form.

C) If the establishment had 100 or more employees at any time during the previous calendar year, and the establishment is classified in an industry listed in Appendix B, then the establishment must electronically submit information from OSHA Forms 300 and 301 to Illinois OSHA or Illinois OSHA's designee. The establishment must submit the information once a year, no later than March 2nd of the year after the calendar year covered by the forms.

D) Upon notification by Illinois OSHA, additional establishments and/or industries may be subject to these reporting requirements and must electronically submit information to Illinois OSHA or Illinois OSHA's designee.

E) Establishments subject to these reporting requirements must provide the Employer Identification Number (EIN) used by the establishment.

b) Implementation

1. Each individual employed in the establishment at any time during the calendar year counts as one employee, including full-time, part-time, seasonal, and temporary workers.

2. Establishments required to submit information will notified by email. Illinois OSHA will also announce individual data collections through press releases and announcements on the IDOL website.

3. Establishments required to submit information must submit the information once a year by March 2nd.

4. Illinois OSHA shall provide a secure website for the electronic submission of information.

History

• Source: Amended at 50 Ill. Reg. 316, effective December 29, 2025

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 350 Health and Safety

56 Ill. Adm. Code 350.380 Retention and Updating

a) Basic Requirement

Save the OSHA 300 Log, the privacy case list (if one exists), the annual summary, and the OSHA 301 Incident Report forms for 5 years following the end of the calendar year that these records cover.

b) Implementation

1. During the storage period, update the stored OSHA 300 Logs to include newly discovered recordable injuries or illnesses and to show any changes that have occurred in the classification of previously recorded injuries and illnesses. If the description or outcome of a case changes, remove or line out the original entry and enter the new information.

2. The employer is not required to update the annual summary, but may do so if he or she wishes.

3. The employer is not required to update the OSHA 301 Incident Reports, but may do so if he or she wishes.

56 Ill. Adm. Code 350.390 Employee Involvement

a) Basic Requirement

Employees and their representatives must be involved in the recordkeeping system in several ways.

1. The employer must inform each employee of how to report an injury or illness to the employer.

2. The employer must provide limited access to its injury and illness records for its employees and their representatives.

b) Implementation

1. The employer must establish a process for employees to report work-related injuries and illnesses promptly and must inform each employee regarding the process to report work-related injuries and illnesses.

2. The employer must give its employees and their representatives access to the OSHA injury and illness records. Employees, former employees, their personal representatives, and their authorized employee representatives have the right to access the injury and illness records, with the limitations provided in this subsection (b).

3. An authorized employee representative means an authorized collective bargaining agent of employees.

4. A personal representative is:

A) Any person that the employee or former employee designates as such, in writing; or

B) The legal representative of a deceased or legally incapacitated employee or former employee.

5. When an employee, former employee, personal representative, or authorized employee representative asks for copies of the current or stored OSHA Form 300 for an establishment the employee or former employee has worked in, the employer must give the requester a copy of the relevant OSHA Form 300s by the end of the next business day.

6. Privacy

A) The employer shall not remove the names of the employees or any other information from the OSHA Form 300 before giving copies to an employee, former employee, personal representative, or employee representative. However, to protect the privacy of injured and ill employees, the employer shall not record the employee's name on the OSHA Form 300 for privacy concern cases (see Section 350.340(b)).

B) When an employee, former employee, or personal representative asks for a copy of the OSHA Form 301 (Injury and Illness Incident Report) describing an injury or illness to the employee or former employee, the employer shall give the requester a copy of the OSHA Form 301 (Injury and Illness Incident Report) containing that information by the end of the next business day. When an authorized employee representative asks for copies of the OSHA Form 301s (Injury and Illness Incident Report) for an establishment where the authorized employee representative represents employees under a collective bargaining agreement, the employer shall give copies of those forms to the authorized employee representative within 7 calendar days. The employer is only required to give the authorized employee representative information from the OSHA 301 (Injury and Illness Incident Report) section titled "Tell us about the case". The employer shall remove all other information from the copy of the OSHA Form 301 (Injury and Illness Incident Report) or the equivalent substitute form given to the authorized employee representative.

7. The employer shall not charge for copies of OSHA reports the first time they are provided. However, if one of the designated persons asks for additional copies, the employer may assess a reasonable charge for retrieving and copying the records.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.400 Prohibition Against Discrimination

Section 110 of the Act prohibits employers from discriminating against an employee for reporting a work-related fatality, injury or illness. That provision of the Act also protects the employee who files a safety and health complaint, asks for access to the Subpart B records, or otherwise exercises any right afforded by the Act.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.405 Variance from Recordkeeping Requirements

Variance. If a public employer wishes to keep records in a manner different from this Subpart B, the employer must submit a variance petition in accordance with Section 350.500.

History

• Source: Added at 38 Ill. Reg. 20781, effective October 20, 2014

56 Ill. Adm. Code 350.410 Reporting Fatalities, Hospitalizations, Amputations and Loss of Eye Incidents to the Illinois Department of Labor

a) Basic Requirements

1. All public sector employers must report:

A) All work-related fatalities within 8 hours; and

B) All work-related inpatient hospitalizations, all amputations, and all losses of an eye within 24 hours.

2. Employers must orally report by calling Illinois OSHA's 24/7 confidential number at (217)-782-7860.

b) Implementation

1. The reporter must give the following information for each fatality, hospitalization, amputation, or loss of an eye incident:

A) The establishment name;

B) The location of the incident;

C) The time of the incident;

D) The number of fatalities or hospitalized employees;

E) The names of any injured employees;

F) The reporter's contact person and his or her phone number; and

G) A brief description of the incident.

2. Every fatality or hospitalization incident resulting from a motor vehicle accident must be reported.

3. Fatalities caused by a heart attack at work must be reported. The Division Manager or designee will decide whether to investigate the incident, depending on the circumstances of the heart attack.

4. If the employer does not learn of a reportable incident at the time it occurs and the incident would otherwise be reportable under this Section, the employer shall make the report within 8 hours after the incident is reported to the employer or any agent or employee of the employer.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.420 Providing Records to Government Representatives

a) Basic Requirement

When an authorized government representative asks for the records kept under this Subpart B, the employer shall provide copies of the records within 4 business hours.

b) Implementation Authorized representatives of the IDOL Director conducting an inspection or investigation under the Act have the right to obtain copies of injury and illness records.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.430 Requests from the Illinois Department of Public Health/Bureau of Labor Statistics for Data

a) Basic Requirement

If the Illinois Department of Public Health submits to the employer a Survey of Occupational Injuries and Illnesses Form on behalf of the Bureau of Labor Statistics, the employer shall promptly complete the form, and return it following the instructions contained on the survey form.

b) Implementation

Each year, injury and illness survey forms are sent to randomly selected employers and the Bureau of Labor Statistics uses that information to publish statistics on occupational injuries and illnesses in the United States. In any year, some employers will receive a survey form and others will not. Employers do not have to send injury and illness data to the Illinois Department of Public Health unless they receive a survey form.

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.500 Petition for Variance from Standards

a) General

The Director may grant a temporary or permanent variance from any State occupational safety and health standard upon application by a public employer. (Sec. 40 of the Act) The petition shall be filed by the employer as soon as practicable when the employer finds that compliance is unable to be achieved. Any variance from State health and safety standards may only have future effect.

b) The petition for a variance from a standard shall be granted if it meets the requirements of this Section and establishes:

1. The reasons for the employer's inability to achieve compliance by the required date, such as the unavailability of necessary professional or technical personnel or of materials and equipment, or because necessary construction or alteration of facilities cannot be completed by the effective date;

2. A description of interim steps being taken to safeguard the employees against the hazard during the period of noncompliance;

3. The details of an effective program for coming into compliance as quickly as practicable; and

4. A statement certifying that the employees have been notified of the petition and that a copy of the petition has been posted in a conspicuous location in the workplace for a period of at least 10 working days. This statement must summarize the application, specify where a copy may be examined, and describe how the employees were informed and their rights to petition the Director for a hearing.

c) Affected employees or their authorized representatives may participate in the hearing on the petition by filing a request to participate with the Department within 10 working days after the date of the posting of the petition or the service of the petition.

d) Within 15 working days after receipt of the petition, the Department shall schedule a hearing on the petition, appoint an impartial hearing officer to conduct the hearing, and serve notice of the time and location of the hearing on the employer and any employees and employee representatives who have filed a request to participate in the hearing. The hearing shall be held within 45 calendar days after receipt of the petition.

e) The Department shall fully consider the petition and any testimony presented by the employer, employees, and employee representatives.

1. The requested variance shall be granted when the Department finds that:

A) the employer has made and is making a good faith effort to achieve compliance (e.g., ordering necessary materials and designing, planning and scheduling alterations);

B) that the health and safety of the employees is being safeguarded during the noncompliance period (such as by the use of barriers, prohibition of access to the hazardous area, or posting of warning notices); and

C) that the noncompliant condition is due to circumstances beyond the control of the employer.

2. If the Department finds that the conditions of subsection (e)(1)have not been met, the variance shall be denied.

f) If the employees or their authorized representatives do not file a request to participate or otherwise raise objections to the petition and the Department finds that the information contained in the request for a variance meets the conditions set forth in subsection (e), the Department shall issue the requested variance without holding a hearing.

g) No order for a temporary variance may be in effect for longer than the period needed by the employer to achieve compliance or one year, whichever is shorter, except that such a variance may be renewed not more than twice, so long as the requirements of this Section are met and if an application for renewal is filed at least 90 calendar days prior to the expiration date of the variance. No interim renewal of a variance may remain in effect for longer than 180 calendar days.

h) Application. An application for a temporary order shall contain:

1. The name and address of the applicant;

2. The address of the affected establishments;

3. A statement establishing that the applicant;

A) is unable to comply with a standard by its effective date because of:

i) the unavailability of professional or technical personnel;

ii) the unavailability of materials and equipment needed to come into compliance with the standard; or

iii) the necessary construction or alteration of facilities cannot be completed by the effective date;

B) is taking all available steps to safeguard employees against the hazards covered by the standard; and

C) has an effective program for coming into compliance with a standard as quickly as possible.

4. The standard or portion of a standard from which the employer seeks the variance;

5. A representation by the employer, along with qualified support, of the reasons for not being able to comply with the standard;

6. A statement of when, with specific dates, the employer expects to comply with the standard; and

7. A certification that the employer has informed the employees and their authorized representatives of the application and their right to petition the Department for a hearing, and has provided them a copy of the posting.

i) Permanent Variance

1. The Director may issue an order for permanent variance from a safety standard when:

A) notice has been given to affected employees and the employees have been afforded the opportunity to participate in the hearing process; and

B) a preponderance of the evidence demonstrates that the conditions, practices, means, methods, operations, or processes used or proposed to be used will provide employment and places of employment as safe and healthful as those that would be produced by compliance with the standard.

2. The order may be modified or revoked upon application by an affected employer or affected employee at any time after 6 months following its issuance.

j) Modification or Revocation

1. An affected employer or an affected employee may apply in writing to the Director for a modification or revocation of a rule or order. The application shall contain:

A) The name and address of the applicant;

B) A description of the relief sought;

C) A statement setting forth with particularity the grounds for relief;

D) If the applicant is an employer, a certification that the applicant has informed affected employees of the application by:

i) Giving a copy of the application to the authorized employee representative;

ii) Posting, at the place or places where the notices to employees are normally posted, a statement giving a summary of the application and specifying where a copy of the full application may be examined (or, in lieu of the summary, posting the application itself); and

iii) Other appropriate means.

E) If the applicant is an affected employee, a certification that a copy of the application has been furnished to the employer; and

F) Any request for a hearing, as provided in this Part.

k) The Director may proceed to modify or revoke a rule, in accordance with the Illinois Administrative Procedure Act [5 ILCS 100], or to modify or revoke an order issued under Section 40 of the Act. In that event, the Director shall cause to be published in the Illinois Register a notice of this intention, affording interested persons an opportunity to submit written data, views or arguments regarding the proposal and informing the affected employer and employees of their right to request a hearing, and shall take other appropriate action to notify affected employees. Any request for a hearing shall include a short and plain statement of:

1. how the proposed modification or revocation would affect the requesting party; and

2. what the requesting party would seek to show on the subjects or issues involved.

l) Defective Applications

1. If an application for variance does not conform to the applicable portions of this Section, the Director may deny the application.

2. Prompt notice of denial of an application shall be given to the applicant.

3. A notice of denial shall include, or be accompanied by, a brief statement of the grounds for the denial.

4. A denial of an application pursuant to this subsection (l) shall be without prejudice to the filing of another application.

m) Adequate Applications

1. If an application has not been denied pursuant to subsection (l), the Director shall cause to be published in the Illinois Register a notice of the filing of the application.

2. A notice of the filing of an application shall include:

A) The terms or an accurate summary of the application;

B) A reference to the Section of the Act under which the application has been filed;

C) An invitation to interested persons to submit, within a stated period of time, written data, views, or arguments regarding the application; and

D) Information to affected employers and employees covered in the application of any right to request a hearing on the application.

n) Request for Hearings on Applications

1. Within the time allowed by a notice of the filing of an application, any affected employer or employee may file with the Director a request for a hearing on the application.

2. Contents of a Request for a Hearing. A request for a hearing filed pursuant to this Section shall include:

A) A concise statement of facts showing how the employer or employee would be affected by the relief applied for;

B) A specification of any statement or representation in the application that is denied and a concise summary of the evidence that would be adduced in support of each denial; and

C) Any views or arguments on any issue of fact or law presented.

3. All hearings held pursuant to this Section will abide by IDOL's Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120).

History

• Source: Amended at 46 Ill. Reg. 3518, effective February 15, 2022

56 Ill. Adm. Code 350.600 Purpose

The Illinois On-Site Safety and Health Consultation Program will provide compliance assistance to small businesses and the public sector establishments in Illinois. This program was established under the Cooperative Agreement between Illinois and the federal Occupational Safety and Health Administration (29 USC 670(d)), under which OSHA will utilize state personnel to provide consultative services to employers. The provisions for the Illinois On-Site Safety and Health Consultation Program funded under Sections 21(d) and 23(g) of the federal Occupational Safety and Health Act (29 USC 672(g)) are detailed in 29 CFR 1908.

56 Ill. Adm. Code 350.700 Adoption of Federal Standards

a) State Standards and Rulemaking. Section 25 of the Act outlines the Director's authority to promulgate, amend and revoke State standards. Any promulgation, amendment or revocation of State standards will be done in accordance with the Illinois Administrative Procedure Act [5 ILCS 100].

b) Incorporation of Federal Regulations

1. Pursuant to Section 25 of the Act, the Department hereby incorporates by reference designated federal occupational safety and health standards which the United States Secretary of Labor has promulgated or modified in accordance with the federal Occupational Safety and Health Act of 1970 (29 U.S.C. 651) and that are in effect on January 1, 2015, unless an alternate State standard has been adopted and is listed in subsection (c). These designated standards are located at 29 CFR 1908, 1910, 1915, 1926 and 1977. All materials incorporated by this Section are incorporated as of the date specified and do not include any later amendments or editions.

2. Pursuant to Section 25 of the Act, all amendments, after January 1, 2015, to the federal occupational safety and health standards in subsection (1) shall become rules of the Department within 6 months after their federal promulgation date, unless:

A) There is a current alternate State standard in effect; or

B) Within 45 calendar days of the federal promulgation date, the State files first notice with the Secretary of State to amend section (c) with an alternate State standard. (Sec. 25(b) of the Act)

c) Incorporation of Interpretations of Federal Regulations

1. The following interpretations of 29 CFR 1910.134, Respiratory Protection Standard (1998) are incorporated into this Part. Copies of the federal Occupational Safety and Health Administration material may also be obtained at https://www.osha.gov/respiratory-protection.

Preamble: Respiratory Protection; Final Rule, 63 Fed. Reg. 1152 (Jan. 8, 1998)

Questions & Answers on the Respiratory Protection Standard, OSHA Memorandum (Aug. 17, 1998)

Inspection Procedure for the Respiratory Protection Standard, CPL 2-0.120 (Sept. 18, 1998)

Small Entity Compliance Guide for the Revised Respiratory Protection Standard, OSHA Directorate of Health Standards Programs (Sept. 30, 1998)

2. The following interpretation of 29 CFR 1910 and 1926, Standards Improvement (Miscellaneous Changes) for General Industry and Construction Standards; Paperwork Collection for Coke Oven Emissions and Inorganic Arsenic (1998); 29 CFR 1915 and 1926, Occupational Exposure to Asbestos (1998); 29 CFR 1910, Methylene Chloride (1998); 29 CFR 1910, Permit-Required Confined Spaces (1998); and 29 CFR 1910, 1915, 1917, 1918 and 1926, Powered Industrial Truck Operator Training (1999) are incorporated into this Part. Copies are available at the Department's Chicago office. Copies may also be obtained at https://www.osha.gov/laws-regs/federalregister/publicationdate.

Preamble: Standards Improvement (Miscellaneous Changes) for General Industry and Construction Standards; Paperwork Collection for Coke Oven Emissions and Inorganic Arsenic; Final Rule, 63 Fed. Reg. 33450 (June 18, 1998)

Preamble: Occupational Exposure to Asbestos; 63 Fed. Reg. 35137 (June 29, 1998)

Preamble: Methylene Chloride; Final Rule, 63 Fed. Reg. 50711 (Sept. 22, 1998)

Preamble: Permit-Required Confined Spaces; Final Rule, 63 Fed. Reg. 66018 (Dec. 1, 1998)

Preamble: Powered Industrial Truck Operator Training; Final Rule, 63 Fed. Reg. 66238 (Dec. 1, 1998)

3. The following interpretation of 29 CFR 1910, Dipping and Coating Operations (1999) is incorporated into this Part. Copies are available at the Department's Chicago office. Copies may also be obtained at https://www.osha.gov/laws-regs/federalregister/publicationdate.

Preamble: Dipping and Coating Operations; Final Rule, 64 Fed. Reg. 13897 (Mar. 23, 1999)

4. The following interpretation of 29 CFR 1926, Safety Standards for Steel Erection (2001), and 29 CFR 1910, Occupational Exposure to Bloodborne Pathogens; Needlesticks and Other Sharps Injuries (2001), are incorporated into this Part. Copies are available at the Department's Chicago office. Copies may also be obtained at https://www.osha.gov/laws-regs/federalregister/publicationdate.

Preamble: Safety Standards for Steel Erection; Final Rule, 66 Fed. Reg. 5196 (Jan. 18, 2001)

Preamble: Occupational Exposure to Bloodborne Pathogens; Needlesticks and Other Sharps Injuries; Final Rule, 66 Fed. Reg. 5318 (Jan. 18, 2001)

5. The following interpretation of 29 CFR 1910.36, 1910.37, 1910.38 and 1910.39, Exit Routes, Emergency Action Plans and Fire Prevention Plans, Final Rule (Nov. 11, 2002); 29 CFR 1910.139, Termination of Rulemaking Respiratory Protection for M. Tuberculosis, Final Rule (Dec. 31, 2003); 29 CFR 1915.52, Fire Protection in Shipyard Employment, Final Rule (Sept. 15, 2004); and 29 CFR 1910 et al., Standards Improvement Project – Phase II (Jan. 5, 2005) are incorporated into this Part. Copies are available at any of the Department's offices. Copies may also be obtained at http://www.osha.gov.

6. The following interpretations of 29 CFR 1910, 1915 and 1926, Assigned Protection Factors, Final Rule (Aug. 24, 2006); 29 CFR 1926, Roll-Over Protective Structure, Final Rule (Dec. 29, 2005, corrected July 20, 2006); 29 CFR 1910.1026, Occupational Exposure to Hexavalent Chromium, Final Rule (Feb. 28, 2006, corrected June 23, 2006); 29 CFR 1926, Steel Erection: Slip Resistance of Skeletal Structural Steel, Final Rule (Jan. 18, 2006); 29 CFR 1910, 1915 and 1926, Electrical Installation Requirements, subpart S, Final Rule (Feb. 14, 2007, corrected Oct. 29, 2008); 29 CFR 1915, Updating National Consensus Standards in OSHA Standard for Fire Protection in Shipyard Employment, Final Rule (Jan. 3, 2007); 29 CFR 1910, Employer Payment for Personal Protective Equipment, Final Rule (Nov. 15, 2007, clarified Dec. 12, 2008); and 29 CFR 1910, Updating OSHA Standards Based on National Consensus Standards, Final Rule (Mar. 14, 2008, Dec. 14, 2007, Sept. 9, 2009) are incorporated into this Part. Copies are available at any of the Department's offices, on the Department website at www.state.il.us/agency/idol or the OSHA website at http://www.osha.gov.

7. The following interpretations of 29 CFR 1910, 1915 and 1926 as appropriate, Standards Improvement Project, Phase III (June 8, 2011); Cranes and Derricks in Construction (Aug. 9, 2010); Technical Amendment concerning Safety Standards for Steel Erection (May 17, 2010); 29 CFR Revising the Notification Requirements in the Exposure Determination Provisions of the Hexavalent Chromium Standards (May 14, 2010); Revising Standards Referenced in the Acetylene Standard (Nov. 10, 2009);

d) Clarification of Effective Dates

The effective dates for 29 CFR 1910.119(e)(1)(i), (ii), (iii), and (iv), which establish timelines for hazard analyses for hazardous materials, are 1, 2, 3 and 4 years, respectively, after August 1, 1994.

e) Conformity with Federal Regulations

The Department shall consider any subsequent amendments to the health and safety standards adopted by the federal Occupational Safety and Health Administration. Those amendments will be incorporated by reference or substitute provisions that provide equivalent protection will be adopted. Amendments will be adopted in accordance with the Illinois Administrative Procedure Act.

History

• Source: Amended at 50 Ill. Reg. 316, effective December 29, 2025

Chapter I Department of Labor

Subchapter b Regulation of Working Conditions

Part 353 Whistleblower Protection

56 Ill. Adm. Code 353.100 Purpose of This Part

This Part implements Public Act 88-359, Section 5 (codified at 820 ILCS 130/11b), an amendment to the Prevailing Wage Act [820 ILCS 130], that requires the Director of Labor (in a manner s/he deems appropriate) to investigate the alleged discharge, discipline, or discrimination against "whistleblowers" in violation of Section 11b(a) of the Act, and to take affirmative action to remedy such conduct, including but not limited to ordering the removal of any information contained in personnel files and the rehiring or reinstatement of whistleblowers with backpay.

56 Ill. Adm. Code 353.110 Definitions

"Act" means the Prevailing Wage Act [820 ILCS 130].

"Application" means a signed and completed form (provided by the Director of the Illinois Department of Labor) requesting the Director of Labor to review a discharge, discipline or discrimination that allegedly violates Section 11b(a) of the Act.

"Authorized representative of employees" means an individual from a union or collective bargaining unit who exercises any rights afforded by the Act on behalf of him/herself or a member of the union or collective bargaining unit.

"Complainant" means an employee or an authorized representative of employees who believes that s/he has been discharged, disciplined, or discriminated against in violation of Section 11b(a) of the Act, and has filed an application with the Director of the Illinois Department of Labor.

"Day" means a calendar day.

"Department" means the Illinois Department of Labor.

"Director" means the Director of the Department or a duly authorized representative.

"Employee" means a laborer, worker, and/or mechanic covered by the Act.

"Party" means a Complainant or a Respondent.

"Person" means one or more individuals, partnerships, associations, corporations, business trusts, legal representatives, or any group of persons.

"Respondent" means any person who has allegedly violated Section 11b(a) of the Act.

56 Ill. Adm. Code 353.200 Obligations and Prohibited Conduct

No person shall discharge, discipline, or in any other way discriminate against, or cause to be discharged, disciplined, or discriminated against, any employee or any authorized representative of employees by reason of the fact that the employee or representative has filed, instituted, or caused to be filed or instituted any proceeding under this Act, or has testified or is about to testify in any proceeding resulting from the administration or enforcement of this Act, or offers any evidence of any violation of this Act. (Section 11b(a) of the Act)

56 Ill. Adm. Code 353.300 Filing an Application

a) An application may be filed by a Complainant, by his/her duly authorized representative, or by his/her attorney.

b) An application shall be filed with the Director at the Department's Chicago or Springfield office.

c) An application shall be filed within 30 days after the alleged discharge, discipline, or discrimination occurred.

d) Filing requirements shall be construed to mean the Director's receipt of the application. The Complainant shall file his/her application by telephone facsimile, telegram, hand delivery, or next-day delivery service, or U.S. Mail. Proof that the filing was dispatched by the prescribed date shall be prima facie proof that the filing was timely received.

56 Ill. Adm. Code 353.310 Investigation

a) Upon receipt of an application under this Part, the Director shall notify the Respondent of the existence of the application, and furnish the Respondent with a copy of the application to enable a reasonable response.

b) The Respondent's response must be filed with the Director at the Department's Chicago office within 10 days after notification.

c) The Director shall investigate and gather data concerning such case, and as part of the investigation may enter and inspect such places and records (and make copies thereof), may interview the Respondent and the Respondent's employees, and may require the production of any documentary or other evidence deemed necessary to determine whether prohibited conduct has occurred.

d) The Director may issue an administrative subpoena to compel the attendance of a witness and/or the production of documents upon his/her determination that the information to be produced by a subpoena is necessary and relevant to his/her investigation, and that the Director cannot obtain the information by any other reasonable means.

e) Investigations under this Part shall be conducted in a manner which protects the confidentiality of any person, other than the Complainant, who provides information on a confidential basis.

56 Ill. Adm. Code 353.320 Issuance of Decision

a) The Director shall make findings of fact, including whether a violation of Section 11b(a) of the Act occurred. The Director shall issue his/her findings in a decision by certified mail to the parties.

b) If the Director finds that a violation did not occur, s/he shall issue a decision denying the application. The decision shall advise the Complainant that the findings of fact shall become the final order of the Director denying the application unless, within 15 days of its receipt, the Complainant files a request for a hearing on the application with the Director at the Department's Chicago office.

c) If the Director finds that a violation has occurred, s/he shall issue a decision incorporating his/her findings and requiring the Respondent to take such affirmative action to remedy the conduct as the Director deems appropriate. The decision shall advise the Respondent that the findings of fact shall become the final order of the Director unless, within 15 days after its receipt, the Respondent files a request for a hearing on the application with the Director at the Department's Chicago office.

d) The Director may, in his/her discretion, make a determination of no finding. The parties and the Director shall be in joint agreement that such finding is appropriate to the investigation and may be made to promote the effective resolution of the review requested.

e) Filing requirements shall be construed to mean the Director's receipt of the request. The party requesting a hearing shall file by telephone facsimile, telegram, hand delivery, or next-day delivery service. Proof that the filing was dispatched by the prescribed date shall be prima facie proof that the filing was timely received.

56 Ill. Adm. Code 353.330 Request for Hearing

The request shall be prominently marked "REQUEST FOR HEARING" on both the letter and the envelope. The request must set forth the reasons why the party believes the Director misconstrued the evidence or misapplied the law to the facts, and any newly discovered evidence which the party could not have discovered during the Director's investigation. The party requesting a hearing shall serve copies of the request on the opposing party on the same day and in the same manner that the party files the request for the hearing with the Director.

56 Ill. Adm. Code 353.340 Hearings

Upon receipt of a properly filed "request for hearing", the Director shall convene an administrative hearing pursuant to the provisions of the Illinois Administrative Procedure Act [5 ILCS 100] and 56 Ill. Adm. Code 120.

History

• Source: Amended at 25 Ill. Reg. 930, effective January 5, 2001

56 Ill. Adm. Code 353.350 Judicial Review

A final order issued by the Director under Section 11b of the Act and this Part is subject to judicial review under the Administrative Review Law [735 ILCS 5/Art. 3].

Part 360 Right to Privacy in the Workplace Act

56 Ill. Adm. Code 360.100 Purpose and Scope

The Right to Privacy in the Workplace Act is designed to prohibit employers from discharging or otherwise retaliating against employees or prospective employees who use lawful products outside the workplace during nonworking hours and to prohibit employers from making inquiries regarding claims filed by prospective employees under the Worker's Compensation Act or the Worker's Occupational Diseases Act.

56 Ill. Adm. Code 360.110 Definitions

a) "Act" means the Right to Privacy in the Workplace Act (Ill. Rev. Stat. 1991, ch. 48, pars. 2851 et seq.).

b) "Department" means the Illinois Department of Labor, its director and his/her authorized representatives.

c) "Director" means the Director of the Illinois Department of Labor.

d) "Employer" includes any individual, partnership, association, corporation, business trust, enterprise or any person or group of persons for whom the employee is performing work with a reasonable expectation of compensation.

e) "Hearing Officer" means an individual authorized by the Department to determine the merits of individual claims alleging violations of the Act.

f) "Prospective employee" or "applicant for employment" means not only an individual applying for a job position, but also an individual to whom an offer of employment has been extended, but who has not yet begun working for the employer.

g) "Lawful Products" shall include, but shall not be limited to, all tobacco products, all alcoholic beverages, all food products, all over-the-counter drugs, and any drugs lawfully prescribed by the employee's own physician. Provided however, that any use or overconsumption of these lawful products that directly impairs the performance of the employee at the workplace shall not be protected under this Act.

h) "Workplace" is any location where work is performed for the benefit of the employer.

56 Ill. Adm. Code 360.120 Filing of the Claim and the Employer's Response

a) An employee may file a complaint with the Department alleging a violation of the Act by filling out and signing the claim form provided by the Department and submitting the form and any supporting documentation. Complaints shall be filed within 180 days after termination or the complained of incident.

b) Complaints shall be reviewed to determine whether there is cause for investigation.

c) When appropriate, the Department will notify the employer of the existence of the claim, and will include sufficient details of the complaint to enable a reasonable response.

d) The employer's response must be filed with the Department within 10 days after notification.

e) Upon receipt of an employer's response disputing the claim, the Department may, when appropriate, send a copy of the employer's response to the claimant.

f) If the employee disagrees with the employer's response, he/she must submit a response to the Department within 10 days stating his/her reasons for the disagreement. If the employee fails to submit a response, the Department shall dismiss the claim.

g) If the employer fails to respond within the prescribed deadline, the Department shall review the information submitted by the employee in order to determine whether an investigative conference on the claim is warranted.

h) The Department may consider untimely submissions by either party upon written request by the party within a reasonable period of time, if there is a showing that the delay was occasioned by good cause beyond the party's control.

56 Ill. Adm. Code 360.130 Scheduling and Notice of Informal Investigative Conference

a) When the Department is unable to resolve a dispute upon review of the information submitted by the parties, the Department may schedule an informal investigative conference before a Hearing Officer. The Department conducts conferences to obtain further information; to determine if there is a violation of the Act; and to attempt to resolve the matter equitably.

b) A written notice of conference shall be sent to the parties not less than 10 days prior to the date of the conference.

56 Ill. Adm. Code 360.140 Issuance of Administrative Subpoena

The Department may issue an administrative subpoena to compel the attendance of a party or witness and/or the production of documents upon the Department's determination that the information to be produced by a subpoena is necessary and relevant to the Department's investigation and that the Department cannot obtain the information by any other reasonable means.

56 Ill. Adm. Code 360.150 Application of the Rules of Evidence, Pleading or Procedure in an Investigative Conference

When a Hearing Officer makes an investigation or conducts a conference, the Hearing Officer is not bound either by the rules of evidence or by any technical or formal rules of pleading or procedure.

56 Ill. Adm. Code 360.160 Attorneys and Witnesses in Investigative Conferences

A party may be accompanied at an investigative conference by his/her attorney, and by a translator, if necessary. The parties may bring witnesses to the conference, but the Hearing Officer shall decide what witnesses shall be heard and in what order. The Hearing Officer may exclude witnesses from the conference when they are not giving testimony. The Hearing Officer shall conduct and control the proceedings. No tape recordings, stenographic report or other verbatim record of the conference shall be made.

56 Ill. Adm. Code 360.170 Disruptive Conduct at Investigative Conferences

If any person becomes so disruptive or abusive that a full and fair conference cannot be conducted, the Hearing Officer shall exclude the person from the conference. The Hearing Officer, in his/her discretion, may take any of the following actions: continue the conference without the participation of the excluded individual; render a decision based upon the evidence previously presented; dismiss the employee's claim, or strike the employer's response.

56 Ill. Adm. Code 360.180 Continuances

Parties shall be prepared to proceed at the conference. A request by one party for a continuance will be granted prior to the conference only if the other party agrees and the Hearing Officer grants permission. Otherwise, a request for a continuance must be made in person to the Hearing Officer at the time of the conference and will be granted only upon a showing of good cause.

Part 365 Statewide Displaced Homemakers Program

56 Ill. Adm. Code 365.5 Introduction (repealed)

History

• Source: Repealed at 25 Ill. Reg. 916, effective January 5, 2001

56 Ill. Adm. Code 365.10 Scope and Purpose

It is the purpose of this rulemaking to develop rules and regulations for funding and administration of the Displaced Homemakers Assistance Act. These rules and regulations will ensure maximum and efficient utilization of appropriated General Revenue Funds for the program in the State of Illinois.

56 Ill. Adm. Code 365.20 Policy and Applicability

The policy of the Department of Labor will be to develop programs, funded through General Revenue appropriations, that will implement, expand, and enhance services to displaced homemakers throughout the State. These programs will assist displaced homemakers through:

a) personalized counseling and referral,

b) workshops for assessment of skills and career orientation,

c) assistance in writing resumes and acquiring other preoccupational skills,

d) skill training for employment,

e) job placement assistance, and

f) any method likely to improve the employability of the displaced homemaker.

History

• Source: Amended at 25 Ill. Reg. 916, effective January 5, 2001

56 Ill. Adm. Code 365.30 Use of Funds

Funds from General Revenue appropriations will be used for administration, wages, materials, tuition, and other expenses that are necessary costs of the Displaced Homemakers Program.

56 Ill. Adm. Code 365.40 Duration of Program

a) Grants will be effective during the appropriate state fiscal year which begins July 1, and will have a termination date of June 30, the last day of the same Fiscal Year.

b) If any funds remain uncommitted at the end of the state fiscal year, such funds shall be returned by check to the State of Illinois.

56 Ill. Adm. Code 365.50 Eligible Target Group

a) The target group is displaced homemakers, to which assistance is necessary for them to be able to become independent and to gain economic security. In Section 3 of the Displaced Homemakers Assistance Act [20 ILCS 615/3], a displaced homemaker is defined as follows:

"Displaced homemaker" means a person who (1) has worked in the home for a substantial number of years providing unpaid household services for family members; (2) is not gainfully employed; (3) has difficulty in securing employment; and (4) was dependent on the income of another family member but is no longer supported by such income, or was dependent on federal assistance but is no longer eligible for such assistance.

b) The Department of Labor intends General Revenue Funds to be used to provide services to displaced homemakers, particularly in the areas of job training and job placement. The displaced homemaker, in order to be eligible to receive tuition-paid training through the program, must show a financial inability to pay tuition. Financial inability will be determined by a sliding fee scale based on income. The sliding fee scale will be developed by each Displaced Homemakers Center, subsequently approved by the Department of Labor. The Department will provide a sample which is reasonable. Tuition and stipends will be awarded only on a financial need basis and amounts will vary with the area according to costs of community college classes and other education or training available.

History

• Source: Amended at 25 Ill. Reg. 916, effective January 5, 2001

56 Ill. Adm. Code 365.60 Eligible Organizations for Funding

The Department of Labor may fund, for the purpose of the General Revenue funded Displaced Homemakers Program, not-for-profit corporations, community organizations, State and private colleges and universities. Only those organizations which have demonstrated that they are currently providing services to displaced homemakers will be funded through this Displaced Homemakers Program.

History

• Source: Amended at 25 Ill. Reg. 916, effective January 5, 2001

56 Ill. Adm. Code 365.70 Availability of Information to the Public

The Department of Labor shall make available to the public a copy of this Part for participation in the Displaced Homemakers Program. Requests For Proposals (RFPs) will be mailed to organizations on a solicitation list of potential providers, maintained by the Department of Labor and kept up-to-date by new names and addresses being added upon request. The public shall have the right to inspect published State rules on program and administrative requirements for funding and operation of the Displaced Homemakers Program. This Part will be available at the Department of Labor's Chicago office.

History

• Source: Amended at 25 Ill. Reg. 916, effective January 5, 2001

56 Ill. Adm. Code 365.80 Application Process

a) The Department of Labor shall make RFPs describing proposed projects before awarding of funds. RFPs will be issued in May in order that programs can start up on July 1.

b) Consistent with the RFP process, when funds become available, a deadline is established for the submission of proposals. It takes approximately three weeks after the deadline for submission of proposals for the proposals to be reviewed, for recommendations for funding to be made and confirmed by the Director of the Department of Labor, and for the applicants to be notified of approval or denial of applications (proposals).

c) The RFP shall require any organization or agency applying for funds to provide the following information in the proposal (application):

1. Cover Page

A) Name of project

B) Name of organization or agency submitting proposal

C) Date of submission of proposal

D) Contact person

E) Mailing address

F) Telephone number

G) Total amount of funds requested

H) Starting and ending dates of program

I) Signatures of authorized representatives

2. Project Summary

A) Need for project should be established

B) Brief explanation of proposed program

C) Brief explanation of past year's performance, including the following:

i) How many displaced homemakers received or are receiving preemployment skills training and/or job skills training?

ii) How many displaced homemakers have been placed in employment or academic, vocational, or skills training for employment?

3. Program Planning Summary

The program must show that displaced homemakers will be provided services as described in the applicant's proposal, or if an applicant is starting a new program, the list of services to be provided must be shown. The program must emphasize job training and placement techniques for displaced homemakers.

4. Assurances and Certifications

The organization or agency making application shall assure and certify that it will abide by applicable State rules, regulations, and requirements and provide copies or description of the following certification and other required information:

A) That the proposal must identify any salaried personnel as being in new positions when salary is to be paid through the Displaced Homemakers Program funds.

B) That displaced homemakers receiving tuition must show a financial need.

C) That there is compliance with Equal Opportunity and Affirmative Action Provisions of the Department of Human Rights.

D) That there will be compliance with the following Acts and Regulations, should the proposal be funded:

i) Displaced Homemakers Assistance Act;

ii) Civil Rights Act of 1964 (42 USC 20002);

iii) Fair Labor Standards Act of 1938 (29 USC 201 et seq.);

iv) Equal Employment Act of 1972 (42 USC 2000 et seq.);

v) Minimum Wage Law [820 ILCS 105];

vi) Eight Hour Work Day Act [820 ILCS 145];

vii) One Day Rest in Seven Act [820 ILCS 140];

viii) State Property Control Act [30 ILCS 605];

ix) Department of Central Management Services purchasing rules (44 Ill. Adm. Code 1, Standard Procurement);

x) Property Control Manual of the Department of Central Management Services;

xi) Displaced Homemakers Program Regulations (56 Ill. Adm. Code 365).

5. Budget Summary

A proposed budget must be submitted.

History

• Source: Amended at 25 Ill. Reg. 916, effective January 5, 2001

56 Ill. Adm. Code 365.90 Internal Review Procedure for Applications

a) All proposals submitted for funding shall be reviewed by the Department of Labor, according to criteria, rules, and regulations set forth in Section 365.30, Use of Funds, and Section 365.80, Application Process.

b) Upon completion of the review by the Department of Labor, a preliminary recommendation for approval or disapproval will be made. The preliminary recommendation shall then be forwarded to the Director of Labor who will make the final decision to approve or disapprove a particular program. All applicants shall be notified of approval or denial of proposed programs under the Displaced Homemakers Program. A contract will be signed between the Department and the successful applicant, setting forth all terms of the funded program, including, but not limited to, the requirements of Section 365.80, Application Process, and Section 365.100, Record Maintenance and Reporting Requirements.

History

• Source: Amended at 25 Ill. Reg. 916, effective January 5, 2001

56 Ill. Adm. Code 365.100 Record Maintenance and Reporting Requirements

a) Grantees will be required to submit the following reports:

1. Monthly and quarterly progress reports.

2. Final program evaluation report within 90 days after the end of the project.

b) Grantees will be required to maintain the following records:

1. a separate accounting system for the Displaced Homemakers Program funds granted by the Department of Labor;

2. a journal showing cash disbursements as cited in the budget;

3. a general ledger summarizing cash receipts and disbursements; and

4. a file for each person being paid out of the Displaced Homemakers grant to include time sheets, salary and travel vouchers.

History

• Source: Amended at 25 Ill. Reg. 916, effective January 5, 2001

56 Ill. Adm. Code 365.110 Monitoring and Evaluation

a) The Department of Labor may monitor and evaluate all grants made to eligible grantees through the Displaced Homemakers Program. Grant programs will be monitored for compliance with this Part. The right to make unannounced monitoring visits during the duration of the grant is reserved.

b) If, during a visit, problems are discovered, the Department would provide technical assistance and attempt to rectify the situation. In the event that the program could not be brought up to standard, the Department would be compelled to consider discontinuance of the program.

c) Programs will be evaluated for effectiveness of the program and for benefit to displaced homemakers and to the State. The effectiveness of a program will be judged according to how nearly the program completes the objectives and reaches the goals outlined in the signed agreement. Evaluations will occur both during the operation of the program and upon its completion.

History

• Source: Amended at 25 Ill. Reg. 10202, effective July 30, 2001

56 Ill. Adm. Code 365.120 Non-Compliance

a) The Department shall determine under this Part whether a program might not be in compliance with the goals and objective outlined in the signed grant agreement. The Department would give written notice to the grantee specifying the nature of the deficiency and giving the grantee 30 calendar days in which to:

1. cure the defect;

2. commence to implement a plan of corrective action consented to by the Department; or

3. file an objection to the Department's finding of deficiency.

b) If the grantee files an objection, the Department shall investigate the matter and present the facts and findings to the Director of the Department for a final determination. All grant funds are subject to the provisions of the Illinois Grant Fund Recovery Act [30 ILCS 705]. The grantee may submit any written or oral statement for the consideration of the Director. During the pendency of the determination of the objection, the Department may either continue to make payment to the grantee or suspend payments. The Department is authorized to suspend payments if, in the sole discretion of the Department, payments would jeopardize funding of the Department or prevent the Department from obtaining appropriate reimbursement from the State government. In the event of termination, the Department may retain all suspended payments.

History

• Source: Amended at 25 Ill. Reg. 10202, effective July 30, 2001

Chapter II Department of Human Rights

Part 2500 Joint Rules of the Department of Human Rights and the Human Rights Commission: Disability Discrimination in Employment

56 Ill. Adm. Code 2500.10 Purpose and Coverage

This Part interprets the provisions of Section 2-102 of the Illinois Human Rights Act (Act) prohibiting discrimination in employment against persons with disabilities. For purposes of the prohibition against disability discrimination, Section 2-102 applies to all units of State and local government in Illinois, to all private firms employing one or more individuals, and to all employment agencies and labor organizations (see Section 2-101(B), (C) and (D) of the Act).

History

• Source: Amended at 33 Ill. Reg. 3506, effective February 5, 2009

56 Ill. Adm. Code 2500.20 What Constitutes a "disability"

a) Statutory Definition – According to Section 1-103(I) of the Act, the term "disability" in employment contexts means a determinable physical or mental characteristic of a person, including but not limited to a determinable physical characteristic which necessitates the person's use of a guide or hearing dog, the history of such characteristic, or the perception of such characteristic by the person complained against, which may result from disease, injury, congenital condition of birth or functional disorder and which characteristic is unrelated to the person's ability to perform the duties of a particular job or position. This Section, together with Section 2500.30, interprets the various clauses within this definition.

b) Determinable Physical or Mental Characteristic

1. The definition is not confined to only those physical and mental conditions that are grave or extreme in nature. However, it is interpreted as excluding:

A) conditions that are transitory and insubstantial; and

B) conditions that are not significantly debilitating or disfiguring.

2. To be covered, a condition must be "determinable" by recognized clinical or laboratory diagnostic techniques.

c) Resulting from Disease, Injury, Congenital Condition of Birth or Functional Disorder

If a dispute arises as to whether a condition constitutes a disablity, it is the burden of the person claiming the disability to establish that the condition results from disease, injury, congenital condition of birth or functional disorder. For example, the conditions of obesity and drug or alcohol abuse shall not be deemed "disabilities" unless the person can demonstrate that the condition arises from or constitutes the equivalent of a disease or functional disorder. (Even when alcohol or drug dependence is established as constituting a disease or functional disorder, see subsection (d) of this Part regarding whether the condition is "unrelated to the person's ability".)

d) Unrelated to the Person's Ability to Perform the Duties of a Particular Job or Position

1. Under this language, the real or suspected implications of a person's physical or mental condition are irrelevant, and therefore cannot justify discrimination against the person, if those implications do not affect the person's ability to acceptably perform the particular job in question. Irrelevant implications include the preferences of co-workers, clients and customers; the expense of providing fringe benefits such as group insurance; and potential workers' compensation liability. Moreover, a condition is "unrelated to a person's ability to perform the duties of a particular job or position" if it merely affects the person's ability to perform tasks or engage in activities that are apart from or only incidental to the job in question.

2. On the other hand, a person's condition is related to his/her ability if it would make employment of the person in the particular position demonstrably hazardous to the health or safety of the person or others, or if it is manifested or results in behavior (e.g., absenteeism, poor quality or quantity of production or disruptiveness) that fails to meet acceptable standards. Reasonable accommodation of a person's physical or mental limitations must be explored, in accordance with Section 2500.40, to determine whether the condition prevents acceptable or safe performance of the activities necessary to the job. However, a person's alcoholism or drug dependence, manifested in intoxication or excessive absence or tardiness at work, is presumptively related to the person's ability to perform.

History

• Source: Amended at 33 Ill. Reg. 3506, effective February 5, 2009

56 Ill. Adm. Code 2500.30 Who Is Protected Against Disability Discrimination

a) Section 1-103(I) of the Act provides that a person is protected against discrimination if he/she

1. is currently exhibiting a condition that constitutes a "disability";

2. has a history of exhibiting such a condition; or

3. is perceived by an employer, employment agency or labor organization as being or having exhibited such a condition.

b) An individual has a "history" of a disabling condition if he/she is restored or recovered from a prior disability or if the individual's symptoms are in remission. For example, persons who have had heart attacks or cancer are protected against discrimination based upon their medical histories. The perception of a disabling condition may occur with regard to an individual who has been misdiagnosed, misclassified, or erroneously viewed as one who is disabled or as having had a history of disability; the individual similarly is protected against discrimination based upon that erroneous perception. The perception may also occur in connection with a person whose current non-disabling condition, e.g., hypertension, is viewed as creating the potential for future disability.

History

• Source: Amended at 33 Ill. Reg. 3506, effective February 5, 2009

56 Ill. Adm. Code 2500.40 Reasonable Accommodation

a) Requirement – Employers and labor organizations must make reasonable accommodation of the known physical or mental limitations of otherwise qualified disabled applicants or employees, unless the employer or labor organization can demonstrate that accommodation would be prohibitively expensive or would unduly disrupt the ordinary conduct of business. Whether an accommodation would be prohibitively expensive or disruptive will involve weighing its cost and inconvenience against the immediate and potential benefits of providing it, when the immediate benefit is facilitation of the disabled person's employment and the potential benefits include facilitating access by other disabled employees, applicants, clients and customers. Accommodation may include: alteration of the facility or work site; modification of work schedules or leave policy; acquisition of equipment; job restructuring; provision of readers or interpreters; and other similar actions.

b) Exceptions – Accommodations of a personal nature (e.g., eyeglasses or hearing aids) need not be provided, nor is it necessary to provide any superfluous accommodation (e.g., provision of a chauffeur to accommodate a blind person's traveling difficulties). No employer is required to hire two full time employees to perform one job in order to accommodate a disabled individual.

c) Employee's Burden – It is the duty of the individual seeking an accommodation to apprise the employer or labor organization involved of the employee's disabling condition and submit any necessary medical documentation. The individual must ordinarily initiate the request for accommodation and must cooperate in any ensuing discussion and evaluation aimed at determining the possible or feasible accommodations.

d) Employer's or Labor Organization's Burden – Once a disabled individual has initiated a request for accommodation, or if a potential accommodation is obvious in the circumstances, it is the duty of the employer or labor organization involved to provide the necessary accommodation in conformance with subsection (a). In response to a discrimination charge involving a refusal to provide an accommodation, an employer or labor organization must show that the disabled individual would be unqualified even with accommodation, that the accommodation would be prohibitively expensive or would unduly disrupt the conduct of business, or that the accommodation would constitute an exception as described in subsection (b).

History

• Source: Amended at 33 Ill. Reg. 3506, effective February 5, 2009

56 Ill. Adm. Code 2500.50 Bona Fide Occupational Qualification

Section 2-104(A) of the Act prescribes that it is not a violation for an employer, employment agency or labor organization to discriminate based on a criterion which constitutes a bona fide occupational qualification (BFOQ) for a particular job. This exemption is narrowly construed, and the person claiming the exemption bears the burden of establishing that it is available in the particular instance. A BFOQ is properly applied as an exclusion of an entire class of individuals on the basis of a standard that is necessary for safe or efficient job performance. If an employer or employment agency can demonstrate that all persons with a particular physical or mental condition would be incapable of performing a specific job in a safe or efficient manner, the BFOQ exception to the Act may be invoked. Some examples of BFOQs for specific positions are as follows: sight for a school crossing guard; speech for a radio announcer; and hearing for an air traffic controller. Freedom from any condition which merely presents a risk of future injury cannot qualify as a BFOQ. If an individual can perform the position in question safely and efficiently with a reasonable accommodation, a BFOQ defense to a charge of discrimination cannot be established.

56 Ill. Adm. Code 2500.60 Pre-Employment Inquiries and Examinations

a) Inquiries – An employer, employment agency or labor organization may not require a job applicant to list or disclose all disabling conditions that the applicant is exhibiting. However, it is not a violation of the Act for an employer, employment agency or labor organization to inquire, uniformly of all applicants for employment, referral or admission to an apprenticeship or other training program, whether they have physical or mental disabilities that may impair their abilities to acceptably perform the required duties or to successfully complete the apprenticeship or training programs.

b) Examinations – An employer, employment agency or labor organization may require all applicants who have been found otherwise qualified for selection to submit to pre-employment physical or psychological examinations for the purpose of determining whether applicants are capable of acceptably performing the activities necessary to the job or training at issue. Examinations may also be utilized to ascertain the nature of any accommodation needed to enable the applicant to perform acceptably, but not to disqualify applicants who are revealed as having a condition or characteristic presenting a risk of future injury. Pre-employment physical or psychological examinations may be conducted prior to the stage at which applicants are evaluated as otherwise fully qualified if the practice is followed consistently with all applicants, and if it can be demonstrated that each subsequent evaluative procedure is more expensive or burdensome than the physical or psychological examination. In all events, however, the results of any pre-employment examination must be made available to the applicant, upon request.

History

• Source: Amended at 33 Ill. Reg. 3506, effective February 5, 2009

Part 2510 Discrimination in Employment Based on Unfavorable Military Discharge

56 Ill. Adm. Code 2510.10 Scope and Purpose

This regulation construes in two respects the provisions of the Human Rights Act prohibiting discrimination in employment based on an individual's "unfavorable military discharge." It first prescribes a caveat with regard to the statutory definition of "unfavorable military discharge," addressing a potential inconsistency in the terms of that definition. Secondly, it construes the exemption from the prohibition which applies where the employment "involves the exercise of fiduciary responsibilities as defined by rules and regulations" of the Department.

56 Ill. Adm. Code 2510.20 Statutory Prohibition

Section 2-102 of the Illinois Human Rights Act (Ill. Rev. Stat. 1981, ch. 68, pars. 2-102), prohibits discrimination in employment in Illinois by employers, labor organizations and employment agencies. Under Section 1-103(Q) of the Act, unlawful discrimination includes discrimination based upon a person's "unfavorable discharge from military service." Section 1-103(P) of the Act defines an unfavorable military discharge as encompassing any discharge, from any component of the United States military service, which is less than honorable but not "Dishonorable." A person who has received a military discharge falling within those parameters may not, as a result thereof, be subjected to discrimination except as permitted in an exemption to the Act.

56 Ill. Adm. Code 2510.30 Caveat; Re Codes

In defining what constitutes an "unfavorable military discharge" for purposes of the above prohibition, Section 1-103(P) of the Act indicates that the term includes discharges...which are classified as RE-3 or the equivalent thereof, but does not include those characterized as RE-4 or "Dishonorable." The RE codes referred to in the definition are used by the armed forces to designate the reenlistment status of an individual at the time of discharge, but they do not always correlate exactly with the nature of the individual's discharge. The RE-4 code is used by most (but not all) branches of the armed forces to designate that the individual is absolutely barred from reenlistment. While all persons receiving "Dishonorable" discharges are likely to be assigned the RE-4 code, that code may also be assigned to an individual whose discharge is not "Dishonorable." Moreover, individuals whose discharges have been upgraded by the military review boards may not have received corresponding changes in their reenlistment codes, since the review boards are not authorized to alter the codes. Thus strict reliance on RE codes in evaluating job applicants may lead to results inconsistent with the legislative intent. Therefore, the nature of the discharge, rather than the RE code, should be regarded as the controlling factor.

56 Ill. Adm. Code 2510.40 Exemption for Employment Involving Fiduciary Responsibilities

Section 2-104(C) of the Human Rights Act (Ill. Rev. Stat. 1981, ch. 68, par 2-104(C)), provides that an individual who has received an unfavorable discharge from military service may be excluded from a particular job as authorized by federal law or regulation, or when a position of employment involves the exercise of fiduciary responsibilities as defined by rules and regulations which the Department shall adopt. The term "fiduciary responsibilities" in this context applies where the nature of the employment requires that the employee be entrusted with the discretionary safekeeping or disposition of currency, negotiable instruments or other valuable property, without supervision and under circumstances where great trust, confidence and good faith are necessarily attendant. Examples may include a trustee, guardian, broker, conservator, curator, receiver, partner, corporate or public officer, or business agent, where the foregoing characteristics exist. The mere handling of or access to currency or negotiable instruments is not sufficient to establish "fiduciary responsibilities." Examples which will not ordinarily qualify may include a retail salesperson, insurance salesperson or collector, customer service representative, clerk or cashier, service station attendant, ticket agent, librarian, teller, or appliance installer or repair person. Except where a particular position or assignment requires the discretionary handling of valuables amid great trust, law enforcement and fire personnel do not exercise "fiduciary responsibilities" within the meaning of Section 2-104(C).

Part 2520 Procedures of the Department of Human Rights

56 Ill. Adm. Code 2520.10 Definition of Terms

For purposes of this Part, the following terms shall have the meanings indicated:

Act – the Illinois Human Rights Act [775 ILCS 5].

Charge – an allegation of a civil rights violation filed with or initiated by the Department, and with regard to Subpart F, one filed with a local human rights agency.

Chief Legal Counsel – the Chief Legal Counsel of the Department or a duly authorized designee.

Commission – the Illinois Human Rights Commission or, where appropriate, a panel of three Commissioners.

Complainant – a person who files a charge or a complaint, including the Department in the case of a charge initiated by the Department.

Complaint – a written complaint for hearing filed with the Commission.

Days – calendar days.

Department – the Department of Human Rights.

Director – the Director of the Department or a duly authorized designee.

Local Agency – any department, commission or other instrumentality of a municipality or other political subdivision of the State of Illinois, or of two or more such political subdivisions acting jointly, which is duly established to serve purposes consistent with those of the Act.

Party – the complainant or respondent.

Person – an entity as described in Section 1-103 of the Act [775 ILCS 5/1-103].

Request for Review – as to charges filed with the Department before January 1, 2008, an appeal filed with the Chief Legal Counsel as described in Section 7A-102(D)(3) of the Act before passage of PA 95-243 [775 ILCS 5/7A-102(D)(3)]. As to charges filed with the Department on or after January 1, 2008, an appeal filed with the Commission as described in Section 7A-102(D)(3) of the Act.

Respondent – a person against whom a charge or complaint is filed.

Unlawful Discrimination – any form of discrimination prohibited under the Act or under a local ordinance administered by a local agency.

History

• Source: Amended at 32 Ill. Reg. 13482, effective August 1, 2008

56 Ill. Adm. Code 2520.20 Computation of Time

To compute any period of time provided for under the Act, the date of any act, event, service or default from which such period of time begins to run shall not be included. When the last day of any such period falls on a Saturday, Sunday or legal State holiday, such time period shall continue to run until the end of the next day which is not a Saturday, Sunday, or legal State holiday. Whenever a time period commences upon a person's receipt of service or notice, and service is by mail, receipt shall be presumed to occur on the fifth day after mailing.

History

• Source: Amended at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.30 Service of Documents

a) Manner of Service. Unless otherwise provided, all documents required to be served under the Act or this Part shall be served personally, by telefax, by electronic service, by U.S. mail, or by private delivery service.

b) Proof of Service. When service on the Department is required, proof of service shall be filed with the Department consisting of the verified statement of the individual making service, specifying the title of the document, manner and date of service.

c) Effective Date of Service

1. Service by mail shall be deemed complete five days after mailing of the document, properly addressed and posted for delivery to the person to be served.

2. Service by telefax or electronic service shall be deemed complete when transmitted, regardless of when the recipient opens or reads the electronic communication, properly addressed to the person to be served. Telefax or electronic service served on a Saturday, Sunday or legal state holiday are deemed served on the following business day.

History

• Source: Amended at 44 Ill. Reg. 19864, effective December 14, 2020

56 Ill. Adm. Code 2520.40 Filing with the Department

Documents required to be filed with the Department will be deemed filed when received, if hand-delivered, telefaxed, or electronically submitted. An item delivered by the U.S. Postal Service will be deemed to have been filed when postmarked, properly addressed and posted for delivery. An item delivered by a private delivery service will be deemed to have been filed on the date sent as indicated on the label, or in the absence of such a date on the label, will be deemed filed on the date received. An item submitted electronically will be deemed to have been filed on the date received by the Department's electronic communication system, unless it is submitted on a Saturday, Sunday or legal State holiday, in which case, it is deemed filed on the following business day.

History

• Source: Amended at 44 Ill. Reg. 19864, effective December 14, 2020

56 Ill. Adm. Code 2520.50 Separability

In the event any provision or term of this Part, or any amendment thereto, is determined by a court or other authority of competent jurisdiction to be invalid, such determination shall not affect the remaining provisions which shall continue in full force and effect.

History

• Source: Amended at 5 Ill. Reg. 1627, effective February 9, 1981

56 Ill. Adm. Code 2520.110 Preservation of Records by Employers, Labor Organizations, Employment Agencies and Respondents

a) Employers subject to the Act shall preserve and maintain the following records, to the extent that they may exist, for the periods indicated herein:

1. Applications for employment, resumes, and other documents or supporting materials submitted by or on behalf of applicants; and all interview forms, aptitude or qualifying examinations, personal history or background examination reports, medical history and physical examination reports, and other documents, pertaining to each applicant, for a period of one year from the date of application;

2. Each employee's personnel file, including performance evaluations, attendance/tardiness records, reprimands and disciplinary records, and suspension, lay-off, termination or resignation records, for a period of one year from the date of such employee's termination or separation from employment;

3. Job descriptions, production standards, and other records of required job duties, qualifications and performance criteria, for a period of one year following the date the same cease to be effective.

b) Labor organizations subject to the Act shall preserve and maintain the following membership and business records to the extent that they may exist for the periods indicated herein:

1. Applications for membership or transfer of membership, and supporting documents or materials submitted by or on behalf of any applicant, and any records bearing on the disposition thereof, for a period of one year from the date of application;

2. All membership and apprenticeship records, including records pertaining to the discipline, suspension or expulsion of a member, apprentice, or trainee, for a period of one year from the date of expulsion or separation of any such person from membership or an apprenticeship or training program;

3. All grievance and arbitration records, including documents pertaining to the request by or on behalf of any member of the collective bargaining unit that a grievance be initiated, and any documents reflecting the disposition of such a request or the disposition of any grievance filed, for a period of one year from the date of such request or from the date of final resolution of the grievance.

c) Employment agencies shall preserve the following documents for a period of one year from the time these documents are created:

1. all applications for assignment to an employer, and documents in support thereof;

2. any documents bearing on the disposition thereof;

3. documents relating to the terms and conditions of an assignment.

d) Charge Pending – Notwithstanding any other provision of this Part, once a charge has been served on a respondent, the respondent shall preserve all records and other evidence pertaining to the charge until the matter has been finally adjudicated.

History

• Source: Amended at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.310 Time of Filing (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.320 Form (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.330 Contents

A charge shall be in such detail as to substantially apprise parties of the time, place and facts with respect to the alleged civil rights violation. The charge shall contain the following:

a) the full name and address of the complainant; however, upon request of complainant or respondent and with agreement of the Department, the name of complainant will not be released to the public;

b) the full name and address of each respondent;

c) a statement of the facts alleged to constitute a prima facie case of a civil rights violation, including the date, time, and place of the violation;

d) a statement of each specific harm the complainant has suffered as a consequence of the alleged civil rights violation; and

e) complainant's signature notarized under oath or affirmation or verified by certification (as required by Sections 7A-102(a)(1) and 7B-102(a)(1) of the Act) stating:

Under penalties as provided by law pursuant to Section 1-109 of the Code of Civil Procedure, the undersigned certifies that the statements set forth in this instrument are true and correct, except as to matters therein stated to be on information and belief and as to such matters the undersigned certifies as aforesaid that he verily believes the same to be true. [735 ILCS/5/1-109]

History

• Source: Amended at 44 Ill. Reg. 19864, effective December 14, 2020

56 Ill. Adm. Code 2520.340 Requirements for Charge (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.350 Unperfected Charge

In the event the Department receives a written statement from an individual which complies substantially with Section 2520.330 of this Part, the Department may accept and docket the statement (or a refined version of it) as an unperfected charge. The Department shall notify the complainant in writing of the elements which must be supplied. If the complainant fails or refuses to perfect the charge as specified, the charge may be dismissed pursuant to Section 2520.560 if this Part.

History

• Source: Amended at 30 Ill. Reg. 18715, effective November 20, 2006

56 Ill. Adm. Code 2520.360 Amendment

a) A charge may be amended to cure technical defects or to set forth additional facts or allegations related to the subject matter of the original charge, and such amendments shall relate back to the original filing date.

b) A charge may be amended to include new harms or bases which occurred within 180 days of the amendment or, for charges under Article 3 of the Act, one year of the date of the amendment.

c) A charge may be amended to substitute or name additional respondents. Such an amendment will relate back to the original filing date if at the time of the amendment a separate charge could have been timely filed against such additional respondent or such additional respondent had timely notice of the original charge and the fact it might be involved therein. Mere misnomer of a party may be cured at any time.

d) If a party dies during pendency of the proceedings, the charge may be amended to substitute the legal representative, or other person with a legally recognized interest in the decedent's estate, for the deceased.

History

• Source: Amended at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.370 Substitution and Addition of Parties (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.380 Withdrawal of Charge

A charge or any part may be withdrawn at any time prior to issuance of a notice dismissing the charge or the filing of a Complaint based on the charge. A complainant's request to withdraw a charge shall be in writing and signed and shall specifically reference the Department's charge number and any applicable federal or local charge numbers. The Department shall approve the request if it is knowingly and voluntarily made, and shall administratively close the charge pursuant to Section 2520.550 of this Part.

History

• Source: Amended at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.405 Verified Response to Charge

a) Pursuant to Section 7A-102(B), for charges filed prior to September 8, 2017, within 60 days after receipt of the notice of the charge, or of a substantive amendment to a charge that includes new harms, bases or respondents pursuant to Section 2520.360(b) and (c), respondent shall file a verified response to the allegations in the charge. Respondent shall serve a copy of the verified response on complainant or complainant's representative and shall show proof to the Department that the copy was served on complainant or complainant's representative.

b) Pursuant to Section 7B-102(B), for charges filed prior to September 8, 2017, within 30 days after receipt of the notice of the charge, or of a substantive amendment to a charge that includes new harms, bases or respondents pursuant to Section 2520.360(b) and (c), respondent shall file a verified response to the allegations in the charge. Respondent shall serve a copy of the verified response on complainant or complainant's representative and shall show proof to the Department that the copy was served on complainant or complainant's representative.

c) When, without good cause shown, respondent's verified response is not timely filed and/or served on complainant or complainant's representative, complainant may raise that issue before the Department. The raising of an issue of an untimely filed and/or served verified response with the Department does not relieve complainant of complainant's duty to comply with the Department's investigation.

d) Pursuant to Sections 7A-102(B) and 7B-102(B) of the Act, good cause for untimely filing a verified response may include, but shall not be limited to:

1. Death or sudden, serious illness of respondent or respondent's representative; or

2. Death or sudden, serious illness of an immediate family member of respondent or respondent's representative; or

3. Respondent filed and served a timely verified response, but the Department later determined that respondent's verified response was defective; or

4. Respondent acted with due diligence and was not deliberate or contumacious and did not unwarrantedly disregard the verified response process, as supported by affidavit or other evidence; or

5. Respondent's failure to timely file a verified response was due to circumstances beyond respondent's control, as supported by affidavit or other evidence.

e) Whether good cause exists is in the sole discretion of the Department.

f) When respondent is responding to a notice to show cause for failing to timely file the verified response and/or timely serve a copy on complainant or complainant's representative, respondent shall include the verified response with the response to the notice to show cause and show proof that respondent has served the verified response on complainant or complainant's representative.

History

• Source: Amended at 42 Ill. Reg. 17235, effective September 17, 2018

56 Ill. Adm. Code 2520.407 Response to Charge

a) For charges filed on or after September 8, 2017, pursuant to Section 7A-102(B) of the Act, the Department may require respondent to file a response to the allegations in the charge. Respondent shall file a response to the charge within 60 days after service of the Department's request. If the Department does not require a response, Respondent may still choose to file a response to the charge within 60 days after service of the charge. Respondent shall serve a copy of the response to the charge on complainant or complainant's representative and shall show proof to the Department that the copy was served on complainant or complainant's representative.

b) For charges filed on or after September 8, 2017, pursuant to Section 7B-102(B) of the Act, the Department may require respondent to file a response to the allegations in the charge. Respondent shall file a response to the charge within 30 days after service of the Department's request. If the Department does not require a response, respondent may still choose to file a response to the charge within 30 days after service of the charge. Respondent shall serve a copy of the response to the charge on complainant or complainant's representative and shall show proof to the Department that the copy was served on complainant or complainant's representative.

c) Reasons for the Department to request that respondent file a response to the charge may include, but are not limited to:

1. Circumstances of the allegations in the pending charge; or

2. Multiple charges have been filed or are pending against respondent; or

3. Complainant filing a substantive amendment to the charge or a new charge that includes new allegations; or

4. Conflicting or insufficient evidence regarding the legal name or identity of respondent; or

5. Respondent's failure to cooperate during the investigation of the pending charge; or

6. The charge was initiated by the Director.

d) For charges filed on or after September 8, 2017, pursuant to Sections 7A-102(B) and 7B-102(B) of the Act, good cause for untimely filing a response required by the Department may include, but shall not be limited to:

1. Death or sudden, serious illness of respondent or respondent's representative; or

2. Death or sudden, serious illness of an immediate family member of respondent or respondent's representative; or

3. Respondent filed and served a timely response, but the Department later determined that respondent's response was defective; or

4. Respondent acted with due diligence and was not deliberate or contumacious and did not unwarrantedly disregard the response process, as supported by affidavit or other evidence; or

5. Respondent's failure to timely file a response was due to circumstances beyond respondent's control, as supported by affidavit or other evidence.

e) Whether to request a response and whether good cause exists are in the sole discretion of the Department.

f) When respondent is responding to a notice to show cause for failing to timely file the response to a charge required by the Department and/or when respondent is responding to a notice to show cause for failing to timely serve a copy of the response to charge on complainant or complainant's representative, respondent shall include the response to the charge with the response to the notice to show cause and show proof that respondent has served the response on complainant or complainant's representative.

History

• Source: Added at 42 Ill. Reg. 17235, effective September 17, 2018

56 Ill. Adm. Code 2520.410 Docketing and Service of Charge (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.415 Mediation

a) Purpose. Pursuant to Section 7A-102(B-1) of the Act, the Department may conduct a conference for the purpose of negotiating a settlement to resolve the issues in dispute if the parties to a charge voluntarily agree to submit the charge to mediation.

b) Termination of Mediation. The Department will terminate the mediation proceedings if either party fails to comply with this Section or if the Department determines that continuation of the mediation proceedings is unlikely to result in a settlement of the charge of discrimination.

c) Extension. Prior to scheduling a mediation conference, the Department will require parties to the charge to agree in writing to extend the 365 days for processing the case pursuant to Section 7A-102(G)(1) of the Act.

d) Attorneys, Witnesses. A party may be accompanied at a mediation conference by his/her attorney or other representative, and by a translator if necessary. An attorney for a party not previously having entered an appearance must do so at the beginning of the conference. The parties shall not bring witnesses to the mediation conference.

e) Conduct. The mediator or other designee of the Department shall conduct the mediation conference and control the proceedings. The Department may limit the number of attendees who attend the mediation conference for each party.

f) Settlement Agreement. Pursuant to Section 7A-102(B-1) of the Act, no party attending a mediation conference shall be required to accept the result of a mediation. Each party to a settlement agreement will have 10 consecutive calendar days from the date of the conference to revoke his/her acceptance of a settlement. The 10 day revocation period may be waived by written agreement of the parties.

g) Failure to Settle. If the parties are unable to reach an agreement, or if a party revokes his/her acceptance of the settlement within 10 days, the Department will investigate the charge of discrimination.

h) Confidentiality. The mediation conference will be confidential. No tape recording, stenographic report or other verbatim record of the conference will be permitted.

History

• Source: Added at 38 Ill. Reg. 9481, effective April 21, 2014

56 Ill. Adm. Code 2520.420 Maintenance of Records (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.430 Investigation

a) After a charge has been filed, the Department's staff shall institute an investigation to ascertain the facts relating to the civil rights violation as alleged in the charge and any amendments.

b) A respondent must promptly provide the Department with a notice of any change in address or telephone number or of any prolonged absence from the current address so that respondent can be located. If, during the investigation, a respondent refuses to cooperate, the Director may either make a finding of substantial evidence or request the Commission issue subpoenas to compel the attendance of witnesses or the production of documents.

c) A complainant must promptly provide the Department with a notice of any change in address or telephone number or of any prolonged absence from the current address so that he or she can be located. A complainant must cooperate with the Department, provide necessary information and be available for interviews and conferences upon reasonable notice or request by the Department. If a complainant cannot be located or does not respond to reasonable requests by the Department, the Department may dismiss the charge pursuant to Section 2520.560 of this Part.

d) The Director may request the Commission issue subpoenas to compel the production of any documents and/or the attendance of witnesses at an interview conducted by the Department or at a fact-finding conference.

e) The Department may withhold any witness statement, or the identity of any witness, as confidential upon the request of a party or the witness.

f) The Department shall neither rely on nor make credibility determinations without affording the parties the rights of confrontation and cross-examination. (See Cooper v Salazar, #98C2930, U.S. District Court for the Northern District of Illinois, Order dated November 1, 2001, paragraph 26.1).

History

• Source: Amended at 31 Ill. Reg. 14815, effective October 19, 2007

56 Ill. Adm. Code 2520.440 Fact-Finding Conference

a) Notice. As part of its investigation, the Department may convene a fact-finding conference for the purpose of obtaining evidence, identifying the issues in dispute, ascertaining the positions of the parties and exploring the possibility of a negotiated settlement. Notice of the conference shall be given to all parties at least ten days prior thereto, and shall identify the individuals requested to attend on behalf of each party. These time provisions may be waived by agreement of the parties and the Department.

b) Attorneys, Witnesses. A party may be accompanied at a fact-finding conference by his/her attorney or other representative, and by a translator if necessary. An attorney for a party not previously having entered an appearance must do so at the beginning of the conference. The parties may bring witnesses to the conference in addition to those whose attendance is mandated by the Department.

c) Conduct. The investigator or other employee of the Department shall conduct the conference and control the proceedings. No tape recording, stenographic report or other verbatim record of the conference can be made. The investigator shall decide which witnesses shall be heard and the order in which they are heard. The investigator may exclude witnesses and other persons from the conference, except that each party and one representative and a translator shall be permitted to remain.

d) Dismissal or Default for Non-attendance.

1. For charges filed before January 1, 1996, the failure of a party to attend the conference without good cause after due notice may result in dismissal of the charge pursuant to Section 2520.560 of this Part, in the case of a complainant, or default pursuant to Section 2520.570 of this Part, in the case of a respondent. For charges filed on or after January 1, 1996, the failure of a party to attend the conference without good cause after due notice shall result in dismissal of the charge pursuant to Section 2520.560 of this Part, in the case of a complainant, or default pursuant to Section 2520.570 of this Part, in the case of a respondent.

2. A party who appears at the conference exclusively through an attorney or other representative unfamiliar with the events at issue shall be deemed to have failed to attend, unless, with respect to a respondent, it establishes that it does not employ or control any person with knowledge of the events at issue.

3. Failure to Appear

A) Pursuant to this Section and Section 7A-102(C)(4) of the Act, good cause for failing to attend the fact-finding conference may include, but shall not be limited to:

i) death or sudden, serious illness of a party scheduled to attend the fact finding conference; or

ii) death or sudden, serious illness of an immediate family member of a party scheduled to attend the fact finding conference; or

iii) the party acted with due diligence and was not deliberate or contumacious and did not unwarrantedly disregard the fact-finding conference process, as supported by affidavit or other evidence; or

iv) circumstances beyond the non-attending party's control, as supported by affidavit or other evidence.

B) If more than one person from a party is scheduled to attend the fact-finding conference, the inability of one person to attend shall not constitute good cause for failure of other persons to attend.

4. In assessing good cause, the factors which the Department may consider shall include, but shall not be limited to, whether the party has provided timely notice of its inability to attend the fact-finding conference and whether the party has complied with the Department's request for documentation of the reason for not attending the conference.

5. Whether good cause exists and whether a fact-finding conference is rescheduled are in the sole discretion of the Department.

History

• Source: Amended at 30 Ill. Reg. 18715, effective November 20, 2006

56 Ill. Adm. Code 2520.450 Administrative Closure (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.460 Determination After Investigation (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.470 Conciliation (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.480 Complaint (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.490 Eeoc Dual Filed Charges

a) The following will apply to all charges filed after August 26, 2011 with the Equal Employment Opportunity Commission (EEOC) and dual filed with the Department pursuant to Section 7A-102(A-1) of the Act:

1. The charge will be initially investigated by the EEOC pursuant to the EEOC's rules and procedures.

2. The Department will not take any action on the charge until the EEOC issues its final determination.

3. Within 30 days after receiving the final determination from the EEOC, the complainant must submit a copy of the EEOC's determination to the Department in order to preserve the complainant's rights under the Act.

b) The Department will investigate a charge filed with the EEOC and dual filed with the Department pursuant to Section 7A-102(A) and (B) through (G) of the Act if:

1. The EEOC dismisses the charge or a portion of the charge of discrimination because, under federal law, the EEOC lacks jurisdiction over the charge and the Department has jurisdiction over the charge; or

2. The EEOC defers the case to the Department for investigation pursuant to the Department's work sharing agreement with the EEOC.

c) After receiving notice from the EEOC that a charge has been filed pursuant to Section 7A-102(A-1) of the Act, the Department will notify the parties that:

1. A charge has been received by the EEOC and has been sent to the Department for dual filing purposes;

2. The EEOC is the governmental agency responsible for investigating the charge and the investigation shall be conducted pursuant to the rules and procedures adopted by the EEOC;

3. The Department will take no action on the charge until the EEOC issues its final determination;

4. The complainant must submit a copy of the EEOC's final determination within 30 days after service of the final determination by the EEOC on the complainant in order to preserve the complainant's rights under the Act; and

5. The time period to investigate the charge contained in Section 7A-102(G) is tolled from the date on which the charge is filed with the EEOC until the EEOC issues its final determination.

d) If the complainant fails to submit a copy of the EEOC's final determination to the Department within 30 days after receipt of the EEOC's final determination, the Department may dismiss the charge for lack of jurisdiction. The complainant may request to have the Illinois Human Rights Commission review the Department's determination that it lacks jurisdiction over the charge by filing a Request for Review with the Illinois Human Rights Commission within 90 days after receipt of the Department's Notice of Dismissal in accordance with Section 8-103 of the Act.

e) If the Department does not receive notification from the EEOC that a charge has been filed until after the EEOC has already issued its final determination, the complainant shall have 30 days from receipt of the Department's notice to submit a copy of the EEOC's final determination to the Department.

f) If the EEOC finds reasonable cause for a violation, the EEOC's final determination is the issuance of a Notice of Right to Sue after conciliation has failed. The EEOC's finding of cause is not a final determination and the Department will not take any action until the EEOC's conciliation process is complete, which occurs when the EEOC either files its complaint or when it issues to the complainant a Notice of Right to Sue after conciliation has failed. The complainant has 30 days from receipt to submit a copy of the EEOC's Notice of Right to Sue to the Department.

g) If the complainant first files a charge with the EEOC and then files a charge containing the same or similar allegations with the Department, the Department may administratively close the charge filed with the Department as a duplicate charge. The Department shall process the EEOC-filed charge pursuant to Section 7A-102(A-1) of the Act.

h) If the complainant first files a charge with the Department and then files a charge containing the same or similar allegations with the EEOC, and the EEOC charge is dual filed with the Department pursuant to Section 7A-102(A-1) of the Act, the Department may administratively close the dual filed charge with the EEOC as a duplicate charge. The Department shall process the Department charge pursuant to Section 7A-102(B) through (G).

i) If the complainant timely notifies the Department of the EEOC's determination and concurrently requests that the Department review the EEOC's determination, the Department will serve a copy of the charge on the respondent and review the EEOC's determination pursuant to Section 7A-102(A-1)(3)(b) without further notice to the parties.

j) If the complainant timely notifies the Department of the EEOC determination that it is unable to establish that unlawful discrimination has occured and concurrently submits a written request for the Department to adopt the EEOC's determination, the Department may adopt the EEOC's determination as a dismissal for lack of substantial evidence pursuant to Section 7A-102(A-1)(3)(a) of the Act without further notice to the parties.

k) The Department will adopt the EEOC's determination after the complainant has requested the Department review the EEOC's determination if the complainant notifies the Department in writing, and within a reasonable period of time after requesting the Department to review the EEOC determination, that the complainant desires to withdraw the previous request and have the Department adopt the EEOC's finding.

l) As part of any further investigation pursuant to Section 7A-102(A-1)(3)(b) of the Act, the Department will not require:

1. The respondent to file a verified response to Complainant's charge pursuant to Section 7A-102(B) of the Act or Section 2520.405 of this Part; or

2. The parties to attend a fact finding conference pursuant to Section 7A-102(C)(4) of the Act or Section 2520.440 of this Part.

m) The 365-day time period to investigate the charge pursuant to Section 7A-102(G) of the Act shall be tolled from the date the charge is filed with the EEOC until the date the EEOC issues its final determination. The Department will consider the EEOC final determination issued on the date set forth in the EEOC's final determination.

n) Complainants may withdraw the charge with the Department prior to the EEOC issuing a final determination by submitting a withdrawal form identifying the parties' names and the Department's control number. Upon receiving a properly submitted withdrawal form, the Department shall administratively close the charge pursuant to Section 2520.550.

History

• Source: Added at 38 Ill. Reg. 9481, effective April 21, 2014

56 Ill. Adm. Code 2520.510 Settlement

a) Settlement Enforceable by Commission. If the parties seek to have a settlement enforced by the Commission, the terms of settlement must first be approved by the Director. If the proposed terms are unambiguously drawn, not inconsistent with the Act, and knowingly and voluntarily entered into, the Director shall approve them and file them with the Commission. The Department may require any part to such terms to submit proof of compliance.

b) Private Settlement. The parties may choose to enter into a private settlement and not submit it to the Director for approval or to the Commission for enforcement. The Department will continue to process the charge unless it is withdrawn pursuant to Section 2520.380 of this Part.

c) Non-Disclosure. No stenographic or other formal record shall be made of settlement efforts.

d) Non-Compliance.

1. The Department may conduct an investigation to determine compliance with settlement terms if proof of compliance is not provided or if a party makes a written allegation of a violation.

2. If the Department concludes that substantial evidence of a violation is lacking, it shall so notify the parties in writing.

3. If the Department determines that there is substantial evidence of a violation, the Department shall file with the Commission a notice of violation, with service on all parties. The notice shall set forth the nature of the violation and shall request that the Commission:

A) authorize the Department to seek judicial enforcement of its order pursuant to Section 8-111(B) of the Act [775 ILCS 8-111(B)]; or

B) remand the matter to an Administrative Law Judge for public hearing on the alleged violation.

History

• Source: Amended at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.520 Non-Disclosure (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.530 Dismissal for Refusal to Accept Settlement Offer (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.540 Non-Compliance with Settlement Terms (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.550 Administrative Closure

a) When a complainant opts out of the Department's investigation, the Department will administratively close the charge pursuant to Section 7A-102(C-1) of the Act.

b) When the Department administratively closes a charge pursuant to subsection (a) or pursuant to Section 2520.380, it shall promptly notify all parties in writing.

c) The Department may vacate an administrative closure pursuant to Section 2520.380 only if the statutory 365-day time period plus extensions, if any, has not expired pursuant to Section 7A-102(G)(1) of the Act.

History

• Source: Amended at 44 Ill. Reg. 19864, effective December 14, 2020

56 Ill. Adm. Code 2520.560 Dismissal

a) The Department shall serve upon the parties a written notice of dismissal of all or part of a charge. The notice will state the grounds for dismissal and that the complainant may obtain review by the Commission by filing a request for review.

b) The dismissal may be based upon:

1. lack of substantial evidence of discrimination or lack of jurisdiction. An investigation report discussing the reasons for the dismissal will accompany the notice of dismissal;

2. complainant's failure to proceed, as provided in Section 2520.430(c). The notice of dismissal in these cases will specify the manner in which the complainant has failed to proceed and will be addressed to the complainant at the last known address;

3. complainant's failure to accept a settlement offer, pursuant to Section 7A‑103(D) of the Act. The notice in these cases will specify the reasons for the Department's dismissal; or

4. the filing of litigation in federal and State court (see Section 7-109.1 of the Act).

History

• Source: Amended at 44 Ill. Reg. 19864, effective December 14, 2020

56 Ill. Adm. Code 2520.570 Default

Prior to the entry of a default against a respondent pursuant to Section 7A-102(B), 7A-102(C), 7B-102(B) or 7B-102(C) of the Act and Section 2520.440(d) of this Part, the Department will afford that party written notice and a period of at least 15 days to show good cause in writing why default may not be appropriate. A Notice of Default shall be construed as a "report" pursuant to Section 7A-102(G) of the Act. For charges filed on or after January 1, 2008, if the Department issues a Notice of Default, the Department will notify the respondent that the respondent has 30 days from service of the Notice of Default to file a Request for Review with the Human Rights Commission.

History

• Source: Amended at 36 Ill. Reg. 8699, effective June 1, 2012

56 Ill. Adm. Code 2520.573 Filing with Chief Legal Counsel

For charges filed on or after January 1, 1996 and before January 1, 2008:

a) A Complainant may request review by the Chief Legal Counsel of a determination by the Director to dismiss one or more allegations of a charge for:

1. lack of substantial evidence;

2. lack of jurisdiction;

3. failure of a Complainant to proceed; or

4. failure of a Complainant to accept a settlement offer.

b) A Respondent may request review by the Chief Legal Counsel of a decision by the Director to issue a notice of default.

c) Any request for review must be filed with the Chief Legal Counsel at the Department's Chicago office within 30 days after receipt of the Department's notice of the decision. The Department's Electronic Filing Project (see Section 2520.40(b)) shall not apply to this Section.

d) Neither the parties nor the Department may communicate directly or indirectly with the Chief Legal Counsel or staff attorney assigned to a request for review in connection with any issue, except in writing with copies to all parties and the Department.

e) If resources permit, the Chief Legal Counsel shall not assign a request for review to the staff attorney who has conducted the substantial evidence review. The Chief Legal Counsel shall have sole discretion over assignment of requests for review.

f) Proceedings on requests for review shall toll the time limitation established in Section 7A-102(G)(1) or Section 7B-102(G) of the Act from the date on which the Director's notice of dismissal or default is issued to the date on which the order of the Chief Legal Counsel of the Department is entered.

History

• Source: Amended at 41 Ill. Reg. 11560, effective August 29, 2017

56 Ill. Adm. Code 2520.575 Contents of Request for Review (repealed)

History

• Source: Repealed at 42 Ill. Reg. 17235, effective September 17, 2018

56 Ill. Adm. Code 2520.577 Notice by the Chief Legal Counsel (repealed)

History

• Source: Repealed at 42 Ill. Reg. 17235, effective September 17, 2018

56 Ill. Adm. Code 2520.580 Extensions of Time (repealed)

History

• Source: Repealed at 42 Ill. Reg. 17235, effective September 17, 2018

56 Ill. Adm. Code 2520.583 Reply to Request for Review and Surreply (repealed)

History

• Source: Repealed at 42 Ill. Reg. 17235, effective September 17, 2018

56 Ill. Adm. Code 2520.585 Additional Investigation

a) If the Chief Legal Counsel requests additional investigation pursuant to Section 7-101.1(B) of the Act, all parties and the Department shall be:

1. informed of the request in writing;

2. informed of the results of the additional investigation and provided copies of any documents submitted in response to the additional investigation; and

3. given 14 days to file a supplemental request for review, reply and surreply to address the results of the additional investigation.

b) If the additional investigation affects the findings of the Chief Legal Counsel, the pertinent parts of the investigation shall be included in the order entered pursuant to Section 2520.587 of this Part.

c) Before assigning a request for review to a staff attorney for additional investigation or any other work, the Chief Legal Counsel will consider whether the staff attorney has conducted a substantial evidence review of that charge.

History

• Source: Amended at 26 Ill. Reg. 17217, effective November 18, 2002

56 Ill. Adm. Code 2520.587 Decision

If, after a de novo review of the Director's decision to dismiss a charge or issue a Notice of Default, the Chief Legal Counsel determines that the Director's decision should be sustained, he/she shall enter an order stating the findings and reasons for that determination. Otherwise, the Chief Legal Counsel shall order that the dismissal or default be vacated and either the charge be returned to the Charge Processing Division of the Department for additional investigation or a substantial evidence finding be entered. The Chief Legal Counsel shall cause the order to be served on the Director and all parties to the charge and to be timely published on the Department's website. The order shall remain on the Department's website for a period of two years from the date the order is entered. The order shall be removed from the website and maintained in hard copy at the Department's office in Chicago, Illinois for an additional two years. After the expiration of the two-year period, the Department shall send the order to the Illinois State Archives and it will be available for public inspection for an additional five years. In the case of a default that is sustained, a copy of the order shall also be served on the Human Rights Commission, so that it may conduct further proceedings pursuant to Section 7-101.1(C) of the Act.

History

• Source: Amended at 32 Ill. Reg. 13482, effective August 1, 2008

56 Ill. Adm. Code 2520.610 Scope and Purpose (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.620 Definitions (repealed)

History

• Source: Repealed at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.630 Cooperative Agreements

Subject to the following requirements, the Department may enter into a written agreement with a local agency to jointly process or transfer from one to the other for processing allegations of unlawful discrimination.

a) Application by local agency

1. A local agency which desires to enter into a cooperative agreement with the Department may apply in writing to the Director at the Department's Chicago office. The application shall consist of at least the following items:

A) A copy of the ordinance(s) under which the local agency is established and which it administers;

B) A copy of any regulations or other written policies and procedures governing the local agency's operations;

C) A narrative statement signed by the agency's chair or chief executive officer describing:

i) its total budget and available resources;

ii) the size of its staff, both full/and part-time;

iii) its current or annual caseload of discrimination complaints; and

iv) the nature and duration of the cooperative arrangement it seeks with the Department.

2. The application shall also be supported by evidence that it is approved by the governing authorities of the political subdivision(s) of which the local agency is a part.

b) Review by Department – The Department shall examine the local agency's application and supporting materials, and may request further information bearing upon the agency's authority, organization, and operational capacity. Representatives of the Department may visit the locality to gather further information and/or discuss the application in greater detail.

c) Approval by Director – After the Department has reviewed the local agency's application and gathered any further information pertinent to its inquiry, the Director shall determine whether a cooperative agreement is feasible and in the best interests of the Department and the public. The Director shall advise the local agency in writing as to that determination and, if it is in the affirmative, shall forward to the agency a proposed cooperative agreement. In making this determination, the Director will consider, without limitation, such factors as the extent of the local agency's lawful authority; its experience and administrative capabilities; the number and types of charges filed in its area; and the competing demands upon the Department's available resources.

d) Execution of Agreement – After the Department and a local agency have agreed upon the terms of a cooperative agreement, the terms shall be reduced to writing and executed by the Director and by the chair and/or chief executive officer of the local agency. The agreement may also be executed by an appropriate official on behalf of the governing authority of the municipality or political subdivision(s) of which the local agency is a part. The agreement shall take effect upon a date specified in the agreement.

e) Term of Agreement – A cooperative agreement duly executed by and between the Department and a local agency shall remain in effect for a term specified in the agreement itself, but may be terminated by either party without penalty at any time upon written notice to the other.

History

• Source: Amended at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.640 Nature of Cooperative Agreements

A cooperative agreement executed by and between the Department and a local agency may provide for any of the following arrangements, separately or in combination:

a) Dual-filing of local charges – The local agency may transfer to the Department a charge that it has docketed and over which the Department has jurisdiction. The charges shall be accepted by the Department and docketed as Department charges if received by the Department within 180 days following the alleged discrimination and if they meet the requirements of the Act and the Department's rules. Upon acceptance of a charge, the Department will notify the local agency of the docket number it has assigned to the charge.

b) Referral of Department charges – The Department may refer to the local agency charges that the Department has received that allege violations also within the jurisdiction of the local agency. The local agency shall promptly notify the Department whether it has accepted the referred charge and, if so, the docket number it has assigned to the charge. If a local agency accepts a charge, the Department shall defer processing the charge until the local agency completes its investigation and issues findings as to the charge. A local agency's notarization ("perfection") of the charge for purposes of the local agency's investigation shall not equate to "perfection" for the Department. Upon receiving the local agency's findings, the Department shall provide the complainant the opportunity to perfect the charge and to have the Department investigate the complainant's charge. If within 35 days after receiving notice that the complainant may perfect the charge with the Department, the complainant does not notify the Department of the complainant's election to perfect the charge with the Department, the Department may close the complainant's unperfected charge. If the complainant elects to perfect the charge with the Department, at its discretion the Department may adopt the findings of the local agency.

c) Transfer of non-jurisdictional charges – The Department and the local agency may agree to transfer, from one to the other, any charges either may receive that are not within the recipient's jurisdiction but may be within the other's jurisdiction. The agreement shall provide that the transferee will accept and docket a charge if it meets its lawful requirements for a charge and if the transfer is received within its lawful time requirement for the filing of a charge. The transferee will further agree to promptly notify the transferor whether it has accepted and docketed the charge and, if so, the assigned docket number.

History

• Source: Amended at 33 Ill. Reg. 11311, effective July 20, 2009

56 Ill. Adm. Code 2520.650 Training and Technical Assistance

Under the terms of any cooperative agreement under Section 2520.630 of this Part, or upon written application by a local agency to the Director, the Department may provide training and/or technical assistance to a local agency in the procedures and techniques utilized by the Department in receiving, investigating and attempting to resolve charges of unlawful discrimination. In determining whether to provide such training upon application, the Department will consider the expertise already possessed by the local agency, the number and types of charges filed in its area, and the competing demands upon the Department's resources. The Department's approval of a cooperative agreement incorporating provisions as set forth in Section 2520.640(a) and (b) of this Part, or the effective date of such an agreement, may be conditioned upon the successful completion by the local agency's appropriate staff of such training.

History

• Source: Amended at 18 Ill. Reg. 16829, effective November 4, 1994

56 Ill. Adm. Code 2520.660 Promotion of Communication and Goodwill

The Department and a local agency may agree at any time to jointly sponsor or conduct conferences, seminars, public hearings or the like or engage in other endeavors, and to publish the results thereof, which are designed to gather or disseminate information or to foster improved human relations, understanding and the achievement of equal opportunity and interfaith and interracial harmony.

History

• Source: Added at 6 Ill. Reg. 2125, effective February 8, 1982

56 Ill. Adm. Code 2520.700 Definitions

For purposes of this Subpart, the following terms shall have the meanings indicated:

Affirmative Action Group – any of the groups listed in Section 2520.720 or 2520.730.

Agency – any instrumentality or facility of the executive branch of State government, as specified in Section 2520.710.

Central Management Services or CMS – the Department of Central Management Services or any successor agency responsible for its functions.

Chief Executive Officer – the director or other chief executive or administrator of any agency other than the Department.

Disability – as used in Section 2-105(B) of the Act and this Subpart, long-lasting impairment of physical, mental, hearing, cognition, ambulation, self care, independent living or other functions.

EEO – Equal Employment Opportunity.

EEO/AA – Equal Employment Opportunity/Affirmative Action.

EEO Job Categories – the following 8 categories: officials/managers; professionals; paraprofessionals; technicians; office/clerical workers; protective services workers; skilled craft workers; and service/maintenance workers.

EEO Officer – the Equal Employment Opportunity Officer, whether full or part-time, appointed by a State agency pursuant to Section 2-105(B)(4) of the Act and Section 2520.780 of this Part.

Layoff – the placement of an employee in non-paid and non-working status without prejudice, either temporarily or for an indeterminate length of time. Layoff does not include, either temporarily or indeterminately, a means or form of discipline.

Minority – those groups, or members of a group, listed in Section 2520.720 or 2520.730, other than women and disabled persons.

Numerical Goals – the number of members of an affirmative action group that have been determined to be available to an agency for employment in each of the EEO job categories.

Petitioning Group – a chartered not-for-profit organization that is recognized by the community it purports to represent that has as its purpose fostering the interests and well being of that community.

Plan – an affirmative action plan for employment as described in Section 2520.760.

Program Goals – a set of actions established to address affirmative action or EEO problems cited in the agency's plan.

Promotable – agency employees who, within the fiscal year, under standard employment practices, are able to move from one of the EEO job categories to another.

Reasonable Accommodation – as it relates to disabled employees and applicants, modification of the work site, work process and/or work schedule to enable a disabled person to perform the major functions of a specific job; however, such an accommodation cannot impose an undue hardship on the conduct of the business of the employer or labor organization.

Region – a group of adjacent counties. There are 11 regions within Illinois, which will be reduced to 10 regions as identified in Appendix D, effective July 1, 2015.

Trainable – agency employees who, within the fiscal year, are eligible for participation in established training programs that, when completed, would allow them to move from one of the EEO job categories to another.

Transferable – agency employees eligible for transfer within the fiscal year from one region to another.

Underutilized Category – a category in which the number of employed members of an affirmative action group for which numerical goals have been set does not reflect the availability of that group in the agency workforce in that EEO job category.

History

• Source: Amended at 38 Ill. Reg. 9481, effective April 21, 2014

56 Ill. Adm. Code 2520.710 Scope and Purpose

This Subpart implements the affirmative action provisions of the Act, which apply to every State executive department, State agency, board, commission and instrumentality [775 ILCS 5/2-105(B) and 7-105]. Agencies of the legislative and judicial branches and local government entities and State colleges and universities are excluded. This Subpart interprets the responsibilities imposed on covered agencies to practice EEO and affirmative action in employment. This Subpart also describes the methods by which the Department will monitor and assist agencies in complying with those obligations.

History

• Source: Amended at 38 Ill. Reg. 9481, effective April 21, 2014

56 Ill. Adm. Code 2520.720 Affirmative Action Groups

Section 2-105(B) of the Act requires agencies to keep records, analyze their workforces, and establish numerical and program goals for employment by race, national origin, sex and disability, and any other category which the Department may require by rule [775 ILCS 5/2-105(B)]. State agency affirmative action efforts should focus upon the following groups: Blacks and African Americans, women, Hispanics and Latinos, American Indians and Alaskan Natives, Asians, Native Hawaiians and Other Pacific Islanders, and disabled persons. The Department will apply the criteria of Section 2520.730 to identify other groups to be added to this list.

History

• Source: Amended at 38 Ill. Reg. 9481, effective April 21, 2014

56 Ill. Adm. Code 2520.730 Consideration of Additional Groups

a) Criteria – In order for an affirmative action group to be recognized, a petitioning group must present to the Director the following criteria:

1. the relationship between the proportion of an affirmative action group in the State population and the proportion of the affirmative action group in State employees, and whether that proportion is less than 4/5 of the availability of that group in each of the 8 EEO categories;

2. other authoritative statistical evidence, surveys and studies reflective of the discrimination experienced by the group, particularly, but not exclusively, as they relate to experience in Illinois;

3. the frequency with which charges alleging the discrimination, as compared to discrimination against other minorities, have been filed with the Department, its predecessors and other federal and local entities that investigate employment discrimination charges;

4. whether employment discrimination is longstanding against the group in question and is without an adequate legal remedy that is under State law; and

5. evidence of a continuing cycle of discrimination that, without affirmative action, will continue.

b) Consideration Process – If the Director determines that the criteria in subsection (a) have been met and that a petitioning group has submitted a petition as specified in 2 Ill. Adm. Code 925.110 of the Department's Rules:

1. A Notice of Proposed Rulemaking will be published by the Department in the Illinois Register, and the Department will commence rulemaking within 90 days after submission of a petition.

2. The Department shall convene a hearing, if required, in accordance with Section 5-40(b)(5) of the Illinois Administrative Procedure Act [5 ILCS 100/5-40(b)(5)].

3. If the rulemaking results in the addition of an affirmative action group, each agency shall develop numerical and program goals for that group.

History

• Source: Amended at 38 Ill. Reg. 9481, effective April 21, 2014

56 Ill. Adm. Code 2520.740 Definitions (renumbered)

History

• Source: Section 2520.740 renumbered to 2520.700 at 17 Ill. Reg. 15556, effective September 13, 1993

56 Ill. Adm. Code 2520.750 Nondiscrimination (repealed)

History

• Source: Repealed at 17 Ill. Reg. 15556, effective September 13, 1993

56 Ill. Adm. Code 2520.760 Plans

a) Adoption and Maintenance – Every agency shall develop and adopt a plan conforming to the requirements of this Section, and shall review and update the plan at the beginning of each State fiscal year.

b) Filing and Approval – By September 1 of each year, every agency shall file with the Department a complete copy of its plan, including any amendments or additions made for that year. If an agency submits a written request for an extension before September 1, the Director may grant an extension of up to 30 days. The request for an extension should state the reason for the extension. The Department will review each agency's plan to determine if it complies with the requirements of this Section. The Department may confer with representatives of the agency and request further information to make this determination. The agency may make revisions to its plan as suggested by the Department to achieve compliance. Within 45 days after receipt of the plan, the Director shall provide to the agency's Chief Executive Officer either a statement indicating that the plan satisfies the requirements of this Section or a statement specifying any deficiencies and the measures necessary to achieve compliance. If, within 30 days thereafter, the agency fails to correct any deficiencies noted by the Director, the Director shall invoke the sanctions provided in Section 2520.797 for agency noncompliance.

c) Modifications – After an agency's plan has been approved by the Director, an agency may modify its plan by filing, with the Department, a copy of the proposed modifications together with a written statement outlining the modifications and the reasons for the modification. The modifications shall be reviewed by the Department and approved or disapproved in the same manner as provided in subsection (b).

d) Contents – Every agency's plan shall include the items specified, and be organized as indicated, in Appendix A.

e) Guidelines and Assistance – The Department may promulgate and distribute to agencies manuals and guidelines for the preparation of plans. Agencies may also obtain technical assistance by accessing the Department's website at http://www2.illinois.gov/dhr/pages/liaison.aspx.

f) Public Disclosure – Upon request, a State agency shall make available for public inspection during normal business hours a copy of its current plan.

History

• Source: Amended at 36 Ill. Reg. 8699, effective June 1, 2012

56 Ill. Adm. Code 2520.770 Reporting and Record-Keeping

a) Workforce Analysis – As required by Section 2-105(B) of the Act, each agency shall maintain data reflecting the composition of its workforce in each region, by race, national origin as specified by the Department, sex and disability, EEO job categories, and any other category that the Department may require by rule. This information shall be collected from the agency's employees through the use of a form, developed by Central Management Services and approved by the Director, which shall be completed by each employee and applicant for employment at his/her option. Central Management Services shall compile this data and furnish quarterly reports to each agency and the Department depicting the workforce composition of each agency under the Personnel Code [20 ILCS 415]. Other agencies, and agencies under the Code having non-Code employees, shall compile this data themselves and provide it to the Department.

b) Position Vacancies – Each agency shall maintain a centralized record detailing all its current and anticipated job openings, and indicating for each opening the job title, EEO job category, pay grade or merit compensation level, and region. This information shall be supplied to the agency's EEO Officer and to the Department upon request. Every agency shall also post conspicuously in its offices all vacancies in nonexempt positions that the agency intends to fill, if the vacant position is underutilized. The posting shall also state that the agency is an Equal Opportunity Employer.

c) Quarterly Reports – No later than 15 working days after the end of each fiscal quarter, every agency shall file a report with the Department. If an agency submits a written request for an extension within 15 working days after the end of the fiscal quarter, the Director may grant an extension of up to 15 days. The report, forwarded with a cover letter signed by the EEO Officer and Chief Executive Officer, shall contain:

1. A current workforce analysis of each of the agency's departments or divisions by EEO job category and affirmative action groups of the incumbents.

2. A breakdown of all employment transactions for the previous quarter by EEO job category and the affirmative action groups of the employees affected.

3. A statement on the agency's progress in meeting its numerical and/or program goals. If a numerical or program goal is not attained, the agency should provide an explanation for the failure to meet the goal.

4. A narrative describing all charges and complaints of employment discrimination filed or pending against the agency during the previous quarter. The narrative should identify the region out of which the charge or complaint was filed; the organization with whom it was filed; and the current status of the matter, including whether pending, withdrawn, settled or dismissed.

5. A quarterly report describing hires of employees with disabilities and any known changes in employees' disability status.

d) Federal Compliance Reports – Any agency that is the subject of an EEO compliance review by the federal government shall forward to the Department a copy of any and all reports within 5 working days after the agency's receipt of the report.

e) Orders and Settlements – Any agency that is a party to any proceedings, whether judicial or administrative, and whether federal or State, involving allegations of employment discrimination shall forward to the Department a copy of any order, decree, settlement agreement or award that decides or disposes of the proceedings within 15 days after the entry of the order, decree, settlement agreement or award.

f) Layoff Reports – Each agency shall prepare a layoff report outlining any intended layoff of incumbent employees, in accordance with the procedures established in Appendix C. The report shall be submitted to the agency's EEO Officer and the Department not less than 30 days prior to the expected date of the layoff, unless emergency conditions necessitate a delay of the report; however, the emergency conditions must be documented in the report. The report shall identify, by region, job title and affirmative action group, the employees to be affected by the layoff. The agency's EEO Officer shall review the report to determine if the layoff will have an adverse impact upon minorities, women or disabled persons. The EEO Officer shall submit a written adverse impact report to the Chief Executive Officer and to the Director of his/her findings and, if adverse impact is found, suggested alternatives to lessen or eliminate the impact. The Director of Central Management Services will not approve a layoff until the Director has indicated that the adverse impact report is correct.

g) Reorganization Reports – Any proposed workforce reorganization that significantly changes lines of authority, wages or job duties and descriptions on an agency-wide basis, or throughout any bureau, division or unit of the agency, must be described in a reorganization report and submitted to the agency's EEO Officer at least 30 days prior to implementation. The agency's EEO Officer shall review the report to determine whether it will have an adverse impact upon minorities, women or disabled persons, and shall submit an adverse impact report, within 15 days after receipt of the reorganization report, to the agency's Chief Executive Officer and the Department. If the EEO Officer determines that an adverse impact is apparent, he/she shall include in the adverse impact report recommendations to lessen the impact.

h) Hiring and Promotion Monitors – The Hiring Monitor (DHR-19) and the Promotion Monitor (DHR-20) established by the Department shall be completed by each agency and submitted as required to Central Management Services on all hires and promotions for all full-time permanent and part-time permanent employees, including trainees, provisional employees, and semi-automatic promotions pursuant to a collective bargaining agreement. On the applicable Monitor, the agency shall indicate the EEO job category and classifications of the position and whether it is an underutilized category. The Monitor shall also indicate the race, sex, whether disabled, and national origin of all persons considered for the position and of the candidate, and whether the candidate meets the affirmative action requirements for that category. If the candidate does not meet the affirmative action requirements for that category, a detailed explanation indicating the reasons for the selection must be completed by the selecting officer and attached to the Monitor. The agency EEO Officer, or designee, shall have access to the eligibility list and other pertinent documents, including, but not limited to, Rutan documentation. The EEO Officer or designee shall review and sign the Monitor, indicating concurrence or non-concurrence in the transaction. The EEO Officer or designee shall fully explain on the Monitor his/her reason for any non-concurrence. In all transactions, the agency Chief Executive Officer or designee shall sign and date the Monitor, indicating approval. Central Management Services shall not complete any hire or promotion transaction if the Monitor is not attached to the transaction, is not signed and dated by the EEO Officer or designee, is not approved and signed by the agency's Chief Executive Officer or designee, and is not signed and dated prior to the effective date of the candidate's hire or promotion.

i) Exit Questionnaire – Each agency shall provide an exit questionnaire to employees at the time of their separation from employment, whether voluntary or involuntary. The questionnaire shall identify the employee by name and affirmative action group, job title and region, date of separation, and reasons for separation, and shall include space for the employee's comments. Completion of the questionnaire shall be at the employee's option. Completed questionnaires shall be forwarded immediately to the agency's EEO Officer.

History

• Source: Amended at 36 Ill. Reg. 8699, effective June 1, 2012

56 Ill. Adm. Code 2520.780 Equal Employment Opportunity Officers

a) Agencies with 1,000 or More Employees

1. Every agency employing 1,000 or more individuals or administratively separate subdivisions of agencies with 1,000 or more individuals shall appoint a full-time EEO Officer, subject to the approval of the Department.

2. The EEO Officer shall report directly to the agency's Chief Executive Officer and shall be on the Chief Executive Officer's administrative staff.

3. When a vacancy occurs in the position of EEO Officer, the agency's Chief Executive Officer shall immediately so notify the Director, identifying the agency employee who shall serve as interim EEO Officer.

A) Within 30 days of the occurrence of such vacancy or the expiration of any extension, the Chief Executive Officer shall nominate an individual to fill the vacancy and submit his/her resume and other relevant materials to the Director for approval.

B) Within 15 days of receiving a nomination, the Director shall notify the Chief Executive Officer in writing whether the nominee is approved.

C) The Director of Central Management Services or his/her designee shall not complete any personnel transaction regarding the appointment of any agency EEO Officer without written evidence of the approval of that appointment by the Director.

D) If not approved, the Director and the Chief Executive Officer may confer to discuss or reevaluate the appointment, and the Chief Executive Officer shall submit another nomination to fill the vacancy.

E) If the Director determines that an agency has not made a concerted effort to fill the position, the Director shall invoke the sanctions for noncompliance provided in Section 2520.797 of this Part.

b) Agencies with Fewer Than 1,000 Employees – Every agency employing fewer than 1,000 individuals shall designate an EEO Officer who may serve as a full-time EEO Officer or be responsible for other duties within the agency beyond those of EEO Officer. When a vacancy occurs in such position, the Chief Executive Officer shall immediately so notify the Director, and identify the employee who shall assume the duties of EEO Officer on an interim or permanent basis.

c) Responsibilities of EEO Officers – EEO Officers shall have the following responsibilities, in addition to those enumerated in the Act or elsewhere in this Subpart:

1. to develop the agency's plan and goals and objectives;

2. to assist in identifying and solving EEO problems;

3. to design and implement internal audits and reporting systems for measuring the effectiveness of agency programs, indicating need for remedial action, and determining the degree to which the agency's goals and objectives have been attained;

4. to serve as liaison between the agency and EEO enforcement authorities;

5. to serve as liaison between the agency and minority, women's and disability organizations;

6. to inform management of developments in the EEO field;

7. to regularly confer with managers, supervisors and employees to assure that the agency's EEO policies are observed;

8. to assist in the evaluation of employees and job applicants so that minorities, women and disabled persons are given equal opportunity;

9. to advise managers and supervisors if employment practices comply with the Act;

10. to describe in the quarterly report to the Department all internal and external complaints of discrimination against the agency;

11. to assist in the investigation of internal and external complaints of discrimination as specified in Section 2520.790 of this Part;

12. at the request of the agency's Chief Executive Officer, to direct agency staff in taking appropriate action to correct for discriminatory practices identified by the Department, and to report to the Chief Executive Officer and the Department on the progress of actions taken;

13. in conjunction with the filing of Quarterly Reports, to submit recommendations to the Chief Executive Officer and the Department for improvements to the agency's plan;

14. to immediately notify the Chief Executive Officer and the Department when unable to resolve employment practices or conditions which have or tend to have adverse impact on minorities, women or the disabled persons;

15. if the agency is in noncompliance, as described in Section 2520.795, to work with Central Management Services to develop programs to train staff in hiring and promotional practices, and to notify the Department of such training.

d) Protection – An EEO Officer who performs his/her duties as prescribed in the Act and this Part shall not be coerced, intimidated or retaliated against by the agency or any official, employee or agent thereof as a result of such performance. An EEO Officer who believes that he/she has been or is being so coerced, intimidated or retaliated against, or in any other way impeded from the performance of official duties, may immediately file a charge with the Department. Nothing provided herein shall preclude an agency from disciplining an EEO Officer for just cause.

History

• Source: Amended at 17 Ill. Reg. 15556, effective September 13, 1993

56 Ill. Adm. Code 2520.790 Complaint Process

a) Internal Complaints – When any agency employee complains of employment discrimination against the agency through a grievance under the Personnel Code, a collective bargaining agreement or an internal agency grievance mechanism, the agency's EEO Officer shall be notified of the grievance not later than at the time it reaches the level of the agency's Chief Executive Officer. The EEO Officer shall attend the grievance hearing at that level either as the hearing officer or as a consultant to the hearing officer. If serving as a consultant to the hearing officer, the EEO Officer shall provide a written recommendation to the hearing officer regarding the disposition of the grievance within the timeframe applicable under the grievance mechanism, and the hearing officer shall consider the recommendation in determining the merits of the grievance.

b) External Complaints – When a charge or complaint alleging employment discrimination against an agency is filed with the Department, the U.S. Equal Employment Opportunity Commission or any other government agency, the agency shall provide a copy of the charge or complaint to the agency's EEO Officer immediately upon being served. The EEO Officer shall then promptly conduct a preliminary investigation, and make a recommendation to the agency's Chief Executive Officer concerning resolution of the complaint. The EEO Officer shall also participate in any conferences or hearings convened by the enforcement agency with which the charge or complaint is filed, and make recommendations to the agency's Chief Executive Officer or designee for disposition of the matter.

History

• Source: Amended at 17 Ill. Reg. 15556, effective September 13, 1993

56 Ill. Adm. Code 2520.795 Eeo/Aa Performance Reviews

The Department shall conduct periodic performance reviews of all agencies. On a quarterly basis, the EEO/AA reports submitted by agencies will be reviewed and the results of the review shall be shared with the agency in question, indicating whether corrective action is needed. On an annual basis, the Department shall determine whether each agency is in compliance with the EEO and affirmative action obligations of the Act and this Subpart. In the course of such a review, the Department may request documentation and reports reflecting the agency's employment practices and profile and may visit the agency's worksites and interview employees.

a) EEO/AA Criteria – The Department shall judge the agency's concerted effort and progress to provide equal employment opportunity and affirmative action for minorities, women and disabled persons, using the following criteria:

1. existence of an approved plan;

2. demonstration of the implementation of the agency's goals within the timeframe cited in the agency's plan. In order to be found in compliance with numerical goals, the agency must show that its percentage of hires and promotions for minorities and females in underutilized categories equals or exceeds 80% of the labor market availability rate of minorities and females in question based on Illinois Department of Employment Security Workforce Availability Information at http://www.ides.illinois.

gov/page.aspx?item=2854

or that the agency has made a concerted effort to reach those goals. In determining whether an agency made a concerted effort, the Department will evaluate the agency's overall actions taken over the course of the fiscal year to reduce its underutilization when there have been opportunities to hire and/or promote in underutilized categories. When agency underutilization occurs in a geographic region with labor market availability rates less than 2 percent for a specific affirmative action group, the Department will consider the availability of this group in evaluating an agency's performance. Compliance with program goals will be determined by an agency's documentation that those goals have either been achieved or a demonstration of a concerted effort to achieve those goals;

3. demonstration that the agency's EEO/AA policy has been disseminated throughout the agency;

4. documentation of the inclusion of EEO/AA principles and procedures in appropriate in-service training programs;

5. documentation of the inclusion of the agency's EEO Officer in the investigation and disposition of all internal and external discrimination grievances and complaints;

6. maintenance and timely submission of appropriate employment data and reports as required in this Subpart and by federal authorities;

7. in an agency with 1,000 or more employees, documentation of the appointment, with the Director's approval, of an EEO Officer;

8. in an agency with fewer than 1,000 employees, documentation of the designation of an EEO Officer who may serve as a full-time EEO Officer or be responsible for other duties within the agency beyond those of an EEO Officer; and

9. documentation that the agency's EEO Officer has performed the duties and responsibilities outlined in the Act and this Subpart.

b) EEO/AA Profile – The Department shall complete an annual EEO/AA profile summarizing the agency's satisfaction of the various EEO/AA criteria outlined in subsection (a). The profile shall be sent to the agency's Chief Executive Officer and the EEO/AA officer with a letter of findings signed by the Director, and shall find the agency in:

1. Compliance: all EEO/AA criteria set forth in subsection (a) have been met by the agency; or

2. Non-compliance: EEO/AA criteria as set forth in subsection (a) have not been met.

c) Compliance Process

1. If the Department finds the agency is in compliance, the Director shall send a letter of findings of compliance to the agency and attach the EEO/AA profile. The agency will not be required to take any further action.

2. If the Department finds that an agency is in non-compliance in regards to subsection (a)(2) for the first year, in accordance with Section 7-105(H) of the Act, the Department will send a letter of findings of non-compliance to the agency and attach the EEO/AA profile. The Director will notify the agency and the Department of Central Management Services (CMS) that the agency must establish necessary training programs for preparation and promotion of the category of individuals affected by the failure, in cooperation with CMS.

3. If the Department finds that an agency is in non-compliance in regards to subsection (a)(2) for the second consecutive year, in accordance with Section 7-105(H) of the Act, the Department will send a letter of findings of non-compliance to the agency and attach the EEO/AA profile. The Director will notify the agency and CMS that the agency must continue necessary training programs for preparation and promotion of the category of individuals affected by the failure, in cooperation with CMS.

4. If the Department finds that an agency is in non-compliance in regards to subsection (a)(2) for the third consecutive year, in accordance with Section 7-105(H) of the Act, the Department will inform the agency that it must continue training. Further, the Director may request that the Chief Executive Officer of the agency in question meet with him/her to discuss the agency's EEO/AA performance. In addition, the Department shall direct that the agency furnish to the Department a monthly report due on the fifth working day of each month that must be signed by the Chief Executive Officer and EEO Officer.

A) The monthly report shall list each employment transaction for the month by job title, EEO job category, pay grade or merit compensation level, geographic region and affirmative action group of the employee affected. The report shall also indicate the number of people in each affirmative action group who applied and who were selected for each transaction.

B) After an agency has completed training for failure to meet numerical and program goals, the agency shall describe in its monthly reports the training instituted and indicate the numbers of each affirmative action group participating in the training.

5. If the Department finds an agency in non-compliance with subsection (a)(2) for the third consecutive year, sanctions for non-compliance provided in Section 2520.797 will be invoked.

6. If the Department finds an agency in non-compliance with any other EEO/AA criteria other than subsection (a)(2):

A) The Director shall send a letter of findings of non-compliance to the agency, attach the EEO/AA profile report, and set forth recommendations for the agency to achieve compliance. The agency shall submit, within 30 days after receipt of the letter of findings of non-compliance, a corrective action plan incorporating the Director's recommendations, as well as other plans the agency develops to achieve compliance.

B) If the Department determines the corrective action plan is sufficient to bring the agency into compliance, the Department will notify the agency that it has 30 days to implement the plan.

C) The Department will monitor and periodically evaluate the implementation of the agency's corrective action plan.

D) If the Department determines that an agency's corrective action plan is not sufficient to bring the agency into compliance, the Department will notify the agency and request a plan with alternative measures to be submitted within 30 days after the agency's receipt of the Department's notice. If the alternative action plan is sufficient, the Department will proceed pursuant to subsections (b) and (c).

E) If the agency fails to provide an alternative action plan that is sufficient to bring the agency into compliance, the Department will invoke the sanctions for non-compliance provided in Section 2520.797.

History

• Source: Amended at 38 Ill. Reg. 9481, effective April 21, 2014

56 Ill. Adm. Code 2520.797 Sanctions for Noncompliance

a) Show Cause Notice – If a State agency is determined by the Director to have violated or failed to comply with a requirement of this Subpart and the agency has been afforded an opportunity to respond to or confer with the Department over that determination, the Department shall serve upon the agency's Chief Executive Officer a notice specifying the nature of the violation or noncompliance. The notice shall provide that the agency has 15 days from receipt to respond in writing to the Director setting forth a compromise or resolution of the matter. Within 30 days of receipt of a timely response, the Department shall review it, and if the response is sufficient, may resolve the matter pursuant to written agreement with the agency or by written statement that it will not proceed with the sanctions provided in subsection (b).

b) Sanctions – If an agency fails to satisfactorily respond to notice pursuant to subsection (a) of this Section, or if an agency is determined by the Department to have violated or failed to comply with this Subpart and has otherwise been afforded an opportunity to respond to or confer with the Department over that determination without an accord being reached, the Director shall send to the agency's Chief Executive Officer a Letter of Finding of Noncompliance specifying the nature of the violation or noncompliance. A copy shall be submitted to the Governor. A Letter of Finding of Noncompliance shall be a "public record", subject to disclosure pursuant to the Freedom of Information Act [5 ILCS 140]. In addition to sending the Letter of Finding of Noncompliance, the Director may initiate a charge of a civil rights violation against the agency pursuant to Section 7A-102 of the Act, alleging the matters that constitute the agency's noncompliance, and shall cause the Department to conduct an in-depth compliance review of the agency's equal opportunity and affirmative action posture and practices. The Director may also cause judicial proceedings to be commenced against the agency to compel the agency's compliance with the Act and this Part.

History

• Source: Amended at 31 Ill. Reg. 12319, effective August 8, 2007

56 Ill. Adm. Code 2520.810 Posting of Sexual Harassment Policies

a) Section 5A-101.1 of the Act requires institutions of higher education to post, in a prominent and accessible location, a poster stating sexual harassment laws and policies. The institution is given three posting options. The posting documents are to be provided by the Department on its website.

1. If an institution of higher education chooses option (i) as specified in the Act, the institution must post in accessible common areas its sexual harassment policies and ensure the posting continues to be prominent and accessible to students.

2. If an institution of higher education chooses option (ii) as specified in the Act, the institution must prominently post its sexual harassment policies and send an electronic copy to each student each time registration materials are sent.

3. If an institution of higher education chooses option (iii) as specified in the Act, the institution must send each student an electronic copy of sexual harassment policies and require each student to acknowledge review of those policies prior to the student's completion of online registration for each academic term.

b) Any person may notify the Department that an institution of higher education allegedly has failed to comply with posting requirements of Section 5A-101.1 of the Act by writing to Director, Department of Human Rights, 100 West Randolph Street, Suite 10-100, Chicago, Illinois, 60601, along with a description of how the institution allegedly failed to comply with the Act. The name, address and telephone number of the person making the allegation must be included. The written notice must also state that the person making the allegation is available to testify as a witness to the alleged incident.

History

• Source: Added at 33 Ill. Reg. 17086, effective December 4, 2009

56 Ill. Adm. Code 2520.820 Notice to Show Cause

a) If the Department receives allegations that an institution of higher education has failed to comply with Section 5A-101.1 of the Act and the Department's preliminary investigation pursuant to Section 5A-101.1(C) of the Act reveals that the institution has failed to post its sexual harassment policy in accordance with the Act, the Department may issue to the institution a Notice to Show Cause. The Notice to Show Cause shall specify the provisions of the Act with which the institution has failed to comply and shall state what steps the institution must take to comply with the Act.

b) The institution shall have 30 days to respond to the Notice to Show Cause. In its response, the institution shall describe the modifications to policies and practices it will take to conform to the provisions of the Act and/or dispute the Department's determination that the institution has failed to comply with the Act.

c) If, upon review of the institution's response to the Notice to Show Cause, the Department determines that the institution has not corrected its failure to conform to the posting provisions of the Act, the Department shall consider an institution's reason for its failure to comply when determining whether to file a charge of civil rights violation against the institution.

History

• Source: Added at 33 Ill. Reg. 17086, effective December 4, 2009

56 Ill. Adm. Code 2520.APPENDIX A Contents of Affirmative Action Plans

Part I

a) A completed Equal Employment Opportunity/Affirmative Action Certification Form;

b) An agency EEO/AA policy statement signed by the Chief Executive Officer;

c) An agency profile statement, describing the mission of the agency and its specific EEO/AA problems and needs;

d) Identification of the agency's primary EEO Officer and his/her work location and telephone number;

e) An organizational chart depicting the agency personnel at all levels responsible for implementing and monitoring the agency's affirmative action plan; and

f) A description of the methods to be used in accomplishing both internal and external dissemination of the agency's affirmative action policy and plan.

Part II

a) Workforce Transactions Report: an assessment of the agency's personnel transactions for the previous fiscal year, including, but not limited to, a breakdown of new hires, promotions, demotions, transfers and separations by affirmative action groups.

b) Workforce Analysis: an analysis, as of June 30 of the previous fiscal year, of the distribution of present employees by affirmative action group among the 8 EEO job categories in the 10 regions.

Part III

a) Availability Analysis for Women and Minorities:

1. Numerical goals must be determined when there are 10 or more employees in an EEO job category within a region where the labor market availability rate for a specific affirmative action group is greater than 2 percent. The following factors must be considered in determining availability for each affirmative action group in each of the EEO job categories in each region of the State:

A) Those having requisite skills in the region; and

B) Those promotable, trainable and transferable, as these terms are defined in Section 2520.700.

2. The availability of members of each affirmative action group is determined by using the following methodology:

A) Each factor is assigned a value weight by the agency on a scale of 0 percent to 100 percent. The value weight indicates the applicability of each factor to the agency/facility in recruiting employees for that EEO job category. The sum of all value weights must be 100 percent, representing all persons available to work in a job category.

B) Each value weight is multiplied by the percentage of the affirmative action group in each of the factors. The result is a weighted factor for each of the categories.

C) The sum of the weighted factors is the availability percentage or ratio for that affirmative action group for that category for that region. This availability percentage or ratio is applied to the total number of positions in the agency's EEO job category to determine the numerical availability of the affirmative action group in each EEO job category.

b) Goals and Timetables: Agencies shall set numerical goals equal to the underutilization of affirmative action group members resulting from the process set forth in Part III(a)(2). No such goals shall be set when the labor force availability of an affirmative action group is less than 2 percent in the DHR region in which it occurs. Program goals must be developed in conjunction with the problems identified as the result of the agency's internal and external workforce analyses. Each numerical or program goal should include a brief description of the area of concern, objectives that delineate specific intentions, action items outlining steps to be taken to achieve the objectives, the individual responsible for carrying out the action item, the target date for completion, and the procedure for monitoring the progress toward meeting the goal.

Part IV

Discrimination Complaint Process: A description of the procedures established by the agency to address charges of employment discrimination. This Part should include a statement that employees will be advised of their rights to file charges of discrimination with the Department, the U.S. Equal Employment Opportunity Commission, or any other appropriate government agency.

Part V

Affirmative Action for Disabled Persons

a) Methodology for Disabled Persons:

1. Factors: A numerical goal must be determined on an agency-wide basis, considering the proportion of people with disabilities in the Illinois labor force, as reflected in the most recent data provided by the U.S. Census Bureau American Community Survey.

2. Survey: Employees working after June 1, 2012 shall be surveyed to determine the State's utilization of people with disabilities, as defined in Section 2520.700. Subsequently hired employees shall be surveyed at the time of hire.

3. Availability: Availability must be determined by using the following methodology:

A) The total number of agency employees is multiplied by the percentage of employees with disabilities in the Illinois labor force (as supplied by the Department);

B) The agency will enter the number of employees identifying themselves as having disabilities through the disability survey process;

C) The number of employees in subsection (a)(3)(B) is subtracted from the result of subsection (a)(3)(A);

D) If the result of subsection (a)(3)(C) is a positive number, the agency must adopt that number as its goal for employing persons with disabilities. If the result of subsection (a)(3)(C) is "0" or a negative number, the agency is considered to be at parity with the external labor force; and

E) If there is underutilization, a numerical goal must be developed and should include a brief description of the area of concern, objectives that delineate specific intentions, action items outlining steps to be taken to achieve the objectives, the individual responsible for carrying out the action item, the target date for completion, and the procedure for monitoring progress toward meeting the goal.

b) Recruitment Procedures: Identification of sources used to recruit applicants with disabilities when persons with disabilities are underutilized.

c) Application Process Procedures

1. A review of employment criteria to assure they have no adverse impact on disabled persons;

2. Pre-employment inquiries – a statement regarding the inadmissibility of inquiries regarding an applicant's disability during the interview process;

3. Employment testing (for agencies conducting their own tests) – a statement that the tests do not have an adverse impact on disabled applicants and that reasonable accommodation will be provided in the administration of the tests, as required;

4. The prohibition of pre-employment medical examinations before an offer of employment;

5. The prohibition of pre-employment medical examinations after an offer of employment, unless the examinations are job related and required of all applicants for that position.

d) Reasonable Accommodation

1. Agency policy committing the agency to providing reasonable accommodations to disabled employees, signed by the Chief Executive Officer of the agency.

2. A description of the procedure to determine reasonable accommodation.

e) Physical Accessibility for Employment:

1. Of personnel offices;

2. Of the worksite;

3. For evacuation of disabled persons in emergency situations.

Part VI

Applicable EEO Laws: This Part should set forth the relevant text of any federal law that mandates the agency to adhere to additional EEO/AA requirements.

Part VII

This Part should have an appendix to the affirmative action plan that contains all supporting data, including the Hiring and Promotion Monitors and the exit questionnaire.

History

• Source: Amended at 39 Ill. Reg. 5601, effective April 6, 2015

56 Ill. Adm. Code 2520.APPENDIX B Value Weight Assignment Chart (repealed)

History

• Source: Repealed at 36 Ill. Reg. 8699, effective June 1, 2012

56 Ill. Adm. Code 2520.APPENDIX C Contents of Layoff Reports

a) When a State agency has at least 30 incumbents in the EEO job category within a particular region in which a layoff will take place and there are at least 5 members of a specific affirmative action group who are targeted for layoff, the completed projected layoff report shall contain the following:

1. The Certification Sheet. The certification sheet confirms the accuracy of the layoff report. A completed certification sheet must indicate the name of the agency, agency Chief Executive Officer, agency EEO/AA Officer, and effective date of the projected layoff. The Chief Executive Officer and EEO/AA Officer must sign and date the certification sheet. The Department's assigned agency liaison will sign and date the certification sheet upon receipt.

2. The Projected Layoff Summary Form. The projected layoff summary form provides statistical data on the agency layoff by race, sex and disability. A completed form must indicate the agency name, the analysis date, and the date and source of workforce data. The form shall include: total employees before layoff and the total number of projected layoffs, by region; the number of persons laid off, by race, sex and disability; and, if necessary, adverse impact on any affirmative action group member.

3. The Projected Layoff Analysis Form. The projected layoff analysis form is used to calculate whether adverse impact exists for a specific affirmative action group subject to the layoff. A form must be completed for each affirmative action group member affected by the layoff, when necessary. A completed form must indicate the agency name, region and affirmative action group member. The form must indicate, by EEO job category, total employees and number of employees projected to be laid off. A comparison of the layoff rate of the affirmative action group in question with the layoff rate of the comparison group will indicate the impact ratio to determine adverse or no adverse impact.

4. The Narrative

A) The narrative must contain, but is not limited to, the following information:

i) the State agency's reasons for selecting the targeted positions for layoff;

ii) any provisions of the Illinois Personnel Code, personnel rules, and/or collective bargaining agreement governing the layoff;

iii) if the layoff decisions were made by seniority date, an explanation of any exceptions and the reasons for the exceptions;

iv) any alternatives to laying off the affected employees that were available to and considered by the agency; and

v) a discussion of any significant impact the layoff would have on a specific affirmative action group.

B) If the report is being submitted less than 30 days prior to the effective date of the layoff, the narrative must set forth the emergency situation necessitating the layoff.

5. The agency's layoff plan shall identify, by region, job title, and affirmative action groups, the employees to be affected by the layoff.

6. A summary workforce analysis for the region where the layoff will occur.

b) When there are fewer than 30 incumbents in the EEO job category within a particular region in which a layoff will take place or there are fewer than 5 members of a specific affirmative action group who are targeted for layoff, the completed projected layoff report shall contain the following:

1. The Certification Sheet. The certification sheet confirms the accuracy of the layoff report. A completed certification sheet must indicate the name of the agency, agency Chief Executive Officer, agency EEO/AA Officer, and effective date of the projected layoff. The Chief Executive Officer and EEO/AA Officer must sign and date the certification sheet. The Department's assigned agency liaison will sign and date the certification sheet upon receipt.

2. The Projected Layoff Summary Form. The projected layoff summary form provides statistical data of the agency layoff by race, sex and disability. A completed form must indicate the agency name, the analysis date, and the date and source of workforce data. The form shall include: total employees before layoff and the total number of projected layoffs, by region; the number of persons laid off by race, sex and disability; and, if necessary, adverse impact on any affirmative action group member.

3. The Narrative

A) The narrative must contain, but is not limited to, the following information:

i) the State agency's reasons for selecting the targeted positions for layoff;

ii) any provisions of the Illinois Personnel Code, personnel rules, and/or collective bargaining agreement governing the layoff;

iii) if the layoff decisions were made by seniority date, an explanation of any exceptions and the reasons they were made;

iv) any alternatives to laying off the affected employees that were available to and considered by the agency; and

v) a discussion of any significant impact the layoff would have on a specific affirmative action group.

B) If the report is being submitted less than 30 days prior to the effective date of the layoff, the narrative must set forth the emergency situation necessitating the layoff.

4. The agency's layoff plan shall identify, by region, job title, and affirmative action groups, the employees to be affected by the layoff.

5. A summary workforce analysis for the region where the layoff will occur.

History

• Source: Amended at 36 Ill. Reg. 8699, effective June 1, 2012

56 Ill. Adm. Code 2520.APPENDIX D Illinois Counties by Region

These regions will be effective July 1, 2015.

REGION 1

REGION 2

REGION 3

REGION 4

Cook

Boone

Bureau

Adams

Dekalb

Ogle

Carroll

Brown

DuPage

Stephenson

Henry

Hancock

Grundy

Winnebago

Jo Daviess

Henderson

Kane

LaSalle

Knox

Kankakee

Lee

McDonough

Kendall

Mercer

Pike

Lake

Putnam

Schuyler

McHenry

Rock Island

Warren

Will

Whiteside

REGION 5

REGION 6

REGION 7

REGION 8

DeWitt

Champaign

Christian

Bond

Fulton

Douglas

Cass

Calhoun

Livingston

Ford

Greene

Clinton

Marshall

Iroquois

Logan

Jersey

Mason

Piatt

Macon

Madison

McLean

Vermilion

Macoupin

Monroe

Peoria

Menard

Randolph

Stark

Montgomery

St. Clair

Tazewell

Morgan

Washington

Woodford

Sangamon

Scott

Shelby

REGION 9

REGION 10

Clark

Alexander

Perry

Clay

Edwards

Pope

Coles

Franklin

Pulaski

Crawford

Gallatin

Saline

Cumberland

Hamilton

Union

Edgar

Hardin

Wabash

Effingham

Jackson

Wayne

Fayette

Jefferson

White

Jasper

Johnson

Williamson

Lawrence

Massac

Marion

Moultrie

Richland

These regions are effective through June 30, 2015.

REGION 1

REGION 2

REGION 3

REGION 4

Cook

Boone

Bureau

Fulton

DuPage

Carroll

Henderson

Mason

Grundy

DeKalb

Henry

Peoria

Kane

Jo Daviess

Knox

Tazewell

Kendall

Lee

Mercer

Woodford

Lake

Ogle

Rock Island

McHenry

Stephenson

Stark

Will

Whiteside

Warren

Winnebago

REGION 5

REGION 6

REGION 7

REGION 8

Kankakee

Champaign

Christian

Adams

LaSalle

Douglas

DeWitt

Brown

Livingston

Ford

Logan

Calhoun

Marshall

Iroquois

Macon

Cass

McLean

Vermilion

Macoupin

Greene

Putnam

Menard

Hancock

Montgomery

Jersey

Piatt

McDonough

Sangamon

Morgan

Pike

Schuyler

Scott

REGION 9

REGION 10

REGION 11

Bond

Clark

Marion

Alexander

Perry

Clinton

Clay

Moultrie

Edwards

Pope

Madison

Coles

Richland

Franklin

Pulaski

Monroe

Crawford

Shelby

Gallatin

Randolph

St. Clair

Cumberland

Hamilton

Saline

Washington

Edgar

Hardin

Union

Effingham

Jackson

Wabash

Fayette

Jefferson

Wayne

Jasper

Johnson

White

Lawrence

Massac

Williamson

History

• Source: Amended at 39 Ill. Reg. 5601, effective April 6, 2015

Part 2535 Joint Rules of the Human Rights Commission and Department of Human Rights: Rules on Pregnancy Discrimination and Accommodation in Employment

56 Ill. Adm. Code 2535.10 Purpose

This Part interprets the provisions of Section 2-102(I), (J) and (K) of the Illinois Human Rights Act [775 ILCS 5] prohibiting discrimination in employment on the basis of pregnancy, requiring employers to reasonably accommodate a job applicant's or employee's pregnancy, and requiring employers to notify employees of their rights under these statutes. For purposes of these prohibitions against discrimination on the basis of pregnancy, Section 2-102(I), (J) and (K) apply to all units of State and local government in Illinois, to all persons employing one or more individuals, and to all employment agencies and labor organizations (see Section 2-101(B), (C) and (D) of the Act).

56 Ill. Adm. Code 2535.20 Definitions

Act – the Illinois Human Rights Act [775 ILCS 5].

Commission – the Illinois Human Rights Commission.

Common condition related to pregnancy or childbirth – a condition that commonly develops as a result of pregnancy or childbirth, or the physiological changes or processes that accompany pregnancy or childbirth. Examples of common conditions related to pregnancy or childbirth include, but are not limited to, backaches, cramping, headaches, morning sickness or nausea, frequent urination, sleeplessness, fatigue, lifting impairments, physical imbalance, swollen ankles, feet or fingers, and lactation.

Department – the Illinois Department of Human Rights.

Health care provider – a person who provides medical or health services related to pregnancy or childbirth, including, but not limited to, obstetricians or gynecologists, perinatologists, family physicians, physician assistants, nurse practitioners, certified nurse midwives, and certified doulas.

Medical condition related to pregnancy or childbirth – a physical or mental impairment, condition, feature or attribute that develops as a result of or in conjunction with pregnancy or childbirth. Medical conditions related to pregnancy or childbirth need not constitute a disability within the meaning of the Act and may be transitory in nature. Examples of medical conditions related to pregnancy or childbirth include, but are not limited, to gestational diabetes, preeclampsia, post-partum depression, ectopic pregnancy, miscarriage, hypothyroidism and toxoplasmosis.

Pregnancy condition – pregnancy, childbirth or medical or common condition related to pregnancy or childbirth.

Reasonable accommodation – shall have the same meaning ascribed in Section 2‑102(J) of the Act.

Undue hardship – shall have the same meaning ascribed in Section 2-102(J) of the Act.

56 Ill. Adm. Code 2535.100 Duty to Accommodate

a) Employers and labor organizations must make reasonable accommodations for any medical or common condition related to pregnancy or childbirth, unless the employer or labor organization can demonstrate that the accommodation would impose an undue hardship on the ordinary operations of the business of the employer or labor organization.

b) Reasonable accommodations include, but are not limited to:

1. Modifications or adjustments to a job application process that enable a qualified job applicant affected by a pregnancy condition, to be considered for the position;

2. Modifications or adjustments to the work environment, or to the manner or circumstances under which the position is customarily performed, that enable a qualified job applicant or employee affected by a pregnancy condition to be considered for the position the applicant desires or to perform the essential functions of her position;

3. Modifications or adjustments to an employee's full or part-time employment status, work schedule, job structure or job assignments, or a temporary transfer to another position, if the employee affected by a pregnancy condition is unable to perform the essential functions of her position;

4. Modifications or adjustments that enable an employee affected by a pregnancy condition to enjoy equal benefits and privileges of employment as are enjoyed by other similarly situated employees.

c) Examples of reasonable accommodations include, but are not limited to:

1. More frequent or longer bathroom breaks, breaks for increased water intake, breaks for periodic rests and seating;

2. Private non-bathroom space for expressing breast milk and breastfeeding;

3. Assistance with manual labor, light duty, temporary transfer to a less strenuous or hazardous position, and reassignment to a vacant position;

4. Making existing facilities and worksites readily accessible and usable;

5. Job restructuring, part-time or modified work schedules, acquisition or modifications of equipment or devices, and appropriate adjustment or modification of examinations, training materials or policies; and

6. Time off to recover from conditions related to childbirth, and leave necessitated by a pregnancy condition.

d) Accommodations of a personal nature (e.g., providing a breast pump) need not be provided.

e) No employer is required to:

1. Create additional employment that the employer would not otherwise have created to accommodate an employee affected by a pregnancy condition, unless the employer does so or would do so for other classes of employees who need accommodation.

2. Discharge any employee, or transfer any employee with more seniority, to accommodate an employee under this Section, unless the employer does so or would do so to accommodate other classes of employees who need it.

3. Transfer or promote an employee who is not qualified to perform the job as an accommodation under this Section, unless the employer does so or would do so to accommodate other classes of employees who need it.

56 Ill. Adm. Code 2535.110 Undue Hardship

a) The employer has the burden of proving undue hardship.

b) An accommodation imposes an undue hardship on the ordinary operation of the business of the employer if it is prohibitively expensive or disruptive when considered in light of the following factors:

1. The nature and cost of the accommodation needed;

2. The overall financial resources of the facility or facilities involved in the provision of the reasonable accommodation, the number of persons employed at the facility, the effect on expenses and resources, or the impact otherwise of the accommodation upon the operations of the facility;

3. The overall financial resources of the employer, the overall size of the business of the employer with respect to the number of its employees, and the number, type and location of its facilities; and

4. The type of operation or operations of the employer, including the composition, structure and functions of the workforce of the employer and the geographic separateness and administrative or fiscal relationship to the employer of the facility or facilities in question.

c) Evidence that the employer provides or would be required to provide a similar accommodation to similarly situated job applicants or employees creates a rebuttable presumption that the accommodation does not impose an undue hardship on the employer.

56 Ill. Adm. Code 2535.120 Interactive Process

a) To determine the appropriate reasonable accommodation, the employer and job applicant or employee shall engage in a timely, good faith, meaningful, exchange to determine the effective reasonable accommodation. This process should identify the needs and limitations resulting from the pregnancy condition, and the potential reasonable accommodations that could meet those needs or overcome those limitations. If the employer believes the requested accommodation will impose an undue hardship, this process should also cover whether there is any less restrictive alternative available that could accommodate the job applicant's or employee's pregnancy condition in lieu of the requested accommodation.

b) During the interactive process, the employer and job applicant or employee should first explore whether there are any accommodations that would permit the job applicant or employee to perform the essential functions of the applied for or current position. If no such accommodation is available, the employer and job applicant or employee should explore whether there are any accommodations that would permit the job applicant or employee to work in another capacity for the duration of the pregnancy or the recovery from the pregnancy condition. Examples of accommodations that may allow a job applicant or employee to begin work or continue working include, but are not limited to, a temporary transfer, reassignment or job restructuring.

c) During the interactive process, an employer may offer alternate accommodations to the job applicant or employee. A job applicant's or employee's refusal to accept an alternate accommodation offered by the employer during the interactive process may constitute evidence that the job applicant or employee is not participating in good faith during the interactive process if:

1. The alternative accommodation would adequately accommodate the job applicant's or employee's pregnancy condition;

2. The alternative accommodation would allow the job applicant or employee to perform her current position without a change in the job applicant's or employee's earnings or benefits, or the alternative accommodation would have the same or a lesser impact upon the job applicant's or employee's earnings or benefits as the accommodation requested by the employee;

3. The alternative accommodation offered by the employer would impose a lesser disruption to the operations of the employer; and

4. The alternative accommodation is approved by the job applicant's or employee's health care provider, or if otherwise within the restrictions or recommendations of the employee's health care provider.

d) An employer has met its duty to reasonably accommodate a job applicant or employee by offering in good faith an alternative accommodation that satisfies this Section and by engaging in a meaningful discussion regarding the alternative accommodation. However, an employer may not require the job applicant or employee to accept the alternative accommodation if the job applicant or employee chooses to reject it.

e) Nothing in this Section prohibits a job applicant or employee from modifying her reasonable accommodation request if the original reasonable accommodation request is no longer necessary or adequate. Any requests to modify a previous reasonable accommodation request should be considered as a new or independent request.

f) In the event that a requested accommodation would impose an undue hardship on the employer after the employer and job applicant or employee had engaged in the interactive process, a job applicant or employee may provide her own accommodation at her own expense, provided that the accommodation does not unduly disrupt the ordinary conduct of the employer's business.

56 Ill. Adm. Code 2535.130 Temporary Transfer or Reassignment as an Accommodation

a) If, as a result of a job applicant's or employee's pregnancy condition, the job applicant or employee is unable to perform the essential functions of her current position, the job applicant or employee may request accommodation. Examples of accommodations that may allow a job applicant or employee to work include, but are not limited to:

1. A temporary transfer to either a less strenuous or less hazardous position, or to a light duty position;

2. A temporary reassignment to a vacant position;

3. A temporary restructuring of the position sought or held;

4. A temporary modification of the job applicant's or employee's work schedule; or

5. A temporary transfer to a part-time position or to part-time status.

b) An employer is not obligated to transfer or reassign a job applicant or employee to a position for which the job applicant or employee is not qualified and able to perform the duties of the position, unless the employer does so or would do so to accommodate other classes of employees who need it.

c) An employer may reduce the rate of pay of a job applicant or employee who receives a temporary job transfer or reassignment to another position at the rate of pay of the position into which the job applicant or employee transfers, unless the employer did not do so or would not do so for other classes of job applicants or employees under similar circumstances. If the rate of pay of the position into which the job applicant or employee transfers is compensated at a rate of pay higher than the job applicant's or employee's previous position, the employer must compensate the job applicant or employee at the higher rate of pay while the job applicant or employee is performing the new position.

d) An employer may reduce the rate of pay of an employee whose position is temporarily restructured or whose schedule is modified, or who is reduced to part-time status to reflect the new or modified job duties, schedule or part-time status, unless the employer did not do so or would not do so for other classes of employees under similar circumstances. If an employer chooses to reduce a job applicant's or employee's pay pursuant to this Section, the burden is on the employer to show that the change in pay is justified by and consistent with the change in job duties, schedule or employment status.

e) An employer may not reduce the fringe benefits, including insurance coverage, because the employee was temporarily transferred or reassigned to another position, placed on light duty, reduced to part-time status, or placed on a modified work schedule, or because the employee's position was restructured, unless the employer can demonstrate that not doing so would impose an undue hardship on the ordinary operation of the business of the employer.

56 Ill. Adm. Code 2535.140 Time Off or Leave as an Accommodation

a) An employer must grant a job applicant's or employee's request for time off or a leave of absence necessitated by the employee's pregnancy condition as an accommodation, unless the employer can demonstrate that there is another effective accommodation that would enable the employee to continue working, or the accommodation would impose an undue hardship on the ordinary operation of the business of the employer.

b) If the necessity for time off or leave is foreseeable, the job applicant or employee shall provide the employer with prior notice of the expected need for time off or leave in a manner that is reasonable and practicable, unless the employer does not or would not require prior notice for other classes of employees taking time off or leave.

c) If the necessity for time off or leave is foreseeable based on planned medical treatment or supervision, the job applicant or employee shall also make a reasonable effort to schedule the treatment or supervision so as not to unduly disrupt the operations of the employer, subject to the approval of the job applicant's or employee's health care provider.

d) If the necessity for time off or leave is not foreseeable or expected, the job applicant or employee shall provide notice to the employer as soon as possible and practical, and in a manner that is reasonable and practicable.

e) An employee may choose to use accrued paid leave to cover some or all of the time off or leave. An employer is not required to provide paid leave for the duration of the time off or leave unless the paid leave is required by other laws or the employer does so for other classes of employees under similar circumstances.

f) When the need for an accommodation ceases, an employer shall reinstate an employee who took time off or a leave of absence under this Section to her original job or to an equivalent position with equivalent pay and accumulated seniority, retirement, fringe benefits, and other applicable service credits as of the date the employee went on a leave of absence, unless the employer can demonstrate that doing so would impose an undue hardship on the ordinary operation of the business of the employer. An employer is not required to provide any paid time off benefits such as vacation pay, sick time or similar benefits that would otherwise accrue if the employee was not on leave, unless the employer allows for accrual of such benefits for other classes of employees under similar circumstances.

56 Ill. Adm. Code 2535.150 Duties of the Job Applicant or Employee Requesting the Accommodation

a) It is the duty of the job applicant or employee seeking a reasonable accommodation to:

1. Apprise the employer of the job applicant's or employee's pregnancy condition;

2. Cooperate in any ensuing discussion and evaluation aimed at determining the possible or feasible accommodations; and

3. Submit to the employer any documentation that is requested in accordance with this Subpart.

b) A job applicant or employee is not required to accept an accommodation when the job applicant or employee did not request the accommodation and the job applicant or employee chooses not to accept the employer's accommodation.

56 Ill. Adm. Code 2535.160 Duties of the Employer

a) Once the job applicant or employee has initiated a request for accommodation for her pregnancy condition, it is the duty of the employer to provide the necessary accommodation in conformance with this Part.

b) An employer has an obligation to provide timely responses to reasonable accommodation requests. An undue delay in responding to a reasonable accommodation request may be deemed to be a failure to provide a reasonable accommodation.

56 Ill. Adm. Code 2535.170 Documentation of the Need for an Accommodation

a) An employer is entitled to obtain only the following information to evaluate if a requested reasonable accommodation may be necessary because of a job applicant's or employee's pregnancy condition:

1. The medical justification for the requested accommodation;

2. A description of the reasonable accommodation medically advisable;

3. The date the reasonable accommodation became medically advisable; and

4. The probable duration of the reasonable accommodation.

b) An employer may request documentation from the job applicant's or employee's health care provider concerning the need for the requested accommodation if:

1. The employer would request the same or similar documentation from a job applicant or employee regarding the need for a reasonable accommodation for conditions related to disability;

2. The employer's request for documentation is job-related and consistent with business necessity; and

3. The information sought is not known or readily apparent to the employer.

c) The determination of whether an employer's request for documentation from the job applicant's or employee's health care provider concerning the need for a reasonable accommodation is job-related or consistent with business necessity will depend upon the totality of the circumstances, including, but not limited to the following factors:

1. Whether the need for a reasonable accommodation is readily apparent;

2. Whether the job applicant or employee is able to explain the relationship between the requested accommodation and her pregnancy condition;

3. The employer's reasons for requesting the information; and

4. The degree to which the requested accommodation would impact the ordinary operations of the employer's business if it were granted by the employer.

d) If the employee needs the reasonable accommodation beyond the probable duration identified by the job applicant's or employee's healthcare provider, the employer may request additional information from the job applicant's or employee's health care provider consistent with this Part. An employer must continue to accommodate the job applicant or employee while the employer is requesting additional documentation from the employee's healthcare provider.

e) An employer may require documentation by the employee's healthcare provider to determine compliance with other laws.

56 Ill. Adm. Code 2535.200 Discrimination on the Basis of Pregnancy in Employment

a) An employer may not refuse to hire, to segregate, or to act with respect to recruitment, hiring, promotion, renewal of employment, selection for training or apprenticeship, discharge, discipline, tenure or terms, privileges or conditions of employment on the basis of a pregnancy condition.

b) An employer shall treat women affected by a pregnancy condition the same for all employment-related purposes, including receipt of benefits under fringe benefit programs, as other job applicants or employees not so affected but similar in their ability or in ability to work, regardless of the source of the inability to work or employment classification or status.

c) An employer may not deny employment opportunities or benefits to, or otherwise take an adverse action against, a job applicant or employee based on the job applicant's or employee's past pregnancy condition or because of the employee's potential or intention to become pregnant.

56 Ill. Adm. Code 2535.210 Retaliation for Requesting an Accommodation

a) An employer may not deny employment opportunities or benefits, or otherwise take an adverse action against a qualified job applicant or employee because the job applicant or employee requested or needed an accommodation for her known pregnancy condition.

b) An employer may not retaliate against a person because the person requested, attempted to request, used or attempted to use a reasonable accommodation for her pregnancy condition.

56 Ill. Adm. Code 2535.220 Forced Accommodation or Leave

a) An employer shall not require a job applicant or employee affected by her pregnancy condition to accept an accommodation when the job applicant or employee did not request the accommodation and the job applicant or employee chooses not to accept the employer's accommodation.

b) An employer may suggest alternative accommodations to the job applicant or employee as part of the interactive process set forth in Section 2535.120.

c) An employer may not require an employee to take leave under any leave law or policy of the employer without first satisfying the employer's obligation to make reasonable accommodations for the employee's pregnancy condition pursuant to Subpart B, including, but not limited to, exploring whether a reasonable accommodation other than a forced leave can be provided to the employee and engaging in the interactive process to determine the effective reasonable accommodation.

56 Ill. Adm. Code 2535.300 Posting of Pregnancy Discrimination Notice

a) An employer must post and keep posted in a conspicuous location on the premises of the employer where notices to employees are customarily posted a notice approved by the Department.

1. The notice approved by the Department will summarize the prohibition against discrimination regarding pregnancy and an employee's right to a reasonable accommodation for her pregnancy condition, including information pertaining to the filing of a charge, the right to be free from unlawful discrimination, and the right to certain reasonable accommodations.

2. The Department will make the notice available for download from its website at http://www2.illinois.gov/dhr/Publications/Pages/Pregnancy_

Rights_Notice_Requirement.aspx.

b) An employer must include in any employee handbook information concerning a job applicant's or employee's rights regarding pregnancy in the workplace. An employer's handbook that contains the same information as set forth in the Department's notice will be sufficient to comply with this subsection. However, nothing in this subsection prohibits the employer from providing additional information.

Chapter III Department of Commerce and Economic Opportunity

Part 2600 Service Delivery System and State Responsibilities

56 Ill. Adm. Code 2600.10 Legislative Base

a) Federal Allocation to the State

1. On October 13, 1982, Congress passed into law the Job Training Partnership Act (29 U.S.C. 1501, December 31, 1982), Public Law 97-300 as amended, by Public Law 97-404. The Act establishes five titles, and amends Title V of the Wagner-Peyser Act (29 U.S.C. 3202, amended October 1, 1983) and Title IV of the Social Security Act (42 U.S.C. 601-676 (1983)). The new statute replaces the Comprehensive Employment and Training Act (29 U.S.C. 801, effective 10/27/78), with a new program and delivery system to train economically disadvantaged individuals and others for permanent, private sector employment.

2. The Job Training Partnership was enacted under Title I of the Act. Title I enables the State to establish a service delivery system, and outlines specific State, local and Federal responsibilities.

b) State

1. On August 5, 1983, the Governor and the Secretary of the U.S. Department of Labor officially entered into an agreement for the purposes of carrying out the provisions of the Job Training Partnership Act (JTPA) and the Wagner-Peyser Act, pursuant to 20 CFR 627.1 effective March 15, 1983. In the agreement the Governor provided assurances that the State will fully comply with the requirements of the JTPA, the Wagner-Peyser Act, and all applicable Federal Rules (20 CFR 626-638, effective March 15, 1983) in performing the Governor's duties under these Acts.

2. The Secretary provided assurances that operational systems and requirements adopted by the Governor shall, to the extent they are consistent with the JTPA and applicable rules and regulations, be accepted by the Secretary.

56 Ill. Adm. Code 2600.20 Definitions

The State shall adopt the following definitions for the terms listed as follows:

"Acquisition Cost of Purchased Nonexpendable Personal Property" – The net invoice unit price of the property, including the cost of modifications, attachments, accessories, or auxiliary apparatus necessary to make the property usable for the purpose for which it was acquired. Other charges such as the cost of installation, transportation, taxes, duty, or protective in-transit insurance, shall be included or excluded from the unit acquisition cost in accordance with the grantee's regular accounting practices.

"Act" – Job Training Partnership Act (October of 1982) (P.L. 97-300 (29 U.S.C. 1501) as amended by P.L. 97-404 (42 U.S.C. 602), P.L. 99-496 (29 U.S.C. 1501), P.L. 99-570 (21 U.S.C. 801) and P.L. 100-418 (20 U.S.C. 5001)).

"Additional Dislocated Worker" – A displaced homemaker as that term is defined in section 4(29) of the Act.

"Adult Employability Enhancement Termination" – An outcome for adults, other than entered unsubsidized employment, which is recognized as enhancing long-term employability and contributing to the potential for a long-term increase in earnings and employment. Outcomes which meet this requirement shall be restricted to the following:

Attained Adult Employability Skills – Demonstrated proficiency as defined by the local area in one or more of the following two skill areas in which the terminee was deficient at enrollment: basic education skills and occupational skills. Employability skill gain must be achieved through program participation and must be the result of a prior employability development planning process which identifies the participant's skill deficiencies, the training needed to overcome the deficiencies and the level of proficiency needed for attainment of the employability skill.

Completed Major Level of Education – Completed, during enrollment, a level of educational achievement which had not been reached at entry. Levels of educational achievement are secondary and post secondary. Completion standards shall be governed by State standards and shall include a high school diploma, GED Certificate or equivalent at the secondary level, and shall require a diploma or other written certification of completion at the postsecondary level. NOTE: To obtain credit, completion of a major level of education must result primarily from active JTPA program participation of at least 90 calendar days or 200 hours.

Entered Non-Title II Training – Entered an occupational-skills employment/training program, not funded under Title II of the JTPA, which builds upon and does not duplicate training received under Title II. NOTE: To obtain credit, the participant must have been retained in that program for at least 90 calendar days or 200 hours or must have received a certification of occupational skill attainment. During the period the participant is in non-Title II training, he/she may or may not have received JTPA services as defined in 56 Ill. Adm. Code 2610.70.

"Applicant" – Individual who is receiving, or has received, only outreach or intake services, or both. An "applicant" may or may not become a "participant", based upon the outcome of intake and the individual's willingness to participate.

"Applicant Agency" – Educational, employment and training agencies which can provide services to workers who are affected by mass-layoff or plant closings.

"Application Date" – The date the applicant signs and dates the JTPA application certifying that the information on the form is correct to the best of his/her knowledge. In the case of a minor (except emancipated youth) the application date is the date the parent/guardian signs the application.

"Assessment" – Services designed to initially determine each applicant's/participant's employability, aptitudes, abilities, and interests, through interviews, testing, and counseling which are conducted to achieve the applicant's/participant's employment related goals.

"At Risk of Dropping Out of School" – A student without a high school diploma or GED certificate whose academic performance and/or personal behavior demonstrates that he or she is uninvolved, unmotivated, and/or disaffected. This includes a student who meets at least one of the following criteria:

Has been retained in grade at least once during the most recent four school years or has accumulated insufficient credits toward graduation.

Demonstrates a reading or math proficiency level one grade or more below the current grade placement level based on assessment results.

Lacks a demonstrated proficiency in the English language as measured by a standardized test.

Has been determined by the school district to have a behavior disorder or a learning disability.

Is pregnant or a parent.

Has been on academic probation at any time during the prior 12 months.

Is a truant or is excessively absent as determined by an authorized school official.

Has been suspended from school five or more days during the previous or current school year.

Has been expelled from school during the previous or current school year.

Has been identified as drug or alcohol dependent by a medical authority or authorized school staff.

Is a member of a family which meets the definition of Long Term AFDC Recipient.

Is a member of a single parent household.

"Barriers to Employment" – Characteristics that may hinder an individual's hiring, promotion, or participation in the labor force. Some examples of individuals who may face barriers to employment include: single parents, women, displaced homemakers, youth, welfare recipients, older workers, addicts, alcoholics, teenage parents, veterans, racial minorities, dislocated workers, and those with limited English speaking ability or a criminal record or with a lack of education, work experience, credentials, child care arrangements, or transportation.

"Basic Education Skills" – A PIC-Recognized Youth Employment Competency skill area which includes reading comprehension, math computation, writing, speaking, listening, problem solving, reasoning, and the capacity to use these skills in the workplace.

"Chief Elected Official" – The highest elected official(s) of the unit or units of general purpose local government of which the Service Delivery Area (SDA) is configured (e.g., County Board Chairperson in multi-county SDAs or mayors in SDAs made up of a single city or a consortia of cities.) In addition, the highest elected official of any unit of local government which was a prime sponsor under Comprehensive Employment and Training Act (CETA) during Federal fiscal year 1983 (29 U.S.C. 801) is a chief elected official.

"Citizenship" – Designation of an applicant as a citizen or "eligible noncitizen" whose status permits permanent employment in the United States. (For JTPA recordkeeping purposes, "eligible noncitizen" includes nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugees and parolees, and other individuals authorized by the Attorney General to work in the United States.)

"Continued Unsubsidized Employment" – A participant who was employed at the time of enrollment in JTPA and maintained that employment throughout program participation and termination.

"Department" – The Illinois Department of Commerce and Community Affairs.

"Discretionary Fund" – Funds reserved under Section 322(a)(3) of the Act for distribution at the Secretary of Labor's discretion to serve workers affected by multi-State or industry-wide dislocations and to areas of special need in a manner that efficiently targets resources to areas of most need, encourages a rapid response to economic dislocations, and promotes the effective use of funds.

"Dislocated Worker" – An individual who meets the eligibility requirements specified in 56 Ill. Adm. Code 2625.55 or Section 301(a) of the Act.

"Dislocated Worker Unit" – The identifiable unit within the Department which will be given the responsibility and capability to respond rapidly, on site, to permanent closures and substantial layoffs throughout the State and to provide the services described in Section 311(b)(3) of the Act.

"Displaced Homemaker" – A person who

has worked in the home for a substantial number of years providing unpaid household services for family members;

has difficulty in securing employment; and

was dependent on the income of another family member but is no longer supported by such income, or

was dependent on federal assistance but is no longer eligible for such assistance.

"Documented Job Search Criterion" – One month job search demonstrated by current registration with the Illinois Job Service.

"Early Readjustment Assistance" – Assistance given to a Title III participant at the time of or soon after a layoff event which provides necessary early intervention services (testing, assessment, orientation, etc.).

"Economically Disadvantaged" – An individual who

receives, or is a member of a family which receives, cash welfare payments under a Federal, State, or local welfare program;

has, or is a member of a family which has, received a total family income for the six-month period prior to application for the program involved (exclusive of unemployment compensation, child support payments, and welfare payments) which, in relation to family size, was not in excess of the higher of

the poverty level determined in accordance with criteria established by the Director of the Office of Management and Budget, or

70 percent of the lower living standard income level;

is included in a Public Aid Food Stamp Assistance Unit (see 89 Ill. Adm. Code 121.70);

is a foster child on behalf of whom State or local government payments are made; or

is a homeless individual.

"Education Status" –

School Dropout – An adult or youth (aged 14-21) who is not attending school full-time and has not received a high school diploma or a General Education Diploma (GED) certificate.

Student (High School or Less) – An adult or youth (aged 14-21) who has not received a high school diploma or GED certificate and is enrolled full-time in an elementary, secondary or post-secondary level vocational, technical, or academic school, or is between school terms and intends to return to school.

High School Graduate or Equivalent (No Post-High School) – An adult or youth (aged 14-21) who has received a high school diploma or GED certificate, but who has not attended any post-secondary vocational, technical, or academic school.

Post-High School Attendee – An adult or youth (aged 14-21) who has received a high school diploma or GED certificate and has attended (or is attending) any post-secondary level vocational, technical, or academic school.

"Eligible State" – As part of the Title III reallocation process, as specified in Section 303 of the Act, an eligible State is one which has expended at least 80 percent of its allotment for the program year prior to the program year for which the determination is made.

"Emancipated Youth" – An emancipated youth is a minor released from the control and supervision of his/her parent(s) or guardian(s) according to the provisions of the Emancipation of Mature Minors Act (Ill. Rev. Stat. 1991, ch. 40, pars. 2201 et seq.) [750 ILCS 30].

"Employer Outreach" – Activities involving contacts with potential employers of JTPA participants for the purpose of acquiring current employment opportunities, listings and commitments. These activities include: promoting JTPA services with local employers, job fairs, local business conferences and seminars, and similar activities and events which are necessary and are designed with the clear intent to obtain job listings and openings or current job training opportunities.

"Entered Unsubsidized Employment" – The category for participants who, at termination from the program, entered (through the efforts of the grantee/subgrantee or through their own efforts) full- or part-time unsubsidized employment. Unsubsidized employment means employment not financed from funds provided under the Act and includes for JTPA reporting purposes, entry into the Armed Forces, entry into employment in a registered apprenticeship program, and terminees who became self-employed, were recalled or continued unsubsidized employment.

"Entrepreneurial Training" – Training given to Title III participants which will impart the skills necessary to obtain unsubsidized employment through self-employment.

"Equitable Services" –

Services to substantial segments (race, sex, age, national origin) and to Work Incentive (WIN) registrants and school dropouts shall be equitable. Serving those segments and status groups (i.e., WIN registrants and school dropouts) at a level equal to their incidence in the eligible population, aged 16-64, as defined by the state, shall be considered equitable. Serving those segments at a level greater or lesser than that incidence shall be considered equitable if the Service Delivery Area (SDA)

targets services to specific groups and meets requirements of Section 141 of the Act, and

provides justification for that targeting to those groups with greater need.

If, as a result of targeting or requirements of the Act, any substantial segment is served at a rate greater than its proportion within the eligible population, remaining substantial segments should be served proportionately.

"Excess Property" – Property under the control of any Federal or state agency which, as determined by the head thereof, is no longer required for its needs or discharge of its responsibilities.

"Expendable Personal Property" – All tangible personal property other than nonexpendable property.

"Family" – One or more persons living in a single residence who are related to each other by blood, marriage, or adoption. A step-child or a step-parent shall be considered to be related by marriage. Also, regardless of residence and/or citizenship, anyone claimed as a dependent on another person's Federal Income Tax return for the previous year shall be presumed to be part of the person's family for the current year. To negate this assumption, the person who was claimed as a dependent for income tax purposes would be required to provide information that demonstrates the individual is no longer financially dependent. Examples of information that may be provided would be a change in living arrangements or financial resources that would enable the person to become non-dependent. Regardless of living arrangements or tax dependency status, the following persons shall be considered a family of one when such consideration would result in the individual being determined eligible for program participation:

any person who is 55 years of age or older;

a handicapped person; or

an individual 18 years of age or older who receives less than 50 percent of his/her maintenance from the family, and also is not the head nor the spouse of the head of the household.

"Family Income" – All income from all sources actually received by all members of the family for the six month period prior to eligibility.

Family income shall INCLUDE:

Gross wages and salary (before deductions), except wages paid for work experience under the Act, but including wages and salary received for on-the-job training;

Net self-employment income (gross receipts minus operating expenses);

Other money income received from sources such as net rents, pensions, alimony, periodic income from insurance policy annuities, and other sources of income.

Family income shall NOT INCLUDE:

Old Age and Survivors Insurance benefits received under Title II of the Social Security Act of 1978 (42 U.S.C. 402 (1983));

Non-cash income such as food stamps, or compensation received in the form of food or housing;

Imputed value of owner-occupied property, i.e., rental value;

Gifts;

Public assistance (e.g., Aid to Families with Dependent Children (AFDC) under Title IV of the Social Security Act (SSA) (42 U.S.C. 401 (1983)), General Assistance (State or local government), Refugee Act of 1980 (8 U.S.C. 1521-1525 (1983)), or Supplementary Social Security Income (SSI) under Title XVI of the SSA (42 U.S.C. 1601-1602 (1983));

Cash payments received pursuant to a State plan approved under Titles I, IV, IX, XVI and XX of the Social Security Act of 1978 (42 U.S.C. 1, 201(a), 401, 402, 1001, 1002, 1601, 1602, 2001, 2002 (1983)) or disability insurance payments received under Title II of the Social Security Act of 1978 (42 U.S.C. 201 (1983));

Federal, State or Local Unemployment benefits;

Payments made to participants in employment and training programs, except wages paid for on-the-job training (OJT) (e.g., the JTPA (29 U.S.C. 1501, December 31, 1982) and Title V of the Older Americans Act of 1965 (42 U.S.C. 3001, December 29, 1981));

Capital gains and losses;

Fixed term, unearned income, such as but not limited to;

Payments received for a limited fixed term under income maintenance programs and supplemental (private) unemployment benefits plans;

One-time or fixed-term scholarship and fellowship grants;

Accident, health, and casualty insurance proceeds;

Disability and death payments, including fixed term (but not lifetime) life insurance annuities and death benefits;

Inheritance, including fixed term annuities;

Fixed term workers' compensation awards;

Terminal leave pay;

Soil bank payments;

Agriculture crop stabilization payments;

Pay or allowances which were received by any veteran while serving on active duty in the Armed Forces;

Educational assistance and compensation payments to veterans and other eligible persons under Chapters 11, 13, 31, 34, 35, and 36 of Title 38 (Veterans' Benefits) of the U.S.C. (38 U.S.C. 301, 401, 1501, 1650, 1700, 1770);

Payments received under the Trade Readjustment Act of 1974 (19 U.S.C. 2291, January 3, 1975);

Black Lung payments received under the Benefits Reform Act of 1977 (30 U.S.C. 901, December 29, 1981); and

Child support payments.

"Farm" – A farm is identified on the basis of sales alone and is defined as any place which produced agricultural products with annual sales of $1,000 or more.

"Follow-Up" – The collection of information on a terminee's employment situation thirteen (13) weeks after termination from the program.

"Food Stamp Recipient" – An individual who is included in a Public Aid Food Stamp Assistance Unit (see 89 Ill. Adm. Code 121.70).

"Grant Recipient" – SDA grant recipient.

"Grantor" – The Department of Commerce and Community Affairs.

"Handicapped Individual" – Any individual who has a physical or mental disability which for such individual constitutes or results in a substantial handicap to employment.

"High Unemployment SDA" – As part of the Title III reallocation process, an SDA which is among those SDAs which have unemployment rates greater than the statewide average unemployment for the most recent 12 months for which data are available from the Illinois Department of Employment Security.

"Homeless Individual" – A homeless person is an individual who lacks a fixed, regular or adequate nighttime residence or whose primary nighttime residence is:

a supervised publicly or privately operated shelter designed to provide temporary living accommodations,

an institution that provides a temporary residence for individuals intended to be institutionalized, or

a public or private place not designed for, or ordinarily used as, a regular sleeping accommodation for human beings.

"Illinois Job Training Coordinating Council" – The advisory body appointed by the Governor to make recommendations on issues related to employment and training in the State. The council shall be comprised of membership consistent with Section 122(a)(3) of the Act (as amended by P.L. 100-418) and shall perform those functions delineated in Sections 122(b) and 317 of the Act and the Illinois Job Training Coordinating Council Act (Ill. Rev. Stat. 1991, ch. 48, pars. 2101 et seq.) [20 ILCS 3975].

"Inactive Status Period" – The time period between last receipt of employment and/or training funded under a given title and the actual date of termination from the title.

"Income Maintenance" – Any program providing financial assistance to persons in financial need.

"Individual Readjustment Plan" – An individualized plan for the Title III participant which assesses during intake, participant skills and needs. This plan then develops a readjustment strategy, detailing those basic readjustment services necessary to allow the participant to either begin training or obtain employment.

"Ineligible" – A participant who, subsequent to enrollment, was found to not meet eligibility requirements for participation in the JTPA title in which he or she was enrolled.

"Intake" – Includes the screening of an applicant for eligibility to determine:

whether the program can benefit the individual (e.g., whether the applicant's educational and vocational needs can be met through the program);

the employment and training activities and services which would be appropriate for that individual;

availability of an appropriate employment and training activity;

a decision on selection for participation in accordance with 56 Ill. Adm. Code 2610.80; and

dissemination of information on the program (see 56 Ill. Adm. Code 2610.130(c)).

"JOBS Program Participant" – Any individual (AFDC client) who is a participant (or has been a participant within the prior six months) in assessment or employability planning or is assigned to one of the JOBS Program components defined in the approved State JOBS Program Plan, including self-initiating activities, at the time of eligibility determination for JTPA Title II-A.

"Job Specific Skills" – A PIC-Recognized Youth Employment Competency skill area which includes primary and secondary job-specific skills. Primary job-specific skills encompass the proficiency to perform actual tasks and technical functions required by certain occupational fields at entry, intermediate or advanced levels. Secondary job-specific skills entail familiarity with and the use of set-up procedures, safety measures, work-related terminology, recordkeeping and paperwork formats, tools, equipment and materials, and breakdown and clean-up routines.

"Job Training Plan" – A two year program plan for the SDA prepared in accordance with Section 104 of the Act and the Department's rules. (See 56 Ill. Adm. Code 2610)

"Joint Costs" – Joint costs means a cost which benefits more than one cost objective.

"Labor Force Status" –

Employed –

An individual who, during the 7 consecutive days prior to application to a JTPA program, did any work at all:

as a paid employee;

in his or her own business, profession or farm, or

worked 15 hours or more as an unpaid worker in an enterprise operated by a member of the family; and

An individual who was not working, but has a job or business from which he or she was temporarily absent because of illness, bad weather, vacation, labor-management dispute, or personal reasons, whether or not paid by the employer for time off, and whether or not seeking another job. (This term includes members of the Armed Forces on active duty, who have not been discharged or separated, participants in registered apprenticeship programs, and self-employed individuals.)

Unemployed – An individual who did not work during the 7 consecutive days prior to application for a JTPA program, who made specific efforts to find a job within the past 4 weeks prior to application, and who was available for work during the 7 consecutive days prior to application (except for temporary illness).

Not in Labor Force – A civilian 14 years of age or over who did not work during the 7 consecutive days prior to application for a JTPA program and is not classified as employed or unemployed.

Employed Part-Time – An individual who is regularly scheduled for work less than 30 hours per week.

Unemployed 15 or More Weeks of Prior 26 Weeks – An individual who is unemployed at the time of application and has been unemployed for 15 or more weeks of the 26 weeks immediately prior to application, has made specific efforts to find a job throughout the period of unemployment, and is not classified as "Not in Labor Force".

"Labor-Management Committees" – Committees voluntarily established to respond to actual or prospective worker dislocation, which ordinarily include (but are not limited to) the following:

shared and equal participation by workers and management;

shared financial participation between the company and the SDA, using funds provided under Title III of the Act, in paying for the operating expenses of the committee; a chairperson, to oversee and guide the activities of the committee, who shall be jointly selected by the labor and management members of the committee, who is not employed by or under contract with labor or management at the site, and who shall provide advice and leadership to the committee and prepare a report on its activities;

the ability to respond flexibly to the needs of affected workers by devising and implementing a strategy for assessing the employment and training needs of each dislocated worker and for obtaining the services and assistance necessary to meet those needs;

a formal agreement, terminable at will by the workers or the company management, and terminable for cause by the Governor (e.g., violations of the Act, fraud, termination of funding); and

local job identification activities (e.g., approaching supplier firms to hire dislocated workers or hosting events to bring together local employers to interview dislocated workers) by the chairman and members of the committee on behalf of the affected workers.

"Limited English Language Proficiency" – Inability of an applicant, whose native language is not English, to communicate in English, resulting in a job handicap.

"Local Elected Official" – Includes all county and municipal officers (and their designees) such as county board members, mayors, and city or village council members.

"Lower Living Standard Income Level" – That income level (adjusted for regional, metropolitan, urban, and rural differences and family size) determined annually by the Secretary based on the most recent "lower living family budget" issued by the Secretary.

"Major Plant Closing" – When plant closing employs over 100 persons.

"Mass Layoff" – When over 100 persons are on layoff from a plant.

"Mathematics Grade Level" – The grade level results for an adult or youth on mathematics skills as assessed on a generally accepted standardized test (e.g., Test of Adult Basic Education (TABE), Wide Range Achievement Test (WRAT)).

"Minimal Work History" – An adult or youth who did not work for the same employer for longer than three consecutive months in the two years prior to JTPA eligibility determination.

"Monetary Eligibility" – A claimant's eligibility for a weekly benefit amount of unemployment insurance and the amount of dependency allowance, if any, based on the amount of qualifying wages paid.

"Months received AFDC (last 30 months)" – the number of months an adult or youth (or the family of an adult or youth) received cash payments under AFDC (SSA Title IV) during any of the 30 months prior to eligibility determination.

"Multiple Barriers to Employment" – Any adult or youth who has three or more of the following barriers to employment:

school dropout,

limited English language proficiency,

handicapped/disabled,

offender,

reading skills below the 7th grade level,

math skills below the 7th grade level,

long-term AFDC recipient,

lacks significant work history,

homeless,

JOBS Program participant,

substance abuse,

pregnant/parenting teen.

"Nonexpendable Personal Property" – Tangible personal property having a useful life of more than one year and an acquisition cost of $300 or more per unit.

"Offender" – An adult or youth who requires assistance in overcoming barriers to employment resulting from a record of arrest or conviction (excluding misdemeanors).

"Older Individual" – An individual who is 55 years of age or older.

"Older Worker" – An individual who is 55 years of age or older.

"Other Termination" – The termination of a participant who left the grantee's/subgrantee's program for a positive or non-positive reason other than to enter unsubsidized employment, or for youth a reason specified in the definition of "Youth Employability Enhancement Termination".

"Out-of-Area Job Search" – Assistance provided to a participant for expenses that occur as a result of seeking unsubsidized employment in an area outside a reasonable commuting distance from the participant's residence. Reasonable, for the purposes of this definition, will be defined by the local Private Industry Council. Services must be provided near the end of, or within 90 days after the completion of other retraining services.

"Outreach" – An activity which involves the collection, publication, and dissemination of information on program services directed toward economically disadvantaged and other individuals eligible to receive JTPA training and support services.

"Participant" – An individual who:

has been determined eligible for participation upon intake and

has started receiving employment, training, or services (except post-termination services) funded under the Act, following intake. Individuals who receive only outreach and/or intake and assessment services or post-program follow-up are excluded.

"Participant Carried Over" – A participant for whom there was an active participant record on file at the end of the previous program year.

"Part-Time Student" – An adult or youth who has not received a high school diploma or GED certificate but is enrolled in a secondary school or an institution offering a certified high school equivalency program on a less than full-time schedule.

"Personal Property" – Personal property of any kind except real property. It may be tangible – having physical existence, or intangible – having no physical existence, such as patents, inventions, and copyrights.

"PIC" – Private Industry Council.

"PIC Membership Selection Agreement" – An agreement negotiated pursuant to Section 102(d)(2) of the Act and Section 2600.40(e)(1) of this Part between chief elected officials within the SDA which specifies how members of the PIC shall be selected.

"Post Termination Services" – Supportive services available to individuals who terminate as, "entered employment," which are determined necessary to assist such individuals in retaining employment. These services may be provided for no more than 6 months following completion of training.

"Poverty Level" – The annual income level at, or below, which families are considered to live in poverty, as annually determined by the Department of Health and Human Services.

"Pre-Employment Skills and Work Maturity Skills" – A PIC-Recognized Youth Employment Competency skill area which includes both pre-employment skills and work maturity skills. Pre-employment skills include world of work awareness, labor market knowledge, occupational information, values clarification and personal understanding, career planning, decision making, and job search techniques (e.g., resumes, interviews, applications, and follow-up letters). They also encompass survival/daily living skills such as using the telephone, telling time, shopping, making change, renting an apartment, opening a bank account and using public transportation. Work Maturity skills include positive work habits, attitudes, and behavior such as punctuality, regular attendance, presenting a neat appearance, getting along and working well with others, exhibiting good conduct, following instructions and completing tasks, accepting constructive criticism from supervisors and co-workers, showing initiative and reliability, and assuming the responsibilities involved in maintaining a job. This category also entails developing motivation and adaptability, obtaining effective interpersonal relations, coping and problem-solving skills, and acquiring an improved self image. Individuals should demonstrate proficiency in each of the following 11 core competencies. In order for an attainment to be reported in the area of pre-employment/work maturity, at least one PIC-certified competency statement must be developed/quantified in each of the following 11 core competencies – provided that at least 5 of these learning objectives were achieved during program intervention:

making career decisions;

using labor market information;

preparing resumes;

filling out applications;

interviewing;

being consistently punctual;

maintaining regular attendance;

demonstrating positive attitudes/behavior;

presenting appropriate appearance;

exhibiting good interpersonal relations; and

completing tasks effectively.

"Pregnant/Parenting Teen" – Any individual, under twenty years of age, who is the parent or guardian of one or more children or any female, under twenty years of age, who is pregnant.

"Pre-layoff Services" – Readjustment assistance (as defined in Section 314(c) of the Act) given to a Title III participant, after the announcement of a layoff and before that layoff becomes effective.

"Previous Occupation SOC Codes" – The Standard Occupational Classification (SOC) codes associated with the client's previous employment.

"Private Industry Council" – The Council established pursuant to Section 102 of the Job Training Partnership Act (29 U.S.C. 1512, December 31, 1982). The Council will be comprised of membership consistent with Section 102(a) of the Act and will perform those functions delineated in Section 103(a) of the Act.

"Program Dropout" – A participant who, after enrollment, does not participate in the training and/or service activity(ies) in which he or she was enrolled sufficiently to benefit from the program.

"Program Year" (PY) – The months of July through June.

"Public Assistance" – Federal, State, or local government cash payments for which eligibility is determined by a need or income test. NOTE: This term is used for eligibility determination and includes the three groups included in "welfare recipient", plus recipients of Supplemental Security Income (SSI), but is not limited to these assistance programs.

"Race/Ethnic Group" – The basic racial and ethnic categories for use in all Federally funded programs are defined by the Office of Management and Budget as follows:

White, Not Hispanic – A person having origins in any of the original peoples of Europe, North Africa, or the Middle East.

Black, Not Hispanic – A person having origins in any of the black racial groups of Africa.

Hispanic – A person of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish culture or origin, regardless of race.

American Indian or Alaskan Native – A person having origins in any of the original peoples of North America, and who maintains cultural identification through tribal affiliation or community recognition.

Asian or Pacific Islander – A person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands. This area includes, for example, China, India, Japan, Korea, the Philippine Islands, and Samoa. (Hawaiian Natives are included herein.)

"Reading Grade Level" – The English reading skills grade level for an adult or youth on a generally accepted standardized test (e.g., Test of Adult Basic Education (TABE), Wide Range Achievement Test (WRAT), Job Corps Reading Test).

"Real Property" – Land, including land improvements, structures and appurtenances thereto, excluding movable machinery and equipment.

"Recalled" – A client who, after enrollment in a JTPA program, returns to a firm from which he or she was laid off.

"Recipient" – The governor of the State of Illinois.

"Referral" – The act of bringing to the attention of an employer, a local office, a training sponsor, or a supportive service agency, an individual (or group of individuals) who needs a job, training, or related supportive services.

"Registered Apprenticeship Program" – A formal written occupational training program which combines on-the-job training and related instruction and in which workers learn the practical and conceptual skills required for a skilled occupation, craft, or trade. Apprenticeship programs must meet 22 criteria specified in 29 CFR 29.5 (as revised July 1, 1989, with no later amendments or editions) to be registered by the Secretary of Labor or designated state representative. Apprentices who complete the program are awarded a certificate of completion by the Bureau of Apprenticeship and Training and/or the state Apprenticeship Council in those states certified as meeting federal requirements.

"Relocation" – Assistance provided to a participant for all or part of the expenses resulting from a participant and his or her family moving to a labor market within which the participant does not currently reside. Criteria for receiving funds under this category include but are not limited to:

a determination is made that the participant cannot secure suitable employment within the labor market;

documentation that the participant has obtained a bonafide employment offer; and

the occupation is related to vocational retraining received as a result of the program.

"Relocation Assistance" – The activities necessary to arrange for a family to move to a new abode for the purpose of accepting long-duration employment. Activities may include, but are not limited to: the cost of the actual transfer of goods and property, including mileage for the family's travel; emergency assistance; rent subsidies; and other supportive services.

"Residence" – An individual's principal dwelling or home.

"Satisfactory Progress in School – A Service Delivery Area, in cooperation with the local school system, must develop a written policy which defines an individual standard of progress that each participant is required to meet. Such a standard should, at a minimum, include both a qualitative element of a participant's progress (e.g., performance on a criterion referenced test or a grade point average) and a quantitative element (e.g., a time limit for completion of the program or course of study). This policy may provide for exceptional situations in which students who do not meet the standard of progress are nonetheless making satisfactory progress during a probationary period because of mitigating circumstances.

"SDA Grant Recipient" – The entity that receives JTPA funds for a service delivery area (SDA). SDA grant recipients are particular types of subrecipients.

"Secretary" – The Secretary of the United States Department of Labor.

"Selective Service Registrant" – Any individual who must register, as required by Section 3 of the Military Selective Service Act (50 U.S.C. App. 453 (1982)).

"Service Delivery Area" (SDA) – An area comprised of one or more units of general local government designated by the Governor to promote effective delivery of job training services under JTPA in accordance with Section 101 of the Act.

"Single Head of Household with Dependent Children" – A single, abandoned, separated, divorced or widowed individual who has responsibility for one or more dependent children under age 18.

"State" – The State of Illinois.

"State Plan" – The biennial plan for Title III activities in the State prepared by the Governor in accordance with Section 311 of the Act and 20 CFR 631.36 (as revised April 1, 1990, with no later amendments or editions).

"State Reserve Fund" – That portion of the State's funds, allotted in accordance with Section 302(b) of P.L. 97-300 (as amended by P. L. 100-418), reserved to the Governor under Section 302(c)(1) for the uses described in that section.

"Subgrantee" – A subrecipient.

"Subrecipient" – The legal entity to which a subgrant is awarded and which is accountable to the recipient (or higher tier subrecipient) for the use of the funds provided. For JTPA purposes, distinguishing characteristics of a subrecipient include items such as determining eligibility of applicants, enrollment of participants, performance measured against meeting the objectives of the program, responsibility for programmatic decisionmaking, responsibility for compliance with program requirements, and use of the funds awarded to carry out a JTPA program or project, as compared to providing goods or services for a JTPA program or project (vendor). Depending on local circumstances, the PIC, local elected official, or administrative entity may be a subrecipient. SDA grant recipients and JTPA Title III substate grantees are particular types of subrecipients.

"Subsidized Employment" – Employment created in the public sector and in private for profit or nonprofit organizations which is financed by the recipient's program funds. Subsidized employment includes work experience. (On-the-Job Training (OJT) is a reportable training activity, rather than subsidized employment.)

"Substance Abuser" – An adult or youth determined to be drug or alcohol dependent as determined by a medical authority or authorized school staff (e.g., guidance counselor, principal, school nurse).

"Substantial Layoff" – Any reduction in force which is not the result of a plant closing and which results in an employment loss at a single site of employment during any 30-day period for:

At least 33 percent of the employees (excluding employees regularly working less than 20 hours per week); and

At least 50 employees (excluding employees regularly working less than 20 hours per week); or at least 500 employees excluding employees regularly working less than 20 hours per week).

"Substate Area" (SSA) – An area comprised of one or more existing Service Delivery Areas, designated by the Governor to promote the effective delivery of services to dislocated workers in accordance with Section 312(a) of the Act.

"Substate Grantee" – The entity which is designated, in accordance with the procedures described in Section 312(b) of the Act, as having the responsibility for providing the services described in Section 314(c), (d), and (e) of the Act pursuant to an agreement with the Governor and in accordance with the State plan and the substate plan.

"Substate Plan" – A Title III program plan for the substate areas prepared in accordance with Section 313 of the Act, the State plan, and such instructions as the Department issues in complying with 20 CFR 631.50 (revised as of April 1, 1990, with no later amendments or editions).

"Summer Months" – The months of May through September.

"Terminal Leave Pay" – Severance pay or payment received in lieu of accrued benefits when an individual terminates employment.

"Termination" – The separation of a participant from a given title of the Act who is no longer receiving employment, training or services (except post-termination services) funded under that title.

NOTE: Individuals may continue to be considered as participants for a period of 90 days after last receipt of employment or training funded under a given title.

"UC Claimant" – Any individual who has filed a claim and has been determined monetarily eligible for benefit payments under one or more State or Federal unemployment compensation (UC) programs, and who has not exhausted benefit rights or whose benefit year has not ended.

"UC Exhaustee" – Any individual who has exhausted his unemployment compensation benefits (not including Extended, Additional State, or Federal Supplemental Benefits) for which he has been determined monetarily eligible.

"Unsubsidized Employment" – Employment not financed from funds provided under the Act.

"Upgrading Training" – Training given to an individual who needs such training to advance above an entry-level or dead-end employment position.

"Vendor" – An entity responsible for providing generally required goods or services to be used in the JTPA program. These goods or services may be for the recipient's or subrecipient's own use or for the use of participants in the program. Distinguishing characteristics of a vendor include items such as:

providing the goods and services within normal business operations;

providing similar goods and services to many different purchasers, including purchaser outside the JTPA program; and

operating in a competitive environment.

A vendor is not a subrecipient and does not exhibit the distinguishing characteristics attributable to a subrecipient as defined above. Any entity directly involved in the delivery of program services not available to the general public, with the exception of an employer providing on-the-job-training, shall be considered a subrecipient rather than a vendor.

"Veteran" – A person who served on active duty in the military, naval, or air service (of the United States) for a period of more than 180 days and who was discharged or released therefrom with other than a dishonorable discharge or was discharged or released from active duty because of a service-connected disability.

NOTE: The term "active" means full-time duty in the Armed Forces, other than duty for training in the reserves or National Guard. Any period of duty for training in the reserves or National Guard, including authorized travel, during which an individual was disabled from a disease or injury incurred or aggravated in the line of duty, is considered "active" duty.

Recently Separated Veteran – Any veteran who applies for participation under any title of the Act within 48 months of the discharge or release from active military, naval, or air service.

Disabled Veteran – A veteran

who is entitled to compensation under laws administered by the Veterans' Administration, or

an individual who was discharged or released from active duty because of a service-connected disability.

Vietnam-Era Veteran – A veteran any part of whose active military, naval, or air service occurred between August 5, 1964 through May 7, 1975.

"Vocational Exploration Program (VEP)" – A program for the purpose of exposing individuals to the operation and types of jobs available in the private sector through observation of such jobs and instruction including, where appropriate, limited practical experience.

"Welfare Recipient" – An individual who receives or whose family receives cash payments under Aid to Families with Dependent Children (AFDC) (Social Security Act (SSA) Title IV) (42 U.S.C. 401 (1983)), General Assistance (State or local government), or the Refugee Act of 1980 (8 U.S.C. 1521-1525 (1983)). (For proposed performance standards purposes, this term excludes recipients of Supplementary Security Income (SSI) Title XVI of the Social Security Act (42 U.S.C. 1601, 1602 (1983)).

"Work Experience" – A short-term or part-time work assignment with a public or private nonprofit employing agency for a participant who needs assistance in becoming accustomed to basic work requirements. It is prohibited in the private-for-profit sector except for limited internships and entry employment experience programs, as provided in Section 264(c)(1)(F) and (H).

Work experience is designed to promote the development of good work habits and basic work skills for individuals who have never worked or who have been out of the labor force for an extended period of time including, but not limited to:

students;

summer youth;

school dropouts;

individuals with disabilities; and

older workers.

Participation in work experience shall be for a reasonable length of time, based on the needs of the participant, which shall be documented in the participant's ISS. Generally, work experience for adults may not exceed the later of 6 months or 499 hours if working part-time. The ISS shall include a justification in each case where work experience is authorized in excess of these limits for adults.

Work experience conducted under Titles II-A and II-C shall be accompanied, either concurrently or sequentially, by other services designed to increase the basic education and/or occupational skills of the participant, as documented in the ISS.

Work experience is not an allowable activity under Title III of the Act.

"Youth" – An individual who is aged 16 through 21. (Individuals aged 14 and 15 may participate in a "preemployment skills training program" for youth.)

"Youth Competency System" – A sufficiently developed youth employment competency system must include the following structural and procedural elements:

Quantifiable Learning Objectives – PIC-recognized competency statements that are quantifiable, employment-related, measurable, verifiable learning objectives that specify the proficiency to be achieved as a result of program participation. Employment competencies/quantifiable learning objectives approved by the PIC as relevant to the SDA must include a description of the skills/knowledge/attitudes/behavior to be taught, the levels of achievement to be attained, and the means of measurement to be used to demonstrate competency accomplishment. The level of achievement selected should enhance the youth's employability and opportunities for postprogram employment.

Related Curricula, Training Modules, and Approaches – Focused curricula, training modules, or behavior modification approaches which teach the employment competencies in which youth are found to be deficient. Such related activities, components, or courses must encompass participant orientation, work-site supervisor/instructor/community volunteer training, and staff development endeavors as appropriate. They also must include, as appropriate, relevant agreements, manuals, implementation packages, instructions, and guidelines. A minimum duration of training must be specified which allows sufficient time for a youth to achieve those skills necessary to attain his/her learning objectives.

Pre-Assessment – Assessment of participant employment competency needs at the start of the program to determine if a youth requires assistance and is capable of benefitting from available services. A minimum level of need must be established before a participant is eligible to be tracked as a potential "attained PIC-recognized youth employment competency" outcome. All assessment techniques must be objective, unbiased and conform to widely accepted measurement criteria. Measurement methods used must contain clearly defined criteria, be field tested for utility, consistency, and accuracy, and provide for the training/preparation of all raters/scorers.

Post-Assessment (Evaluation) – Evaluation of participant achievement at the end of the program to determine if competency-based learning gains took place during project enrollment. Intermediate checking to track progress is encouraged. All evaluation techniques must be objective, unbiased and conform to widely accepted evaluation criteria. Measurement methods used must contain clearly defined criteria, be field tested for utility, consistency, and accuracy, and provide for the training/preparation of all raters/scorers.

Employability Development Planning – Use of assessment results in assigning a youth to appropriate learning activities/sites in the proper sequence to promote participant growth and development, remedy identified deficiencies, and build upon strengths.

Documentation – Maintenance of participant records and necessary reporting of competency-based outcomes to document intra-program learning gains achieved by youth.

Certification – Proof of youth employment competency attainment in the form of a certificate for participants who achieve predetermined levels of proficiency to use as evidence of this accomplishment and to assist them in entering the labor market.

"Youth Employability Enhancement Termination" – An outcome for youth, other than entered unsubsidized employment, which is recognized as enhancing long-term employability and contributing to the potential for long-term increase in earnings and employment. Outcomes which meet this requirement shall be restricted to the following:

Attained (two or more) PIC-Recognized Youth Employment Competencies – Demonstrated proficiency as defined by the PIC in two or more of the following three skill areas in which the client was deficient at enrollment: Pre-employment/Work Maturity; Basic Education; or Job-specific Skills. Competency gains must be achieved through program participation and tracked through sufficiently developed systems that must include: quantifiable learning objectives, related curricula/training modules, pre- and post assessment, employability planning, documentation and certification.

Returned to Full-Time School – The total number of youth who,

had returned to full-time secondary school (e.g., junior high school, middle school and high school), including alternative school, if, at the time of intake the participant was not attending school, exclusive of summer, and had not obtained a high school diploma or equivalent and

prior to termination had been retained in school for one semester or at least 120 calendar days.

NOTE: Alternative School – A specialized, structured curriculum offered inside or outside of the public school system which may provide work/study and/or GED preparation.

Remained in School – The total number of youth who, prior to termination, had been retained in full-time secondary school, including alternative school, for one semester or at least 120 calendar days. A youth may be terminated with this enhancement only if he/she was attending school at the time of intake, had not received a high school diploma or equivalent, and was considered "at risk of dropping out of school", as defined by the Governor in this Section in consultation with the Illinois State Board of Education.

NOTE: To obtain credit for Returned to Full-Time School or Remained in School, SDAs must be prepared to demonstrate that retention results from continuing participation in JTPA activities and the youth must be making satisfactory progress in school, and for youth aged 16-21: attain a PIC-approved Youth Employment Competency in Basic Skills or Job Specific Skills and for individuals aged 14-15: attained a PIC-approved Youth Employment Competency in Pre-employment/Work Maturity or Basic Skills.

Completed Major Level of Education – The total number of adults/youths who, prior to termination, had completed, during enrollment, a level of educational achievement which had not been reached at entry. Levels of educational achievement are secondary and post secondary. Completion standards:

shall be governed by state standard; and

shall include a high school diploma, GED certificate or equivalent at the secondary level; and

shall require a diploma or other written certification of completion at the post-secondary level.

NOTE: To obtain credit, completion of a major level of education must result primarily from JTPA program participation of at least 90 calendar days or 200 hours.

Entered Non-Title II Training – The total number of adults/youth who, prior to termination, had entered an occupational-skills employment/training program, not funded under Title II of the JTPA, which builds upon and does not duplicate training received under Title II.

NOTE: To obtain credit, the participant must have been retained in that program for at least 90 calendar days or 200 hours or must have received a certification of occupational skill attainment. During the period the participant is in non-Title II training, he/she may or may not have received JTPA services.

History

• Source: Amended at 18 Ill. Reg. 9902, effective June 17, 1994

56 Ill. Adm. Code 2600.30 Illinois Job Training Coordinating Council

The State Job Training Coordinating Council shall be established pursuant to Section 122 of the Act and the Illinois Job Training Coordinating Council Act (Ill. Rev. Stat. 1987 and 1988 Supp., ch. 48, pars. 2101 et seq.).

a) Appointments to the State Council – Nominations for appointments and reappointments shall be solicited by the Department from local Private Industry Councils, chief elected officials, the current chairman of the Illinois Job Training Coordinating Council, State agencies, and other interested individuals and organizations. The qualifications of nominees shall be recorded by using a form prescribed by the Department and then forwarded to the Governor for selection.

b) Responsibilities of the State Council – The Illinois Job Training Coordinating Council shall perform duties as specified in Sections 122(b), 317, and 501 of the Act and Section 4 of the Illinois Job Training Coordinating Council Act.

c) Support of State Council Activities – Funding for the Illinois Job Training Coordinating Council shall be provided pursuant to Section 202(b)(4) of the Act. Staffing for the Council shall be provided by the Department.

History

• Source: Amended at 13 Ill. Reg. 13839, effective August 16, 1989

56 Ill. Adm. Code 2600.40 Local Service Delivery System

a) Designation of Service Delivery Areas – The Department on behalf of the Governor may initiate an application process for local elected officials on behalf of units of general local government to request designation as a SDA under the JTPA to take effect at the start of Program Year 1986. The process for redesignation of SDAs shall conform with requirements of Section 101 of the Act and 20 CFR 628.1 (1983). Pursuant to Section 101(c)(l) of the Act, redesignation of SDAs shall not take place more frequently than every two years and shall not be made later than four months before the beginning of a program year. In considering whether to initiate an application process for redesignation, the Department shall consider the availability of administrative funds to support the existing SDA administrative structure; the ability of SDAs to achieve or exceed performance standards; and, the recommendations of the Illinois Job Training Coordinating Council. The Illinois Job Training Coordinating Council shall recommend to the Governor SDAs by preparing a map of the State identifying the geographical area to be included in each SDA. Pursuant to Section 4 of Public Act 83-1288, effective August 31, 1984 (Ill. Rev. Stat. 1984 Supp., ch. 48, par. 2104), these recommendations shall be forwarded to the President of the Senate and Speaker of the House of Representatives, or their designees, for review and comment by the Illinois General Assembly. In addition to criteria which may be identified by the Illinois Job Training Coordinating Council, the Council shall consider the following criteria prior to making recommendations to the Governor on redesignation:

1. the consistency of proposed SDA boundaries with labor market area boundaries and patterns of labor market behavior;

2. the adequacy of estimated available funds to support the administrative expenses of proposed SDAs;

3. the availability of a mix of employment opportunities and training institutions within proposed SDAs; and,

4. the potential impact of redesignation decisions on the ability to maintain existing effective local relationships established for the provision of employment and training services (e.g., agreements among local elected officials).

b) Petition for Redesignation – Pursuant to Section 101(c)(2) of the Act, the Department shall initiate an application process for redesignation as described in Section 2600.40(a) of this Part, if a petition is filed with the Department by an entity specified in Section 101(a)(4)(A) of the Act. Petitions shall be accepted only if filed at least eighteen months before the start of the program year for which the redesignation is proposed. Petitions for redesignation shall include a PIC Membership Selection Agreement if such an agreement is required of the petitioner(s) pursuant to Section 102(d) of the Act.

c) Redesignation Due to Failure to Reach Agreement – In accordance with the requirements of Section 105(c) of the Act, if a Private Industry Council and appropriate chief elected official or officials fail to reach the agreement required under Section 103(b) or (d) of the Act and, as a consequence, funds for a Service Delivery Area shall not be made available under Section 104 of the Act, the Department on behalf of the Governor shall redesignate the SDAs in the State to merge the affected area into one or more other SDAs. Such redesignations shall be made without regard to requirements of Section 2600.40(a) of this Part. Prior to such redesignations the Department shall attempt to mediate the disagreement between the Private Industry Council and appropriate chief elected official or officials. The duration of such mediation shall not exceed a period of two months beyond March 2 preceding the start of the subsequent program year.

d) Redesignation Due to Failure to Meet Plan Approval Requirements – In the event that the Department disapproves a job training plan in accordance with Section 105(b) of the Act and Section 2610.40(d) of this Part, the Department on behalf of the Governor, shall redesignate the Service Delivery Areas in the State to merge the affected area into one or more other Service Delivery Areas. Such redesignations shall be made without regard to Sections 101(a)(4) and (c)(1) of the Act and the requirements of Section 2600.40(a) of this Part. Such a redesignation shall be initiated only after the review process for the Job Training plan as specified in 56 Ill. Adm. Code 2610.50(c) has been completed and the plan has not been approved as specified in 56 Ill. Adm. Code 2610.50(d). The steps that shall be followed if a plan is disapproved are in accordance with 20 CFR Part 628.5 dated March 15, 1983. These steps and timelines are as follows:

1. The Job Training Plan shall be submitted to the Department by April 10 preceding the start of the subsequent program year.

2. The Department shall approve or disapprove the plan within 30 days and notify the PIC and Chief Elected Official(s) in writing.

3. If the plan is not approved, the PIC and Chief Elected Official(s) shall have 20 days to correct the deficiencies and resubmit the plan to the Department.

4. The Department shall approve or disapprove the plan within 15 days.

5. If the plan is disapproved, the PIC and Chief Elected Official(s) shall have 30 days to submit an appeal to the Secretary.

6. The Secretary shall accept the appeal and make a decision only with regard to determining whether or not the disapproval is clearly erroneous within the context of Section 105(b)(1) of the Act. The Secretary shall make a final decision within 45 days after the appeal is received in accordance with Section 105(b)(2) of the Act.

7. The Department shall provide the PIC and Chief Elected Official(s) 5 days to correct deficiencies and resubmit the plan after the Secretary's final decision.

8. If a corrected plan is not submitted within the 5 days, then redesignation will be initiated.

e) Certification of Private Industry Councils – The Department, on behalf of the Governor, shall certify a Private Industry Council which meets the requirements of Section 102 of the Act and the requirements specified in this Part. Such certification shall be made or denied within 30 days after the date on which a list of members and necessary supporting documentation are submitted to the Department. The list and supporting documentation shall be submitted by a date and in accordance with instructions and using forms provided by the Department.

1. PIC Appointing Authority – Appointments to PICs shall be made in accordance with the requirements of Section 102(d) of the Act. In any case in which there are no units of general local government in the SDA with experience in administering job training programs, then the chief elected official(s) in the SDA shall appoint members to the PIC in accordance with an agreement entered into by such units. Pursuant to Section 102(d) of the Act, a chief elected official (or officials) of a unit (or units) of general local government with experience in administering job training programs within the Service Delivery Area shall appoint members to the private industry council. Such experience shall be recognized only if it transpired during the three program years proceeding the program year in which the appointments are to be made. Only units of general local government which are responsible for any one of the following job training program related responsibilities shall be considered as having related experience in administering job training programs:

A) grant recipient;

B) administrative entity;

C) prime sponsor under the Comprehensive Employment and Training Act (CETA) (29 U.S.C. 801); or

D) planning entity.

2. Nomination Procedures – Nominations shall be made pursuant to the requirements of Section 102(c) of the Act. Private sector representatives shall be selected from among individuals nominated on a single slate containing 150 percent of the number of representatives needed to fill all private sector vacancies.

3. Composition of the Private Industry Council – A Private Industry Council shall meet the requirements of Section 102 of the Act and the composition requirements of this Part.

A) A PIC shall have a minimum of thirteen members.

B) No member of a PIC shall represent more than the one group.

C) Private sector representatives shall be owners of business concerns, chief executives or chief operating officers of nongovernmental employers, or other managers whose decisions and/or recommendations substantially affect the investment decisions or workforce requirements of the firm or facility. The majority of the members of PICs shall be private sector representatives.

D) Women shall be represented on the Private Industry Council in proportion to their representation in the labor force of the Service Delivery Area. A Private Industry Council not in compliance with this criteria shall include a description of action which will be taken by the chief elected official or officials in order to meet this criteria by Program Year 1986. In such cases, local job training plans shall include a description of action which will be taken by the chief elected official or officials which demonstrate that progress will be made to meet this criteria. In the event that this requirement is not complied with by Program Year 1986, the certification of the Private Industry Council shall be withdrawn and new business (e.g., entering into new contracts with service providers) may not be conducted by the PIC which has been de-certified, but existing services shall continue until the PIC is re-certified. The affected Private Industry Council shall be prohibited from conducting business unless it can be demonstrated that:

i) the occurrence of vacancies was insufficient to allow compliance; or,

ii) efforts to attract women for nomination to the PIC are documented via newspaper advertisements, copies of letters sent to women's business and professional organizations, women's social services organizations, and other groups required to be on the PIC's as per this section, and yet such efforts failed to provide sufficient results to achieve compliance either through lack of nominees or refusals to serve by women who were nominated.

E) In a Service Delivery Area in which racial minorities comprise five percent or more of the labor force in the Service Delivery Area, racial minorities shall be represented on the Private Industry Council in proportion to their representation in the labor force of the Service Delivery Area. A Private Industry Council not in compliance with this criteria shall demonstrate that priority will be given to minorities in filling vacancies so that by Program Year 1986 this requirement will be met. In such cases, local job training plans shall include a description of action which will be taken by the chief elected official or officials which demonstrate that appropriate progress will be made to meet this criteria. In the event that this requirement is not complied with by Program Year 1986, the certification of the Private Industry Council shall be withdrawn and new business (e.g., entering into new contracts with service providers) may not be conducted by the PIC which has been de-certified, but existing services shall continue until the PIC is re-certified. The affected Private Industry Council shall be prohibited from conducting business unless it can be demonstrated that:

i) the occurrence of vacancies was insufficient to allow compliance; or,

ii) the number of vacancies filled by individuals who were nominated by virtue of their position with a specific agency precluded compliance.

F) Whenever possible, at least one-half of the private sector representatives on the PIC shall be representatives of small business including minority businesses and those owned by women. The Department shall accept that it is not possible for at least one-half of the private sector representatives to be representatives of private small businesses if such representatives decline to be members of the PIC or there are too few such businesses in the SDA. The term 'small business' shall mean business employing 500 or fewer persons. No PIC shall be certified if such small business representation is below forty percent of all private sector representatives.

G) No local elected officials (and all employees under the jurisdiction of their offices) who have responsibility for plan approval pursuant to Section 103(d) of the Act, shall be appointed to the PIC. Where SDAs are comprised of counties, such officials shall include all county board members and county commissioners. Where SDAs are comprised of cities, towns, or villages, such officials shall include mayors and all city, town, or village council or board members. Local elected officials other than those cited above may serve as PIC members if they are nominated and appointed as a representative of one of the groups specified in Section 102(a) and (c) of the Act.

H) At a minimum, one private sector representative shall be appointed from each major industrial group which represents ten percent or more of the SDA's private sector labor force.

I) The PIC shall include but not be limited to representatives of:

i) educational agencies;

ii) organized labor;

iii) rehabilitation agencies;

iv) community-based organizations;

v) the public employment service; and,

vi) economic development agencies.

J) The PIC shall elect its own Chairman. Pursuant to Section 103(b) of the Act, the Chairman of the PIC shall be selected from among members of the PIC who are private sector representatives.

4. Filling Vacancies on the Private Industry Council – Pursuant to 102(f) of the Act, any vacancy in the membership shall be filled following the same procedure as the original appointment. Requirements as specified in Section 2600.40(e) of this Part shall be met in filling any vacancy in the membership of a PIC. A nomination to fill a vacancy shall be forwarded to the Department for certification within three months of occurrence. In the event that an initial nomination is not certified by the Department due to noncompliance with the requirements of the Act or the requirements of this Part, a second nomination shall be forwarded within one month of being so notified by the Department. In the event that a nominee cannot be certified by the Department within the timeframes specified above and the PIC no longer meets the requirements of Section 102 of the Act and/or Section 2600.40(e) of this Part, the certification of the PIC shall be withdrawn and the affected PIC shall be prohibited from conducting business until such time as the vacancy is filled and certified. New business (e.g., entering into new contracts with service providers) shall not be conducted by PICs which have been de-certified, but existing services shall continue until the PIC is re-certified. The Department shall provide the affected PIC thirty days notice of de-certification. Existing services under an approved plan shall not be disrupted due to de-certification.

5. Appointments Made by the Governor

A) Failure to Reach Agreement – The Department on behalf of the Governor, shall appoint individuals to the Private Industry Council in the event that agreement is not reached on appointment procedures by chief elected officials as specified in Section 102(d) of the Act and 2600.40(e)(1) of this Part. The Department shall not exercise this authority unless, the Department first attempts to facilitate a local agreement through mediation. The duration of such mediation shall not exceed a period of two months beyond the scheduled date set by the Department for the establishment of such agreements.

B) Failure to Meet Certification Requirements – In the event that the Department is unable to certify a Private Industry Council due to non-compliance with Section 102 of the Act or the requirements of this Part, the Department on behalf of the Governor, shall appoint individuals to the Private Industry Council. Such appointments shall be limited to the smallest number of appointments which will allow for certification. The Department will not exercise this authority unless, the Department first attempts to facilitate the local appointment process through mediation. The duration of such mediation shall not exceed a period of two months beyond the scheduled date set by the Department for the submission of certification documentation.

C) Failure to Fill Vacancies – In the event that certification of a Private Industry Council is withdrawn pursuant to Section 2600.40(e)(4) of this Part, the Department on behalf of the Governor, shall appoint individuals to the Private Industry Council to fill any vacancies.

f) Reorganization Due to Inadequate Performance – Pursuant to Section 106(h) of the Act, the Governor shall impose a reorganization plan in a Service Delivery Area if failure to meet performance standards established in accordance with Sections 106 of the Act and 20 CFR 629.46 (1983) persists for two consecutive program years. Prior to imposition of a reorganization plan, the Department on behalf of the Governor, shall offer the affected parties opportunity for a hearing regarding such areas as the adequacy of the reorganization plan, the computation of the standards and extenuating local conditions affecting performance. The Department will follow the procedures outlined in Article 10 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1010-5 et seq.) for conducting hearings.

g) Agreements Among Chief Elected Officials (CEO)

1. CEOs shall adopt, by a majority vote, a system of recognized and traditionally accepted parlimentary rules (e.g., Roberts Rules of Order, Sturgis Standard Code of Parlimentary Procedure) by which meetings/assemblies shall be conducted. These rules shall provide for procedural safeguards and democratic discussion, the right of free and fair debate.

2. CEOs shall adopt formal bylaws to govern their meetings/assemblies.

h) Operating Procedures for PICs: PICs shall adopt, by a majority vote, a system of recognized and traditionally accepted parlimentary rules (e.g., Roberts Rules of Order, Sturgis Standard Code of Parlimentary Procedure) by which meetings/assemblies shall be conducted. These rules shall provide for procedural safeguards and democratic discussion, the right of free and fair debate.

History

• Source: Amended at 9 Ill. Reg. 5591, effective April 17, 1985

56 Ill. Adm. Code 2600.50 Sanctions Policy

In accordance with 56 Ill. Adm. Code 2630.122, the Department is held responsible for all funds under the Act. In order to carry out this responsibility, the Department shall provide for sanctions when grantees fail to comply with applicable laws, regulations, and policies. The purpose of having a sanctions policy is the same as that for having technical assistance and corrective action strategies in that the final intent is to help grantees correct performance deficiencies and/or move into compliance with a particular portion of the Act or regulations. Thus, the focus is not punitive. As long as grantees are implementing the corrective action plans approved by the Department, sanctions will be avoided. The corrective action environment is one in which the grantee negotiates with the Department on activities to be undertaken to correct performance deficiencies. In the sanctions environment, the Department takes a more forceful role in determining what actions a grantee shall take to correct problems.

a) Definitions – The following definitions are applicable to this Section:

"Indication of Problem" – The point at which a compliance problem is identified.

"Intermediate Activity(ies)" – The initial action(s) to be taken by the State and the grantee in turn in order to rectify an identified deficiency.

"Performance Exception" – The specific activity/performance which shall be monitored by the Department, and to which sanctions may be applied.

"Sanction(s)" – The particular action(s) which shall be taken by the Department when deficiencies remain uncorrected.

"State Intervention Authority" – Citation(s) to the Act, federal regulations, and/or State rules which provide the authority for the Department to impose sanctions for unacceptable performance in a given area.

b) Following are specific areas of performance which are subject to Department sanctions.

1. Reporting

A) Performance Expectation – In accordance with 56 Ill. Adm. Code 2610.130(b), grantees shall enter participant and expenditure data into the JTPA– II management information system (MIS) and direct subgrantee reporting system (DSGR) by the thirtieth day of the month following the month in which the participant transaction or expenditure occurred. Manual reports shall also be submitted by this date.

B) Indication of Problem – The following are indicative of failure to meet the performance expectation as defined in subsection (b)(1)(A) above:

i) cash draws exceed reported expenditures by 5% for any month;

ii) based on the quarterly data entry performance summary reports, less than 90% of enrollments, training and service records or termination records were entered in the JTPA– II MIS within four (4) weeks after their creation;

iii) based on manual logs, manual expenditures or participant reports, the reports are submitted late;

iv) based on comparison of close– out submission with DSGR's content as of July 30, there is under– or over– reporting of 10% or greater.

C) Intermediate Activities – When a grantee fails to meet the performance expectation, one or more of the following steps shall be taken in an effort to redress the problem(s).

i) The Department shall notify the grantee, the Private Industry Council (PIC) and the chief elected official (CEO) in writing of the problem(s).

ii) The Department shall offer technical assistance.

iii) The grantee shall develop a corrective action plan.

iv) The Department shall monitor the grantee's implementation of the corrective action plan.

v) The Department shall measure performance to determine if the problem has been corrected.

vi) The grantee shall revise the corrective action plan if that plan has not solved the problem as determined by the Department.

D) Implementation of Corrective Action – Timelines for implementing corrective action shall depend on the measurement cycle, which may be monthly, quarterly or annually and the nature of the corrective action plan.

E) State Intervention Authority – In accordance with Sections 164(a)(1) and (e)(2)(C) of the Act and Job Training Partnership Act (JTPA) regulations found in 20 CFR 629.35 (April 1, 1991 edition), the Department shall impose sanctions for unacceptable performance.

F) Sanctions – Sanctions shall be triggered by failure to implement the corrective action plan and/or the repeated failure of corrective action to eliminate the problem identified. Sanctions include:

i) withholdig cash until expenditures are balanced with requests;

ii) revoking a portion of the administrative plan until the grantee acquires needed resources;

iii) imposing contracting policy changes designed to encourage timely reporting by service providers.

2. Performance Standards

A) Performance Expectation – In accordance with 56 Ill. Adm. Code 2610.100(b)(3), Title IIA grant recipients shall meet or exceed three of the four core adult follow– up measures and one of the two core youth measures for the program year. In accordance with 56 Ill. Adm. Code 2525.60(f)(4), Title IIIA substate grantees (SSGs) shall meet or exceed both of the U.S. Department of Labor (USDOL) performance measures for the program year.

B) Indication of Problem – The problem is indicated by failure to meet the performance expecation as defined in subsection (b)(2)(A) above.

C) Intermediate Activities – When a grantee fails to meet the performance expectation, one or more of the steps listed in subsection (b)(1)(C)(i) through (vi) of this Section shall be taken.

D) Implementation of Corrective Action – Failure to meet performance standards in the second quarter shall initiate the corrective action plan process and performance shall be monitored on a quarterly basis. First year failure by the grantee requires a formal strategy be developed to avoid failure in the second year of the two– year plan.

E) State Intervention Authority – In accordance with Section 106(h) of the Act and JTPA regulations found in 20 CFR 629.46 (April 1, 1991 edition), the Department shall impose sanctions for unacceptable performance.

F) Sanctions – Sanctions shall be triggered by: performance standards not being met for the second consecutive year, failure to implement a corrective action plan and/or refusal to cooperate with a reorganization plan. Sanctions include:

i) reorganization of the PIC;

ii) selection of a new administrative entity;

iii) selection of a new grant recipient or SSG;

iv) prohibition against the use or continued use of certain service providers;

v) designation of resources to specific program interventions;

vi) redesignation of the SDA or SSA.

3. Program Limitations

A) Performance Expectation – Grantees shall maintain systems to ensure compliance with time limitations of participant activities in all JTPA titles and limitations in Section 108 of the Act.

B) Indication of Problem – Violation of the program limitations cited in monitoring reports and letters or audit reports are indicative of failure to meet the performance expectation as defined in subsection (b)(3)(B).

C) Intermediate Activities – When a grantee fails to meet the performance expectation, one or more of the following steps shall be taken in an effort to rectify the problem(s).

i) The Department shall review JTPA– II reports.

ii) The Department shall review audit and monitoring workpapers.

iii) The Department and the grantee shall meet with the local administrator.

iv) The Department and the grantee shall meet with the PIC Chair and CEO.

v) The Department shall disallow costs.

D) Implementation of Corrective Action – Grantees shall respond to monitoring and audit reports within 30 calendar days.

E) State Intervention Authority – In accordance with Sections 108, 204, and 205 of the Act, the Department shall impose sanctions for unacceptable performance.

F) Sanctions – Sanctions shall be triggered by failure to meet specified program limitations as cited in the Act and/or failure to reimburse disallowed costs. Sanctions include:

i) withholding cash;

ii) deducting liability from future cash payments.

4. Program Documentation

A) Performance Expectation – Grantees shall have adequate documentation to support proper allowability and classification of costs, proper reporting of costs, participant program eligibility and termination reasons.

B) Indication of Problem – Lack of documentation in areas that are identified in monitoring reports or audit reports is indicative of failure to meet the performance expectation defined in subsection (b)(4)(A) of this Section.

C) Intermediate Activities – When a grantee fails to meet the performance expectation, one or more of the following steps shall be taken in an effort to rectify the problem(s).

i) The Department shall issue monitoring reports and audit reports.

ii) The grantee shall respond to monitoring and audit reports.

iii) The grantee shall develop a corrective action plan.

iv) The Department shall follow up on response to monitoring/audit reports.

v) The Department and the grantee shall meet with the local administrator.

vi) The Department and the grantee shall meet with the PIC Chair and CEO.

vii) The Department shall disallow costs.

D) Implementation of Corrective Action – Grantees shall respond to monitoring reports within 30 calendar days and implement corrective action within 45 calendar days after receipt of the corrective action plan.

E) State Intervention Authority – In accordance with Sections 164(a)(1) and (b)(1) and Sections 165 (c)(1) and (2) of the Act and JTPA regulations found in 20 CFR 629.35 (April 1, 1991 edition), the Department shall impose sanctions for unacceptable performance.

F) Sanctions – Sanctions shall be triggered by failure to meet specified time limits or requirements on monitoring reports and corrective action and/or failure to reimburse disallowed costs. Sanctions include:

i) revoking the two-year plan or part of the plan as necessary;

ii) withholding cash requests;

iii) deducting liability from future cash payments.

5. Program Procurement

A) Performance Expectation – In accordance with 56 Ill. Adm. Code 2630.82, a grantee shall follow all necessary State and federal procurement policies and procedures.

B) Indication of Problem – Violation of State and federal procurement policies and procedures as referenced is indicative of failure to meet the performance expectation defined in subsection (b)(5)(A) above.

C) Intermediate Activities – When a grantee fails to meet the performance expectation, one or more of the following steps shall be taken in an effort to rectify the problem(s).

i) The Department shall issue monitoring and audit reports.

ii) The grantee shall respond to monitoring and audit reports.

iii) The grantee shall develop a corrective action plan.

iv) The Department shall follow up on implementation of the corrective action plan.

v) The Department and the grantee shall meet with the local administrator.

vi) The Department and the grantee shall meet with the PIC Chair and CEO.

vii) The Department shall disallow costs.

D) Implementation of Corrective Action – Grantees shall respond to monitoring reports within 30 calendar days and implement corrective action within 45 calendar days after receipt of the corrective action plan.

E) State Intervention Authority – In accordance with Sections 164(a)(1) and (b)(1) of the Act and JTPA regulations found in 20 CFR 629.35 (April 1, 1991 edition), the Department shall impose sanctions for unacceptable performance.

F) Sanctions – Sanctions shall be triggered by failure to meet specified time limits or requirements on monitoring reports and corrective action plans. Sanctions include:

i) revocation of the two-year plan or part of the plan as necessary;

ii) withholding cash requests;

iii) deducting liability from future cash payments.

6. Cash Balance

A) Performance Expectation – Grantees shall maintain a daily cash balance for immediate cash needs only.

B) Indication of Problem – Cash on hand in excess of the amount determined through Department monitoring to be necessary and reasonable for immediate cash needs is indicative of failure to meet the performance expectation defined in subsection(b)(6)(A) above.

C) Intermediate Activities – When a grantee fails to meet the performance expectation, one or more of the following steps shall be taken in an effort to rectify the problem(s).

i) The Department shall review monitoring and audit reports.

ii) The Department and the grantee shall meet with the local administrator.

iii) The Department and the grantee shall meet with the PIC Chair and CEO.

D) Implementation of Corrective Action – Grantees shall respond within 30 calendar days to monitoring and audit reports and correct the deficiency within 45 calendar days after receipt of the corrective action plan.

E) State Intervention Authority – In accordance with Section 205 of the Act, JTPA regulations found in 20 CFR 629.31(b) (April 1, 1991 edition), and the U.S. Department of the Treasury Circular TC 1075-1 (31 CFR 205), the Department shall impose sanctions for unacceptable performance.

F) Sanctions – Sanctions shall be triggered by non-compliance with the requirements relating to cash balances within 30 calendar days of implementation of the corrective action plan, as verified by on-site monitoring of current daily cash balances. Sanctions include:

i) justification for each cash draw;

ii) submission of a new or revised system of forecasting cash needs;

iii) return of excess cash.

7. Cost Limitations

A) Performance Expectation – Grantees shall maintain compliance with program cost limitations specified in 56 Ill. Adm. Code 2630.102.

B) Indication of Problem – Audit and monitoring exceptions regarding cost categories and limitations and close-out reports are indicative of failure to meet the performance expectation defined in subsection (b)(7)(A) above.

C) Intermediate Activities – When a grantee fails to meet the performance expectation, one or more of the following steps shall be taken.

i) The Department shall review monitoring and audit reports, close-out documents and tracking reports.

ii) The Department and the grantee shall meet with the local administrator.

iii) The Department and the grantee shall meet with the PIC Chair and CEO.

iv) The Department shall disallow costs.

D) Implementation of Corrective Action – Grantees shall respond to the monitoring/audit reports within 30 calendar days and shall correct the deficiency within 45 calendar days after the receipt of the corrective action plan.

E) State Intervention Authority – In accordance with Section 108 of the Act and JTPA regulations found in 20 CFR 629.39 (April 1, 1991 edition), the Department shall impose sanctions for unacceptable performance.

F) Sanctions – Sanctions shall be triggered by failure to meet specified time limits or requirements and corrective action and/or failure to reimburse disallowed costs. Sanctions include:

i) withholding cash;

ii) deducting liability from future payments.

8. Cost Allocation

A) Performance Expectation – Grantees shall assign costs per their cost allocation formula in accordance with 56 Ill. Adm. Code 2630.111.

B) Indication of Problem – Audit and fiscal monitoring reports noting discrepancy(ies) in assigning costs as required in the cost allocation formula are indicative of failure to meet the performance expectation defined in subsection (b)(8)(A).

C) Intermediate Activities – When a grantee fails to meet the performance expectation, one or more of the following steps shall be taken.

i) The Department shall review audit/monitoring reports.

ii) The Department and the grantee shall meet with the local administrator.

iii) The Department and the grantee shall meet with the PIC Chair and CEO.

iv) The Department shall disallow costs.

D) Implementation of Corrective Action – Grantees shall respond to the monitoring/audit reports within 30 calendar days and shall correct the deficiency within 45 calendar days after the receipt of the corrective action plan.

E) State Intervention Authority – In accordance with 56 Ill. Adm. Code 2630.111, the Department shall impose sanctions for unacceptable performance.

F) Sanctions – Sanctions shall be triggered by failure to meet specified time limits or requirements and corrective action and/or failure to reimburse disallowed costs. Sanctions include:

i) withholding cash;

ii) deducting liability from future payments.

9. Cost Charging

A) Performance Expectation – In accordance with Subparts B and C of 56 Ill. Adm. Code 2630, grantees shall charge all costs only once and according to classifications.

B) Indication of Problem – Audit and monitoring reports indicating problems in multiple charging of costs or charging costs to improper classifications are indicative of failure to meet the performance expectation defined in subsection (b)(9)(A) above.

C) Intermediate Activities – When a grantee fails to meet the performance expectation, one or more of the following steps shall be taken.

i) The Department shall review audit/monitoring reports.

ii) The Department and the grantee shall meet with the local administrator.

iii) The Department and the grantee shall meet with the PIC Chair and CEO.

iv) The Department shall disallow costs.

D) Implementation of Corrective Action – Grantees shall respond to monitoring/audit reports within 30 calendar days and shall correct the deficiency within 45 calendar days after the receipt of the corrective action plan.

E) State Intervention Authority – In accordance with JTPA regulations found in 20 CFR 629 (April 1, 1991 edition) and 20 CFR 631 (April 1, 1991 edition), the Department shall impose sanctions for unacceptable performance.

F) Sanctions – Sanctions shall be triggered by multiple charging of costs or improper classification of costs and/or failure to reimburse disallowed costs. Sanctions include:

i) withholding cash;

ii) deducting liability from future payments.

10. Substantial Segments

A) Performance Expectation – Grantees shall provide employment training services and opportunities to those who can benefit and are most in need, and to the identified substantial segments of the eligible population as contracted in the two– year plan.

B) Indication of Problem – Failure to serve substantial segments with variance greater than 15% below incidence level in eligible populations is indicative of failure to meet the performance expectation defined in subsection (b)(10)(A).

C) Intermediate Activities – When a grantee fails to meet the performance expectation, one or more of the following steps shall be taken.

i) The Department shall notify the grantee, PIC, and CEO of the problem and offer technical assistance.

ii) The Department shall require development of a corrective action plan.

iii) The Department shall monitor implementation of the corrective action plan.

iv) The Department shall measure performance to determine if the problem has been corrected.

v) The grantee shall revise the corrective action plan if it has not solved the problem as determined by the Department.

D) Implementation of Corrective Action –

i) Within 45 calendar days after the notification of deficiency, the grantee shall develop and submit a corrective action plan to the Department;

ii) Within 1 quarter after the plan development, the grantee shall begin implementing the corrective action plan;

iii) Within 2 quarters after implementation of the corrective action plan, if no improvement is measured, the grantee shall be required to revise the corrective action plan and obtain additional technical assistance;

iv) Within one month after the receipt of the corrective action plan, the Department shall respond to the revised corrective action plan.

E) State Intervention Authority – In accordance with Sections 141(a) and 164(b)(1) of the Act and contracts with the Department, the Department shall impose sanctions for unacceptable performance.

F) Sanctions – Sanctions shall be triggered by failure to implement a corrective action plan and/or refusal to alter a corrective action plan if no improvement is measured. Sanctions include:

i) revocation of the plan or part of the plan;

ii) prohibition from the use of certain service providers;

iii) designation of resources to specific program interventions.

11. Program and Administration Procedures

A) Performance Expectation – Grantees shall address problems in program and administration procedures as identified in monitoring reports, issued by the Department or the USDOL, and audit reports.

B) Indication of Problem – Failure to respond to monitoring reports and audit reports within specified timelines and/or follow– up reviews by the Department which show that the agreed to corrective action plan was not implemented are indicative of failure to meet the performance expectation defined in subsection (b)(11)(A) above.

C) Intermediate Activities – When a grantee fails to meet the performance expectation, one or more of the following steps shall be taken.

i) The Department shall send correspondence to the grantee to warn the grantee of non-compliance.

ii) The Department and the grantee shall meet with the local administrator.

iii) The Department and the grantee shall meet with the PIC Chair and CEO.

D) Implementation of Corrective Action – Grantees shall respond to monitoring/audit reports within 30 calendar days and correct the deficiency within 45 calendar days after the receipt of the corrective action plan.

E) State Intervention Authority – In accordance with Section 164(c)(2)(d) of the Act and JTPA regulations found in 20 CFR 629.43(b) (April 1, 1991), the Department shall impose sanctions for unacceptable performance.

F) Sanctions – Sanctions shall be triggered by failure of the grantee to respond to monitoring/audit reports and/or failure to take stipulated corrective action. Sanctions include:

i) restriction of cash drawdowns;

ii) revocation of the plan or a part of the plan;

iii) reorganization of the SDA or SSA.

12. PIC Membership

A) Performance Expectation – PIC membership requirements shall be met in accordance with 56 Ill. Adm. Code 2600.40.

B) Indication of Problem – Vacancies on PICs which exist after 90 days and/or membership which falls below the guidelines as set forth in 56 Ill. Adm. Code 2600.40(e) are indicative of failure to meet the performance expectation defined in subsection (b)(12)(A) above.

C) Intermediate Activities – When a PIC's membership fails to meet the performance expectation, the Department shall send a letter to the PIC Chair and CEOs warning them of possible decertification.

D) Implementation of Corrective Action – The PIC has 90 calendar days after receipt of a letter from the Department warning them of possible decertification to meet requirements with an additional warning letter being issued at 60 calendar days.

E) State Intervention Authority – In accordance with Section 102 of the Act and JTPA regulations found in 20 CFR 628.2 (April 1, 1991), the Department shall impose sanctions for unacceptable performance.

F) Sanctions – Sanctions shall be triggered by failure to comply with the decertification warning letter and timelines. The Governor shall select PIC members to meet necessary requirements.

13. Civil Rights Complaints

A) Performance Expectation – In accordance with 56 Ill. Adm. Code 2610.120(c), Civil Rights Complaint Reports shall be completed and submitted to the Department.

B) Indication of Problem – When a grantee does not submit reports within prescribed timelines, it is indicative of failure to meet the performance expectation defined in subsection (b)(13)(A) above.

C) Intermediate Activities – When a grantee fails to meet the performance expectation, one or more of the following steps shall be taken in an effort to rectify the problem(s).

i) The Department shall notify the grantee in writing that the grantee shall prepare and submit a Civil Rights Complaint Report.

ii) The Department shall meet with the PIC and CEO regarding the problem and offer technical assistance.

iii) The Department shall review the summary report submitted to the Illinois Job Training Coordinating Council (IJTCC).

D) Implementation of Corrective Action – The grantee shall submit a corrective action plan within 5 calendar days following the end of the quarter and implement corrective action within 30 calendar days.

E) State Intervention Authority – In accordance with Section 164(B)(1) of the Act, the Department shall impose sanctions for unacceptable performance.

F) Sanctions – Sanctions shall be triggered by failure to prepare and submit a Civil Rights Complaint Report within prescribed timelines. The sanction is plan revocation.

14. Coordination Agreements

A) Performance Expectation – In accordance with 56 Ill. Adm. Code 2610.60 and 2610.Appendix A, the grantees/administrative entities shall negotiate and/or modify coordination agreements with mandated agents in accordance with the Governor's Coordination Criteria within specified timelines.

B) Indication of Problem – When a grantee does not reach agreement on the contents of a coordination agreement, resulting in failure of a signed agreement being submitted with their plan or modification, it is indicative of failure to meet the performance expectation defined in subsection (b)(14)(A) above.

C) Intermediate Activities – When a grantee fails to meet the performance expectation, one or more of the following steps shall be taken.

i) For the two-year plan, if coordination agreements are not included in the preliminary plan, Department staff shall contact SDAs to determine the nature of the problem. If the problem is such that the SDA does not anticipate resolution in sufficient time for inclusion in the final plan, unless the nature of problem is routing for signatures, staff shall advise SDAs to discuss with the PIC/local elected official (LEO) and shall consult with the coordinating agent for perspective. The coordinating agent shall be advised to contact the central office of the State agency, as appropriate, to discuss the problem.

ii) The grantee shall report, in writing, to the Coordination Committee on the nature of the problem(s) and efforts to date to resolve them. The SDA/coordinating agent may submit a one page perspective briefing to the Coordination Committee if desired.

iii) If coordination agreements are not finalized by June 30, SDA and coordinating agents' representatives involved in the disagreement shall be requested to present their views at the Coordination Committee meeting at which the Coordination Committee shall attempt to provide assistance in the resolution of issue(s).

iv) The IJTCC shall act on Coordination Committee recommendations. Letters shall then be transmitted to the SDAs/coordination agents.

D) Implementation of Agreements – The grantee shall submit the preliminary agreements in March and the final agreement in April, biennially, in accordance with the two-year planning cycle.

E) State Intervention Authority – In accordance with Sections 105(b)(1)(E) and 122(b)(3) of the Act, the Department shall impose sanctions for unacceptable performance.

F) Sanctions – Sanctions shall be recommended by the Coordination Committee to the IJTCC which shall endorse the recommendation. Sanctions include:

i) plan disapproval;

ii) plan revocation.

c) Appeals – The following steps outline the general appeal process relative to sanctions.

1. The Department shall mail a letter to the grantee announcing sanctions. A copy of the letter shall be mailed to the PIC Chair and CEO.

2. The grantee has 30 working days to submit an appeal of the sanction. Informal resolution of any differences is encouraged during this time.

3. A formal hearing shall be scheduled to convene within 30 working days after the receipt of the appeal.

4. The grantee shall make every effort possible to attend the formal hearing. However, if this is not possible, a 48-hour prior notice shall be given to the Department and the hearing can be rescheduled for just cause as determined by the hearing officer. Otherwise, the formal hearing shall be held in the absence of the grantee.

5. The hearing officer's decision shall be mailed to the grantee, PIC Chair and CEO within 30 working days after the hearing.

6. Sanctions imposed because of the failure to meet performance standards for the second year may be appealed to the Secretary of the USDOL (Secretary) per Section 106(h) of the Act. Revocation of all or part of a plan because the Governor determines there is a substantial violation of a specific provision of he Act or regulations as a result of financial and compliance audits, or otherwise, may be appealed to the Secretary per Section 164(b) of the Act.

History

• Source: Amended at 17 Ill. Reg. 6483, effective April 9, 1993

56 Ill. Adm. Code 2600.60 Governor's Coordination and Special Services Plan

Pursuant to Section 121 of the Act, the Department shall periodically submit to the Secretary a Governor's Coordination and Special Services Plan. Pursuant to 20 CFR 627.2 (1983) the plan shall be submitted to the Secretary in a form and by a date established by the Secretary.

a) Plan Development – Pursuant to Section 122(b) of the Act, the Illinois Job Training Coordinating Council shall recommend a Governor's Coordination and Special Services Plan to the Governor. The Department shall designate a meeting of Illinois Job Training Coordinating Council to serve as the public hearing at which time all interested parties may present their comments on the plan. Such public hearings shall be held in conjunction with the regular meeting provided that there is prior public notice of the meeting at least ten (10) business days in advance of the meeting at which the public hearing is to be held and that the public hearing notice clearly indicates the subjects to the addressed at the hearing and this regular meeting of the IJTCC, will be the public hearing on the Governors Coordination and Special Services Plan. The Department or the IJTCC shall hold public hearings regarding the Governor's Coordination and Special Services Plan, pursuant to Section 46.49 of the Civil Administrative Code of Illinois (Ill. Rev. Stat. 1985, ch. 127, par. 46.49 as added by P.A. 83-1472) prior to submission of the plan to the General Assembly for review and comment and to the Governor for approval pursuant to Section 122(a)(7) of the Act. Pursuant to Section 4 of Public Act 83-1288, effective August 31, 1984 (Ill. Rev. Stat. 1985, ch. 48, par. 2104), the plan shall be submitted to the President of the Senate and Speaker of the House of Representatives, or their designees, for review and comment by the Illinois General Assembly. The Department on behalf of the Governor, shall submit the plan to the Secretary for approval. The Secretary shall review and approve or disapprove the plan in accordance with the criteria and procedures specified in 20 CFR 627.2(b) (1983).

b) Plan Content – Plan content is specified in guidelines issued on an irregular schedule by the Secretary. At a minimum the plan shall contain the following informational items per Section 121 of the Act:

1. the Governor's statement of goals and objectives for job training programs;

2. criteria for coordinating activities under the Act with other State and local programs;

3. State oversight and support activities;

4. priorities and criteria for State incentive grants authorized under Section 202(b)(3) of the Act;

5. performance goals for State supported programs authorized under Sections 202(b) and 301(b) of the Act; and,

6. adjustments made in the performance standards and the factors that are used in making the adjustments.

c) Coordination of Federal, State and Local Programs – Pursuant to Section 141(n) of the Act, the Department or its grantees shall notify and consult with the appropriate Private Industry Councils and chief elected officials concerning any activity funded through programs authorized under Section 202(b) of the Act in the Service Delivery Area. In addition, affected labor organizations shall be consulted.

History

• Source: Amended at 11 Ill. Reg. 11653, effective June 29, 1987

56 Ill. Adm. Code 2600.70 Oversight and Management of Labor Market Information Programs

a) In accordance with the requirements of Section 125 of the Act, the Office of the Governor shall function as the oversight and management unit for the statewide labor market and occupational supply and demand information system (hereinafter referred to as the State unit).

b) The State unit shall carry out the responsibilities outlined in Section 125 of the Act. Specific tasks may be delegated by the State unit to one or more existing agencies or organizations, such as (but not limited to) the Illinois Department of Commerce and Community Affairs, the Illinois Occupational Information Coordinating Committee, and the Illinois Department of Employment Security.

c) In accordance with the requirements of Sections 461, 462 and 463 of the Act, and Sections 3(a) and 14 of the Wagner-Peyser Act (29 U.S.C. 3202, amended October 1, 1983), and 20 CFR 634 (1983), the State unit shall negotiate and enter into an agreement with the U.S. Secretary of Labor for the funding of labor market information activities and Federal-State cooperative statistical programs.

56 Ill. Adm. Code 2600.80 Labor Standards

a) All JTPA programs operated in the State shall be conducted in compliance with Section 143 of the Act.

b) JTPA grant funds shall not be used by the grantee for the period during which a strike or lockout is in effect. Any JTPA funds provided to a grantee during a strike or lockout must be returned to the grantor.

c) No funds received under the Act shall be expended in any organization which has experienced and able workers presently unemployed in occupations for which training is sought.

d) No program shall impair existing collective bargaining agreements or contracts for services. Grantees or their subgrantees shall obtain written concurrence from the collective bargaining agent where a collective bargaining agreement exists with the participating employer covering occupations in which training or subsidized employment is proposed. Such concurrence shall apply to the elements of the proposed activity which affect the bargaining agreement, such as wages and benefits. If no response is received within 30 days after written notification to the collective bargaining agent, the program may proceed. Such written notifications shall include a deadline date for response.

e) In the event that training is proposed in occupations not covered by a collective bargaining agreement, but where other occupations with the participating employer are covered by such agreements, grantees and their subgrantees shall provide written notification to the collective bargaining agent of the intent to conduct such training and soliciting the advice and comments of that bargaining agent. All comments must be received by the grantee or subgrantees within 30 days of written notification being received by the bargaining agent. Such written notification shall include a deadline date for response.

History

• Source: Amended at 11 Ill. Reg. 11653, effective June 29, 1987

Part 2605 Administrative Hearing Rules

56 Ill. Adm. Code 2605.10 Authority

This Part is issued pursuant to Section 5-10(a)(i) and Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/5-10].

56 Ill. Adm. Code 2605.20 Applicability

a) This Part shall apply to all Administrative Hearings conducted by the Illinois Department of Commerce and Economic Opportunity that are not specifically provided for under any other Section of the Civil Administrative Code of Illinois or other Program Rules.

b) In the event of any conflict between the provisions of this Part and any rules promulgated under the authority of the Grant Accountability and Transparency Act (GATA) [30 ILCS 708], the GATA rules will apply.

c) Nothing in this Part shall limit the ability of the Department to enter into an intergovernmental agreement with another State agency providing for the services of a Hearing Officer.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.40 Definitions

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

"Administrative Hearing" or "Hearing" means the adjudicatory proceeding used to resolve a contested case.

"Agency" shall have the meaning ascribed to it in Section 1-20 of the IAPA.

"Agency Head" shall have the meaning ascribed to it in Section 1-25 of the IAPA.

"Business Day" means all days except Saturday and Sunday, and all weekdays that are not national and/or State legal holidays.

"Complainant" means the party who initiates the Administrative Hearing.

"Contested Case" shall have the meaning ascribed to it in Section 1-30 of the IAPA.

"Department" means the Illinois Department of Commerce and Economic Opportunity.

"Development Assistance Agreement" shall have the meaning ascribed to it in Section 715-5 of the Corporate Accountability for Tax Expenditures Act [20 ILCS 715].

"Director" means the Director of the Department or duly appointed Acting Director, or in the Director's or Acting Director's absence from the State, or in any event of the Director's or Acting Director's incapacity to act, the next immediate subordinate officer within the Department.

"Hearing Number" means the case number assigned to the Petition for Hearing or the Notice of Charges by the Department for the Administrative Hearing proceedings.

"Hearing Officer" means the Administrative Law Judge as defined in Section 1-15 of the IAPA, and is the person appointed or retained by the Department to preside over the Administrative Hearing proceedings.

"Municipality" shall have the meaning ascribed to it in Section 1-45 of the IAPA.

"Notice of Charges" means a complaint filed by the Department initiating an Administrative Hearing proceeding against a Recipient under this Part.

"Order" shall have the meaning ascribed to it in Section 1-50 of the IAPA.

"Party" shall have the meaning ascribed to it in Section 1-55 of the IAPA.

"Person" shall have the meaning ascribed to it in Section 1-60 of the IAPA.

"Petition for Hearing" means a request for an Administrative Hearing.

"Program Rule" means any of the rules adopted by the Department and codified within the Illinois Administrative Code or any programmatic requirement established by a federal agency that is a source of funding for the program.

"Proof of Service" means evidence submitted specifying the date, method, and person who served a document on another party. All Proofs of Service must be signed by the server.

"Proposal for Decision" means the report issued by the Hearing Officer pursuant to Section 2605.400.

"Recipient" means anyone that has received direct financial assistance from the Department pursuant to a Statute or Program Rule or who is a party to a Development Assistance Agreement with the Department.

"Respondent" means any party who answers/responds to a Notice of Charges, Petition for Hearing, or Motion.

"State Agency" means any State office, officer, division, or part thereof, and any other office, nonelective officer, department, division, bureau, board, or commission in the executive branch of State government, under the authority of the Governor of Illinois.

"Statute" means a formal written enactment of a legislative body, whether federal or State.

"Statutory Authority" means the authority given to the Department by a Statute either directly or as delegated by agreement with another unit of government.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.50 Modifications

The Hearing Officer may modify this Part upon the written stipulation of the parties.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.60 What May Be Reviewed in an Administrative Hearing

Subject to Section 2605.70, any finding or decision of the Department may be reviewed in an Administrative Hearing when a Statute or Program Rule provides for it.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.70 What May Not Be Reviewed in an Administrative Hearing

The following may not be reviewed in an Administrative Hearing, unless otherwise permitted by a Statute or Program Rule:

a) Rulemaking as set forth in Sections 5-35, 5-40, 5-45, and 5-50 of the IAPA;

b) Instances in which a party has waived its right to an Administrative Hearing;

c) Issues involving unfair labor practices or discrimination in employment;

d) The Department's decision to deny an application for financial assistance, or to fund at a lower level than requested; or

e) A declaratory ruling as provided for in Section 5-150 of the IAPA [5 ILCS 100].

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.80 Procedure for Initiating an Administrative Hearing

a) An Administrative Hearing is initiated by an individual or entity with standing to seek such an Administrative Hearing serving a Petition for Hearing on the Department, or by the Department serving a Notice of Charges on a party. In either case, the service must be made within the required period of time specifically set forth by a Statute or Program Rule.

b) The Petition for Hearing and the Notice of Charges must be in clear and legible writing and signed by the person initiating the Administrative Hearing.

c) The Petition for Hearing and the Notice of Charges must contain the following information:

1. The name and contact information of the parties involved;

2. The subject matter of the Administrative Hearing;

3. The date;

4. A list of the Department findings or decisions that are being challenged, the specific reasons why the Petitioner asserts that the Department's findings or decisions are incorrect, and the specific relief sought (in the case of a Petition for Hearing); and

5. A list of the Department's charges against the party (in the case of a Notice of Charges).

d) The Petition for Hearing must be personally delivered, or mailed via certified mail, return receipt requested, with Proof of Service attached, to:

Office of the General Counsel

Illinois Department of Commerce and Economic Opportunity

100 West Randolph Street, Suite 3-400

Chicago, Illinois 60601.

e) The Notice of Charges must be personally delivered, or mailed via certified mail, return receipt requested, with Proof of Service attached, to the party's last known address or to the party's registered agent for service of process at the address registered with the Illinois Secretary of State.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.90 Department Hours

The Department's hours are from 8:30 a.m. to 5:00 p.m., Monday through Friday, except for national and/or State legal holidays.

56 Ill. Adm. Code 2605.100 Computing Time Limits

a) Computation of any period of time prescribed by this Part shall begin with the first business day following the day on which the act, event, or development initiating that period of time occurs, and shall run until the end of the last day or the next following business day, if the last day is a Saturday, Sunday, or legal holiday. When the period of time is 10 days or less, Saturdays, Sundays, and legal holidays shall be excluded in the computation of time.

b) Notice requirements shall be construed to mean notice received. However, proof that notice was dispatched by means reasonably calculated to be received by the prescribed date shall be prima facie proof that notice was timely filed. Petitions, evidence, motions, notices, and all other correspondence sent by U.S. mail will be considered as filed with the Department on the date postmarked. When the parties have agreed in writing to notice by electronic mail or through an electronic filing system, notice will be considered having been received on the date of transmission of the filing or other communication.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.110 Form of Documents

a) All documents submitted pursuant to an Administrative Hearing shall be typewritten, on 8½ by 11 inch white paper. The first page of each document shall set forth the names of the parties and the Hearing Number assigned to the case by the Department. A Petition for Hearing that is filed before a Hearing Number is assigned shall contain a space for entry of the assigned Hearing Number.

b) All documents submitted to the Department that require verification shall be signed by the party filing them. All other documents submitted by the party shall be signed by the party or its representative. That signature constitutes a representation by the party or its representative that the party or representative has read the documents and that, to the best of the party's or representative's knowledge, information, and belief, the statements made in the documents are true, and are not made for purposes of delay or harassment.

c) All documents submitted to the Department after the Petition for Hearing shall be submitted in duplicate, together with a Proof of Service, unless submitted electronically or other arrangements are agreed to among the parties.

d) Any party submitting or filing a document in the administrative proceedings must also simultaneously send a copy to the opposing party and the Hearing Officer at their designated addresses.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.120 Service

a) Service of all documents after a Petition for Hearing or Notice of Charges has been initiated shall be made by personal delivery upon all parties, or U.S. mail, properly addressed, with postage prepaid, unless otherwise required in this Part. Proof of Service must be attached to the original of any document served. The parties may agree to service by facsimile or electronic mail. To the extent the parties agree to service by electronic mail, a party has the option of designating up to two secondary electronic mail addresses at which that party consents to accept service. If any secondary electronic mail address is designated, the Department must serve the documents on both the designated and all secondary addresses.

b) Service on the Department is made by serving the Office of the General Counsel, at the Chicago office address, unless otherwise designated by the Department.

c) Service on a party shall be at its last known address, unless otherwise designated by the party.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.130 Amendment, Voluntary Dismissal or Withdrawal of a Petition for Hearing or Notice of Charges

a) A Notice of Charges may be amended at any time. An amended Notice of Charges may be filed in the same manner as a Notice of Charges, or it may be presented to the Hearing Officer during the course of a Hearing. A continuance shall be granted whenever the amendment materially alters the Notice of Charges, and when the Respondent demonstrates that additional time is necessary to properly prepare an answer or otherwise prepare the Respondent's case.

b) Prior to Hearing, an unopposed motion to voluntarily dismiss or withdraw a Petition for Hearing or Notice of Charges shall be granted, and the Hearing Officer shall issue an order dismissing the Petition for Hearing or Notice of Charges, and its underlying cause with or without prejudice. However, the Hearing Officer, within the Hearing Officer's discretion, may hear and decide a motion that has been filed prior to a motion to voluntarily dismiss or withdraw when that prior filed motion could result in a final disposition of the cause. After a Hearing begins or when a motion to voluntarily dismiss or withdraw is challenged, the Hearing Officer shall exercise discretion in allowing the motion when the voluntary dismissal or withdrawal would serve the interests of justice.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.140 Failure to Properly Initiate an Administrative Hearing

The Department may move to dismiss any Petition for Hearing that does not comply with this Part. The Hearing Officer shall state the basis upon which any Petition for Hearing is rejected and shall grant the party 28 days to amend the Petition. Upon the second failure to properly initiate an Administrative Hearing, the Hearing Officer shall state the basis upon which the Petition for Hearing is rejected and the Petition shall be dismissed with prejudice. The dismissal is a Final Decision pursuant to Section 2605.410 for purposes of appeal.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.150 Waiver of Issues

Any issues that are not specifically, directly or implicitly addressed in the Petition for Hearing will be irrevocably waived in any Administrative Hearing conducted by the Department.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.160 Sanctions

Upon motion, any document that is submitted and subsequently determined by the Hearing Officer to be without basis, untrue, or made for the purpose of delay or harassment shall subject the party submitting it to sanctions, including, but not limited to, the following:

a) Dismissal of the Petition for Hearing or Notice of Charges with prejudice; and

b) Denial of the party's motion.

56 Ill. Adm. Code 2605.170 Notice of Hearing

a) After receipt by the Department of a properly submitted Petition for Hearing, or in conjunction with a Notice of Charges, a Notice of Hearing shall be served, personally or by certified or registered mail, return receipt requested, by the Department upon the parties or their agents appointed to receive service of process, and shall include the following:

1. A statement of the date, time, place, and nature of the Administrative Hearing;

2. A statement of the legal authority and jurisdiction under which the Administrative Hearing is to be held;

3. A reference to the particular Sections of the substantive and procedural Statute and Program Rules involved;

4. A short and plain statement of the matters asserted, the consequences of a failure to respond, and the assigned Hearing Number; and

5. The names and mailing addresses of the Hearing Officer, all parties involved, and all other persons to whom the Department gives Notice of Hearing, unless otherwise confidential by law. [5 ILCS 100/10-25]

b) Any contention that an improper Notice of Hearing was given will be deemed waived unless it is raised by a party prior to argument on any other motion, or, if no other motions are presented, prior to the commencement of opening statements.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.180 Requirement of an Answer

a) In all contested cases initiated by a Notice of Charges, the Respondent shall file an answer within 28 days after the date on which the Notice of Charges was served. The answer shall be in writing, signed by the Respondent and shall contain a specific response to each allegation. The answer shall either admit or deny the allegation, or shall state that the Respondent has insufficient information to either admit or deny the allegation.

b) Any answer that states that the Respondent has insufficient information to admit or deny the allegation shall be accompanied by an affidavit of the Respondent attesting to the truth of this assertion.

c) On motion by any party, the Hearing Officer will issue a notice to plead or be held in default to the Respondent who has failed to submit an answer that conforms to this Section. If, within 15 days after issuance of the notice, the Respondent does not answer or otherwise file a responsive pleading, the Respondent will be held in default and a default Order may be entered.

d) In cases initiated by a Petition for Hearing, the Hearing Officer may order the Department to submit an answer stating the Department's position on any facts or issues raised in the Petition for Hearing.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.190 Consolidation and Severance of Parties and Cases

In the interest of efficient disposition of the Administrative Hearing and upon motion of any party or sua sponte, the Hearing Officer may consolidate or sever any parties or cases. A party may contest the Hearing Officer's decision by filing a motion, as provided in this Part, setting forth specific reasons why the party will be unduly prejudiced by the consolidation or severance.

56 Ill. Adm. Code 2605.200 Hearing Officer

In any Administrative Hearing, the Department Director or Director's designee shall appoint or retain an impartial or independent person as a Hearing Officer to conduct the Administrative Hearing. The Hearing Officer shall meet the following standards and qualifications:

a) be licensed to practice law in the State of Illinois;

b) be impartial. It shall not be a bar to acting as Hearing Officer that the attorney is also an employee of another State agency or a Department employee, so long as the Department employee has not had any direct involvement with the case. Mere familiarity with the facts shall not disqualify an otherwise qualified person from acting as the Hearing Officer; and

c) be familiar with the rules of evidence applied in the circuit courts of Illinois and with the IAPA and rules promulgated under the IAPA.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.210 Hearing Officer Duties

a) The Hearing Officer shall:

1. Conduct a fair and impartial Administrative Hearing; and

2. Take all necessary action to avoid delay, maintain order, and insure development of a clear and complete record.

b) The Hearing Officer shall have all powers necessary to conduct the Administrative Hearing as provided in this Part, including but not limited to the power to:

1. Administer oaths and affirmations;

2. Regulate the course of the Administrative Hearing; set the time and place for continued Hearings; fix the time for submitting documents; provide for the taking of testimony by deposition, if necessary and agreed to by the parties; and generally conduct the proceedings according to generally recognized principles of administrative law and this Part;

3. Dispose of procedural requests or similar matters;

4. Examine witnesses and direct witnesses to testify; limit the number of times any witness may testify; limit repetitious or cumulative testimony; and set reasonable limits on the amount of time each witness may testify;

5. Rule upon offers of proof; receive relevant evidence; and determine what evidence is admissible;

6. Direct parties to appear and confer for the settlement or simplification of issues and to otherwise conduct prehearing conferences;

7. Make rulings on motions and objections;

8. Consider all relevant facts and circumstances;

9. Enter any order that further carries out the purpose of this Part;

10. Compile a record of the proceedings in compliance with IAPA Section 10-35; and

11. Submit a Proposal for Decision, containing Findings of Fact, Conclusions of Law, and a proposed Final Decision of the Director, to the parties at the conclusion of the Administrative Hearing.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.220 Recusal of Hearing Officer

a) Any party may file a timely and sufficient motion, supported by affidavit, requesting that the Hearing Officer recuse himself or herself from hearing the case. The affidavit shall set forth allegations of personal bias or prejudice of the Hearing Officer. If a new Hearing Officer is necessary, the Director or Director's designee shall appoint and/or retain another Hearing Officer.

b) An adverse ruling in and of itself shall not constitute a bias or conflict of interest. [5 ILCS 100/10-30]

c) The Hearing Officer may, at any time, voluntarily disqualify himself or herself upon written notice to the Department.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.230 Ex Parte Communication

a) Once appointed or retained, the Hearing Officer shall not communicate directly or indirectly with any party or any person interested in the outcome of the proceeding, with respect to the merits of any case not concluded, except upon notice and opportunity for all parties to participate. [5 ILCS 100/10-60]

b) The Hearing Officer may impose and enforce sanctions, including those sanctions set forth in Section 2605.160, against a party who violates this Section.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.240 Representation and Appearance

a) Only attorneys licensed to practice law in Illinois may represent any other individuals or entities in an Administrative Hearing proceeding before the Department. Any party may be represented by an attorney, provided that the attorney is licensed to practice law in Illinois or by an attorney who is permitted to practice law in Illinois under Article VII of the Illinois Supreme Court Rules. Attorneys who appear in a representative capacity must file a written Notice of Appearance setting forth the following:

1. The name, address, telephone number, and Attorney Registration and Disciplinary Commission (ARDC) number of the attorney upon whom service of papers may be made;

2. The name and address of the party represented; and

3. An affirmative statement indicating that the attorney is licensed to practice law in Illinois.

b) A natural person, who is a party, may appear and be heard on that person's own behalf. A party may use an interpreter if necessary.

c) A corporation or association may be represented by a corporate officer provided that officer is qualified to practice law in Illinois, as set forth in subsection (a), and upon presentation to the Department of a duly executed resolution of the board of directors authorizing the officer to act in a representative capacity and setting forth the powers the officer is authorized to exercise.

d) A partnership may be represented by a general partner provided that general partner is qualified to practice law in Illinois, as set forth in subsection (a), upon presentation to the Department of written authorization from all the partners authorizing the general partner to act in a representative capacity.

e) All attorneys appearing in Administrative Hearing proceedings before the Hearing Officer shall conform their conduct to the Illinois Rules of Professional Conduct (Article VIII of the Illinois Supreme Court Rules). In the event that an attorney's behavior substantially impairs the administration of the Administrative Hearing, the Hearing Officer may take the following actions in a progressive manner:

1. Limitation of evidence;

2. Substitution of written argument for oral argument;

3. Exclusion of the attorney from the proceeding;

4. Suspension or revocation of the attorney's right to appear before the Hearing Officer in that contested case.

f) If the Hearing Officer takes any of the actions listed in subsection (e), it shall be done as a matter of record, and the Hearing Officer shall state for the record the specific reasons for the action.

g) Non-attorneys appearing in proceedings before the Department shall be courteous and dignified and shall maintain the decorum of the tribunal.

h) An attorney may withdraw an appearance or representation only upon motion and appropriate ruling by the Hearing Officer. However, substitution of attorneys is permitted without motion, provided notice is given to all parties and to the Hearing Officer, as long as the substitution will not delay the proceedings, and a statement to that effect is contained in the notice.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.250 Intervenors (repealed)

History

• Source: Repealed at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.260 Motions

a) Motions, unless made during a Hearing, shall be in writing, shall specify the relief and/or order sought, and shall be served on all parties and filed with the Department. Motions are limited to the following:

1. To request dismissal of a Petition for Hearing or a Notice of Charges for failure to comply with Section 2605.80 or failure to state a claim upon which relief can be granted.

2. To request sanctions in accordance with Section 2605.240 or 2605.270.

3. To request dismissal of a Petition for Hearing when the Petitioner's case has been concluded without sufficient evidence having been presented to form the basis for a recommendation that the Department reverse its findings, determinations, or conclusions.

4. To request dismissal of a Notice of Charges when the Department's case has been concluded without sufficient evidence having been presented to form a basis for the relief requested by the Department.

5. To request a continuance, or extension of time to comply with any provision of this Part.

6. To request an order granting a rehearing or additional Hearings.

7. To request an order that the Hearing Officer reconsider the Proposal for Decision.

8. To request that the Director or Hearing Officer deem a failure to file an answer conforming to Section 2605.180 to be an admission of the truth of the allegations contained in the Petition for Hearing or Notice of Charges.

9. To request recusal of the Hearing Officer in accordance with Section 2605.220.

10. To request that the Hearing Officer issue an order requiring a party to appear at any case management Hearing, prehearing conference, or formal Hearing, or to be held in default.

11. To request that an order be vacated or modified.

12. To request a case management or prehearing conference.

13. To request consolidation or severance of cases in accordance with Section 2605.190.

14. To request summary judgment if the pleadings and any evidence on file, together with any supporting affidavits, shows that there is no genuine issue of any material fact and that the moving party is entitled to a judgment as a matter of law.

15. To request that certain evidence or witnesses be excluded from a Hearing.

16. To request that certain evidence be stricken from the record.

b) When any motion is filed, the opposing party has 28 days, or such other period as the Hearing Officer may prescribe, to file a written response setting forth the arguments, authorities relied upon, and affidavits or other supporting evidence. The moving party shall have 14 days, or such other period as the Hearing Officer may prescribe, to file a written reply. When any oral motion is presented during a Hearing, the opposing party may respond at that Hearing or request leave to file a written response within the same time periods as set forth in this Section. If no response is filed or orally presented, the opposing party's right to object will be deemed waived. Any dispositive motion that disposes of all claims or all parties in the action that is granted shall be part of the Administrative Record and shall be treated as a Final Decision pursuant to Section 2605.410 for purposes of appeal.

c) The Hearing Officer may allow oral argument, if it is deemed necessary for a fuller understanding of the issues presented, and is authorized to question either party. When facts are alleged in support of a motion that are not a part of the record in the case, an affidavit shall be attached to the motion setting forth those facts. A written motion shall be disposed of by written order and notice to all parties.

d) The Hearing Officer shall rule upon all motions properly presented within a reasonable time. All motions and corresponding orders shall be part of the Administrative Record.

e) Unless otherwise ordered, the filing of a motion or response shall not stay the proceeding or extend the time for the performance of any act.

f) Before granting any dispositive motion, the Hearing Officer may first afford the party an opportunity to cure defects in pleading or proof, and the ruling shall be made part of the Administrative Record in accordance with Section 10-35 of the IAPA.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.270 Discovery

a) Discovery shall only commence after a preliminary Hearing. Discovery shall not be the subject of motions presented to the Hearing Officer, except when a motion is made alleging failure to comply with this Section and requesting relief in the form of limitation of evidence, dismissal of the case, or a recommendation to the Director based on the pleadings without a Hearing. The Hearing Officer, upon finding that a party has not complied with this Section, may issue an order providing for the foregoing remedies.

b) Upon written request served on the opposing party, a party is entitled to:

1. The name and business address of any witness who may be called to testify at the Administrative Hearing and a description of the expected subject matter of the potential witness' testimony;

2. Copies of any document that may be offered as evidence at the Administrative Hearing; and

3. A description of any other evidence that may be offered at the Administrative Hearing.

c) A Recipient, at any time after a preliminary Hearing and upon written request, will be required to produce documents, books, records or other evidence that relates to the financial assistance provided by the Department, including any records required to be maintained or produced pursuant to an agreement with the Department.

d) The items set forth in subsections (b) and (c) shall be provided within 28 days after service of a request, unless a longer or shorter period is agreed upon by the parties or ordered by the Hearing Officer.

e) The Hearing Officer may restrict discovery when necessary to prevent undue delay or harassment.

f) When a party obtains or is in possession of exculpatory evidence, that party must turn over that evidence to the opposing party within 28 days following the preliminary Hearing or, if discovered after the preliminary Hearing, within 15 days after its discovery and prior to a formal Hearing. Exculpatory evidence is any evidence that tends to support the party's position or to call into question the credibility of a witness.

g) A party shall respond to any written discovery requests that were properly served. Nothing in this Section shall prevent the parties in a contested case from agreeing to a mutual exchange of information that is more extensive than what is provided for in this Section. When the parties agree to the use of an evidence deposition, that agreement shall be in writing and shall operate as a waiver of any objection not made during the deposition, except for an objection that the testimony of the witness is not relevant to the case.

h) The parties have a continuing obligation to tender new information as it becomes available, as well as a continuing obligation to supplement any disclosures or responses to discovery requests to include information acquired after original submission.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.280 Case Management and Prehearing Conferences

a) Upon motion by the Hearing Officer or any party, the Hearing Officer may direct the parties to attend a case management conference or prehearing conference at a mutually convenient time and place prior to the Administrative Hearing date for the purpose of:

1. Simplifying the issues;

2. Limiting the issues;

3. Amending the Petition for Hearing or Notice of Charges, if necessary;

4. Stipulating to facts and/or admissions;

5. Limiting the number of witnesses or evidence;

6. Mutually exchanging prepared testimony and exhibits; and

7. Any other matters that aid in the timely resolution or simplification of the Administrative Hearing.

b) Any agreements, understandings, or conclusions made at a case management conference or prehearing conference shall be in the form of a prehearing order signed by the Hearing Officer and all parties or representatives involved in the Administrative Hearing, and shall become a part of the Administrative Record.

c) Unless otherwise precluded by law, any case may be disposed of by stipulation, agreed settlement, consent order, or default. Any settlement must be signed by all parties involved. The settlement agreement shall be memorialized by an Order dismissing the case with prejudice. To the extent a settlement agreement requires approval by a federal agency or the Illinois Attorney General, as determined by the Department, the Hearing Officer may enter an Order dismissing the case with prejudice conditioned on receipt of all necessary external approvals.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.290 Hearings

a) All Hearings shall be conducted by the Department at one of its locations as determined by the Department, unless otherwise agreed to by the parties and the Hearing Officer. The parties may stipulate to conducting case management Hearings, prehearings, or formal Hearings by telephone, video conference, or other means acceptable to the parties and Hearing Officer.

b) The sequence to be followed for all Administrative Hearings is as follows:

1. Preliminary Hearing – The purpose is to set a date on which all parties expect to be prepared and to rule on any preliminary motions that are presented. This may be eliminated by agreement of the parties and/or ordered by the Hearing Officer.

2. Case Management and Prehearing Conferences – The purposes of the conferences are set out in Section 2605.280.

3. Hearings –

A) Preliminary Matters – Motions; attempts to narrow issues or limit evidence.

B) Opening Statements – The party bearing the burden of proof proceeds first.

C) Case in Chief – Evidence and witnesses are presented by the party bearing the burden of proof. After a witness' testimony is completed, the witness is subject to cross-examination.

D) Defense – Evidence and witnesses may be presented by the opposing party.

E) Closing Statements – The party bearing the burden of proof proceeds first, then the opposing party, then a final reply by the party bearing the burden of proof. The Hearing Officer may request the parties to submit closing statements in writing.

F) Final Decision – Described in Section 2605.410.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.300 Postponement or Continuance of Hearing

Upon motion by a party or the Hearing Officer, a hearing may be postponed or continued for just cause. Written notice of any postponement or continuance shall be given to all parties within a reasonable time in advance of the previously scheduled hearing date. All parties shall attempt to avoid unnecessary and repetitive postponements or continuances so that the administrative proceedings may be resolved expeditiously.

56 Ill. Adm. Code 2605.310 Failure to Appear

Any party failing to appear at a Hearing shall waive its right to present evidence. If the Hearing Officer determines that proper notice was given, the Hearing Officer shall grant affirmative relief to the party appearing or enter an order dismissing the Petition for Hearing or Notice of Charges, with prejudice. A party fails to appear if the party does not appear at the time, date, and place designated for the Hearing; a party fails or refuses to proceed with the Hearing; or a party failed to notify the Department of a change of address, and a notice of the Hearing, sent to the party's last known address, was returned as "undeliverable", "unclaimed", "refused", "moved", or "no forwarding address" or any other type of returned mail, via postal or electronic method.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.320 Burden of Proof

The burden of proof, which includes both the burden of production and the burden of persuasion, rests with the Petitioner in all cases initiated by the filing of a Petition for Hearing, and with the Department in all cases initiated by the filing of a Notice of Charges.

56 Ill. Adm. Code 2605.330 Standard of Proof

Unless otherwise provided by law, the standard of proof for an Administrative Hearing under this Part shall be the preponderance of the evidence. [5 ILCS 100/10-15]

56 Ill. Adm. Code 2605.340 Evidence

a) Except as otherwise provided in this Section, the rules of evidence and privilege applicable to all contested cases will be the rules of evidence that are applied in civil cases in the circuit courts of the State of Illinois. In addition, the Hearing Officer may receive material, relevant evidence that would be relied upon by a reasonably prudent person in the conduct of serious affairs [5 ILCS 100/10-40] that is reasonably reliable and reasonably necessary to a resolution of the issue for which it is offered.

b) The Hearing Officer shall exclude immaterial, irrelevant, and repetitious evidence.

c) The Hearing Officer shall use his or her discretion in admitting or denying the admission of evidence.

d) Hearsay is not admissible except when:

1. exceptions to the hearsay rule that exist in Illinois are applicable or a statement has circumstantial guarantees of trustworthiness; and

2. if the probative value of the statement outweighs any prejudice resulting from an inability to cross-examine the declarant.

e) Statements that are Not Hearsay:

1. Prior Statement by Witness. The declarant testifies at the Hearing and is subject to cross-examination concerning the statement, and the statement is:

A) Inconsistent with his or her testimony that was given under oath subject to the penalty of perjury at a trial, Hearing, deposition, or other proceeding; or

B) Consistent with his or her testimony and is offered to rebut an express or implied charge against him or her of recent fabrication or improper influence or motive; or

C) One of identification of a person made after perceiving him or her.

2. Admission by Opposing Party. The statement is offered against a party and is:

A) The party's own statement in either his or her individual or a representative capacity;

B) A statement of which the party has manifested his or her adoption or belief in its truth;

C) A statement by a person authorized by the party to make a statement concerning the subject;

D) A statement by the party's agent or servant concerning a matter within the scope of the party's agency or employment, made during the existence of the relationship; or

E) A statement by a coconspirator of a party during the course and in furtherance of the conspiracy.

f) Official notice may be taken of all facts of which judicial notice may be taken and of other facts, of a technical nature, within the specialized knowledge and experience of the Department.

g) A party may object to evidentiary offers. Objections shall be noted in the record.

h) The parties may, by stipulation, agree upon any facts involved in the proceeding. The facts stipulated must be considered evidence in the proceeding.

i) The Hearing Officer may direct the parties to protect the disclosure of trade secret or other confidential information protected by Statute prior to its admission. The Hearing Officer may require the information to be revealed or redacted in a specific way.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.350 Business Records

a) The rules admitting business records will be the same as those contained in Rule 236 of the Illinois Supreme Court Rules.

b) Any party seeking to admit documents other than the originals may do so, provided the party certifies that the copy is a true and correct copy of the original. The party need not show that the original is unavailable.

56 Ill. Adm. Code 2605.360 Witness Testimony

a) The Hearing Officer may exercise reasonable control over the form of examination and order of witnesses so as to make the examination effective for gathering the facts, avoiding delay, and protecting witnesses from harassment or undue embarrassment. The Hearing Officer may limit the examination of witnesses to prevent cumulative or irrelevant evidence. The Hearing Officer may examine any witness.

b) A party may object to specific questions asked by the Hearing Officer, but it shall not be objectionable that a question violates a technical rule of evidence. For purposes of this Section, the rule against hearsay is a substantive, rather than a technical, rule of evidence.

c) Before testifying, a witness shall declare, by oath or affirmation and under penalty of perjury, that he or she will testify truthfully.

d) In the interests of justice, at the request of a party, or on the Hearing Officer's own motion, the Hearing Officer may order witnesses excluded so that they cannot hear the testimony of other witnesses. The Hearing Officer may direct that all excluded and non-excluded witnesses be kept separate until called and may prevent them from communicating with one another until they have been examined or the Hearing is ended.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.370 Adverse Witness

a) Any party or witness may be called as an adverse witness. Examination of the adverse witness shall be allowed as if under cross-examination.

b) A witness called in good faith whose testimony surprises the party who called the witness may examine that party as if under cross-examination, and the testimony of the witness may be impeached by prior statements.

56 Ill. Adm. Code 2605.380 Record of Hearing

A record of the Hearing may be made by audio recording or by a transcription by an official court reporter engaged by the Department. The Department will not provide copies of a transcript to the parties, but the parties may obtain copies from the official reporter upon payment of the appropriate costs.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.390 Administrative Record

a) A full and complete record shall be kept of all proceedings. The record shall consist of the following:

1. All pleadings (including, but not limited to, the Petition for Hearing or Notice of Charges and any answers);

2. Motions, briefs, arguments, affidavits, exhibits, documents, and records;

3. All evidence received;

4. All discovery responses;

5. A recording or transcript of the Hearing, as well as any transcript of any proceeding applicable for appeal or for administrative review;

6. A statement of matters officially noticed;

7. Offers of proof, objections, and rulings;

8. Any proposed findings and exceptions;

9. Any order, decision, opinion, or report by the Hearing Officer;

10. All staff memoranda or data submitted to the Hearing Officer of the case;

11. Any communication prohibited by Section 10-60 of the IAPA or Section 2605.230 of this Part.

b) Oral proceedings or any part thereof shall be recorded stenographically or by other means that will adequately insure the preservation of the testimony or oral proceedings and shall be transcribed at the request of any party. Case management conferences that do not involve oral argument may be memorialized by written order of the Hearing Officer.

c) Findings of Fact shall be based exclusively on the evidence and on matters officially noticed. [5 ILCS 100/10-35]

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.400 Proposal for Decision

Except where otherwise expressly provided by law, when in a contested case a majority of the officials of the Department who are to render the Final Decision has not heard the case or read the record, the Final Decision, if adverse to a party to the proceeding other than the Department, shall not be made until a Proposal for Decision is served upon the parties and an opportunity is afforded to each party adversely affected to file exceptions and to present a brief, and if the Department so permits, oral argument to the Department officials who are to render the Final Decision. The Proposal for Decision shall contain a statement of the reasons therefor and of each issue of fact or law necessary to the proposed decision and shall be prepared by the persons who conducted the Hearing or one who has read the record. [5 ILCS 100/10-45]

56 Ill. Adm. Code 2605.410 Final Decision

a) The Final Decision in a contested case shall be in writing and shall become a part of the Administrative Record. A Final Decision shall include Findings of Fact and Conclusions of Law, separately stated. Findings of Fact, if set forth in statutory language, shall be accompanied by a concise and explicit statement of the underlying facts supporting the findings. If, in accordance with this Part, a party submitted a post-hearing motion for reconsideration, the Final Decision shall include a ruling upon the motion for reconsideration. Parties or their agents appointed to receive service of process shall be notified either personally or by certified or registered mail, return receipt requested, of any decision. Upon request, a copy of the decision shall be delivered or mailed forthwith to each party and to his or her attorney of record.

b) All Department orders shall specify whether they are final and subject to the Administrative Review Law. [5 ILCS 100/10-50]

c) The Final Decision shall be issued in writing as soon as practicable after the Hearing is concluded, unless otherwise provided for by Statute and/or Program Rule.

d) A Final Decision in a matter initiated by a Recipient is a "final recovery order" for the purposes of Section 8 of the Grant Funds Recovery Act.

e) To the extent permitted by Statute or agreement between the parties, the Final Decision may require any party to the proceeding to pay part or all of the costs of the Hearing, including but not limited to: witness fees, court reporter fees, Hearing Officer fees, and the cost of the transcript.

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.420 Administrative Review

Final administrative decisions of the Department are subject to review under the provisions of the Administrative Review Law [735 ILCS 5/Art. III].

History

• Source: Amended at 43 Ill. Reg. 4056, effective March 19, 2019

56 Ill. Adm. Code 2605.430 Severability

If any Section, subdivision, sentence, or clause of this Part is held by a court of competent jurisdiction to be invalid, that holding shall not affect the remaining provisions of this Part.

History

• Source: Added at 43 Ill. Reg. 4056, effective March 19, 2019

Part 2610 Training Services for the Disadvantaged

56 Ill. Adm. Code 2610.10 Legislative Base

a) Federal Allocation to the State

1. On October 13, 1982, Congress passed into law the Job Training Partnership Act (the Act) (29 U.S.C. 1501, December 31, 1982), (Public Law 97-300 as amended, by Public Law 97-404. The Act establishes five titles, and amends Title V of the Wagner-Peyser Act (29 U.S.C., 3202, amended October 1, 1983) and Title IV of the Social Security Act of 1978 (42 U.S.C. 601-676 (1983)). The new statute replaces the Comprehensive Employment and Training Act (29 U.S.C. 801, effective 10/27/78), with a new program and delivery system to train economically disadvantaged individuals and other individuals facing serious barriers to employment, who are in need of such training to obtain productive employment.

2. The Training Services for the Disadvantaged was enacted under Title II of the Act. Title II authorizes the programs to be administered by the State and planned and carried out through a partnership between the private sector and government at the local level.

b) State

1. On August 5, 1983, the Governor and the Secretary of the U.S. Department of Labor officially entered into an agreement for the purposes of carrying out the provisions of the Job Training Partnership Act (JTPA) and the Wagner-Peyser Act, pursuant to 20 CFR 627.1, effective March 15, 1983. In the agreement the Governor provided assurances that the State will fully comply with the requirements of the JTPA, the Wagner-Peyser Act, and all applicable federal rules (20 CFR 626-638, effective March 15, 1983) in performing the Governor's duties under these Acts.

2. The Secretary provided assurances that guidelines, interpretations and definitions adopted by the Governor shall, to the extent they are consistent with the JTPA and applicable rules and regulations, be accepted by the Secretary.

56 Ill. Adm. Code 2610.20 Definitions

For the purpose of this Part, the terms and definitions specified in Section 4 of the Act (29 U.S.C. 1503) and 56 Ill. Adm. Code 2600.20 are applicable.

History

• Source: Amended at 9 Ill. Reg. 6119, effective April 19, 1985

56 Ill. Adm. Code 2610.30 Allocation of Funds

a) Federal Allocation to States – The level of funding to be allocated to the State for Title II of the Act shall be determined by the Secretary in accordance with the formula cited in Section 201(b)(1) of the Act.

b) State Allocation to Service Delivery Areas – The Governor shall allocate 78 percent of the federal Title II allocation to the State to service delivery areas (SDAs) in the State in accordance with Section 202(a)(2) of the Act. The Department shall utilize data for the same base period as the Secretary of the U.S. Department of Labor pursuant to Section 162 of the Act, if all necessary data is available to the Department in a timely manner.

c) Reallocation of Funds – Funds allocated pursuant to Section 202(a)(2) of the Act and subsection (b) which are unexpended at the end of a program year shall be available to the SDA in the subsequent year as carry-forward funds subject to the limitations of Section 161(b) of the Act. Carry-forward funds of up to fifteen percent of the prior year's allocation shall be classified as allowable carry-forward. In addition, for Program Year 1985 only, planned carry-forward shall also be allowable carry-forward into Program Year 1986. All remaining funds above the allowable 15% level shall be considered excess carry-forward. A SDA's allocation made pursuant to Section 202(a)(2) of the Act and subsection (b) shall be reduced in the amount of excess carry-forward. Determination of excess carry-forward shall be based on the annual closeout of the SDA grant. In the absence of a completed closeout, reported expenditures on October 1 of each year shall be used for the determination of excess carry-forward. Unobligated funds resulting from these procedures shall be allocated to qualifying SDAs based on each SDA's share of the JTPA Title IIA allocation formula relative to all qualifying SDAs. To qualify an SDA shall:

1. have expended at least 85% of the total funds available to the SDA during the prior year; and,

2. request the funds in writing by October 1.

History

• Source: Amended at 11 Ill. Reg. 2738, effective January 26, 1987

56 Ill. Adm. Code 2610.40 Local Job Training Plan

a) The Local Job Training Plan Guidelines structure the local job training plan in three sections: the Administrative Plan, the Strategic Plan, and the Operational Plan.

b) The Administrative Plan contains requirements pertaining to the administrative structure established in the service delivery areas (SDAs) and the systems designed to administer the local job training programs, as follows:

1. An overview of the structure established to administer the JTPA programs in the local area shall be provided that includes identification of the grant recipient and administrative entity(ies) selected by the Private Industry Council (PIC) and chief elected officials. If the grant recipient and administrative entity(ies) are different organizations, the relationship between/among them, e.g., roles and responsibilities, coordination, linkages, etc., shall also be described.

2. Sufficient background information on the grant recipient and administrative entity(ies) shall be provided to demonstrate a capability for administering the plan/program and funds. Specifically, any audit deficiencies from previous years for which corrective measures have not been taken or are not acceptably underway shall be enumerated, if applicable.

3. An organization chart, as well as a narrative description of same, shall be included that identify the functional units responsible for administering the JTPA programs within the grant recipient and administrative entity(ies). A list of all positions assigned to the JTPA programs and the identification of the cost category, i.e., administration, participant support and training, from which each position will be paid shall be provided.

4. Those organizations within the SDA structure which are required to perform organization wide audits of all federal grants shall describe financial and compliance audit standards and criteria, procedures and the schedule for selecting auditors, procedures for resolving financial audit exceptions into allowed or disallowed costs, procedures for correcting compliance audit exceptions and the standards and procedures for aggressive debt collection. Grant recipients and administrative entities not required to perform Attachment P audits shall assure that they will cooperate with the Department in the audit of their JTPA programs.

5. The fiscal systems to be implemented in the SDAs in handling JTPA funds shall be fully described to include such information as the following:

A) the accounting books of record and chart of accounts used in recording the receipt and disbursement of funds;

B) a listing and statement of purpose of each type of document to be used in authorizing deposits and expenditures of JTPA funds and disposition of other JTPA assets, including the authorized signator, by job title, for each of these documents;

C) internal control standards and procedures for asset protection and expenditure control;

D) procedures to control the classification of JTPA costs in accordance with generally accepted accounting principles applied to JTPA regulations;

E) schedules for the reconciliation of bank account and the closing of books;

F) the provisions and arrangements for bonding every officer, director, agent, or employee of the Private Industry Council, grant recipient, administrative entity(ies), and SDA subgrantees who are authorized to receive or deposit funds, or issue financial documents, checks or other payments;

G) the provisions and arrangements of insurance that hold the Governor harmless from any liabilities arising from bodily injury, illness or any other damages or losses of person or property, or any claims arising out of any activity under a JTPA grant or agreement;

H) the standards and procedures to be used to control JTPA property and maintain inventory records;

I) the standards and procedures to be followed in maintaining and retaining records pertinent to all JTPA grants and agreements and procedures for access to JTPA records by authorized persons or agencies;

J) a description of the payroll and check payment procedures for Title IIB, the Summer Youth Employment and Training Program, to include the frequency of payment to participants, method and location of payments, policies to safeguard against fraud and abuse, and procedures for handling unclaimed, returned, lost, stolen or missing checks and payroll complaints; and

K) a discussion of other accounting standards which would affect JTPA fiscal systems or records but which have not been described above.

6. A description of the purchasing policies, standards and procedures which will be followed in acquiring goods and services for use in conducting JTPA activities shall be included.

7. The procedures to be followed in selecting subgrantees and other parties to provide employment and training programs or services in the SDA shall be described.

8. The procedures to be followed as well as the criteria to be used in selecting worksites for the Title IIB program shall be included.

9. A copy of the Worksite Agreement to be used for the Title IIB program shall be attached, along with an explanation of how this agreement will be updated to reflect current conditions throughout the duration of the Title IIB program.

10. A statement that all data entry requirements for the JTPA programs will be completed and submitted in a timely manner is required.

11. A description of the monitoring system that will be employed by the Private Industry Council and local elected officials or their designated entity(ies) shall be provided to include such elements as the frequency in which monitoring will take place, the format to be used to monitor the programs, corrective action and follow-up procedures and specific staff assigned to perform monitoring.

12. The evaluation system that will be employed by the Private Industry Council and local elected officials or their designees shall be described to include such information as the procedures to be used in evaluating program effectiveness, frequency of evaluation activities and how evaluation results will be used in program management.

13. A flow chart highlighting the participant movement through the local job training system shall be attached along with a brief narrative discussion of how the subsystems contained within that chart will function in the SDA.

14. Title IIB participant attendance procedures shall be described to include information on the following items:

A) work hours;

B) the actual record that will be used to record participant time and attendance; and

C) the signators of the participant time and attendance record.

15. Local job training plans shall include written coordination agreements with the following state agencies: Department of Children and Family Services, Department of Corrections, Department of Rehabilitation Services, Department of Public Aid, and the Department of Employment Security.

c) The Strategic Plan focuses on an analysis of the employment needs within the SDA, as well as the development of local goals and objectives. It also provides the objective data from which programs should be designed in the SDA as evidenced by the following requirements:

1. A list of general goals and quantifiable objectives for the SDA shall be included.

2. A description of how the SDA goals and objectives will contribute to the achievement of the Governor's Goals and Objectives shall be provided, as well as a discussion of any planned activities in the local job training plan that would be inconsistent with the Governor's Goals and Objectives.

3. Where required, the data sources used to provide the information requested shall be cited.

4. The SDAs shall compare the planned level of service to substantial segments of the eligible population with the State defined incidence of each substantial segment in the eligible population and explain any variances between them.

5. Any other groups in the SDA facing significant barriers to employment who will be targeted for job training services shall be identified, including the planned level of service for each group.

6. A narrative analysis of the employment and training needs of the groups to be served under JTPA shall be provided.

7. A description of how Title IIB program efforts will complement activities offered for youth under Title IIA shall be included.

8. An economic profile of the SDA shall be provided which describes, in narrative form, employment trends, identifies the major businesses and industries of the area, and lists the educational and other training institutions in the area.

9. Employment opportunities available in the public and private sectors in the SDA shall be identified. For each major stable or growing industrial category, stable or growth occupations in these industries shall be listed.

10. The steps the Private Industry Council will take to assure that the administrative entities provide training for occupations for which there is a demand in the area shall be itemized.

11. A description of how the proposed training will relate to the economic and demographic characteristics of the labor market area, as well as the needs of area employers shall be provided.

12. An explanation of how the Private Industry Council will ensure that planned training does not duplicate existing training programs and services available in the service delivery area that are not funded through JTPA shall be provided.

13. The arrangements in terms of a method or formula that will be used to ensure that services will be provided throughout the geographic area in an equitable manner shall be discussed.

14. If applicable, the relationship between the Title IIB work experience component and occupational needs of the community shall be provided.

d) The Operational Plan describes the activities and services to be offered in the Service Delivery Area under JTPA and presents corresponding costs.

1. A narrative description of the job training activities and services to be offered under Title IIA and Title IIB shall be provided separately.

2. For each training activity and service to be offered under Title IIA or Title IIB, the following information shall be given:

A) the duration of activities and services to be offered;

B) the estimated number of participants to be served in each activity/ services; and

C) the estimated cost per participant served for each activity/service to be provided.

3. If applicable, the following programs are to be discussed in the local job training plan:

A) specific programs which contribute to occupational development, upward mobility, development of new careers, and overcoming sex-stereotyping;

B) subsidized employment with a private-for-profit employer for individuals 16 to 21 inclusive, who are economically disadvantaged, in accordance with Section 205(d)(3)(B) of the Act;

C) efforts to provide academic credit for participation in JTPA programs;

D) pre-employment skills program for individuals aged 14 to 15 years old;

E) youth employment competencies established by the Private Industry Council, including a discussion of how the Private Industry Council will determine whether these competencies have been attained; and

F) a request for costs in excess of the 30% administration/support services limitation posed in Section 108(b) of the Act that has been initiated by the Private Industry Council, including the conditions in the service delivery area which justify such a request.

4. If applicable, plans to train other than eligible individuals residing in the service delivery area and the reasons thereof shall be included.

5. If applicable, plans to transfer participants from Title IIA into Title IIB and the reasons for same shall be discussed.

6. Plans to assess the job training needs of the youth to be served in Title IIB, including a copy of any assessment tool to be used, shall be discussed.

7. Any participant orientation which will take place in the Title IIB program shall be discussed including such information as when orientation will take place, the organization providing the orientation, and the information that will be disseminated at the orientation sessions.

8. Any worksite supervisor orientation which will take place in the Title IIB program shall be discussed including such information as when orientation will take place, the organization providing orientation, information to be discussed at orientation, method recording supervisor attendance at orientation and plans to provide such orientation at alternate times or places.

9. The planned ratio of participants to supervisors at Title IIB worksites shall be presented, as well as a discussion of how the service delivery area will emphasize and ensure the availability of alternate supervisors for youth participants should the regular supervisor be absent for any reason.

History

• Source: Amended at 11 Ill. Reg. 11954, effective July 7, 1987

56 Ill. Adm. Code 2610.50 Plan Development and Approval

a) Planning Guidelines – The Governor shall issue instructions and schedules pursuant to 20 CFR 628.4 (1983). These guidelines shall assure that the SDA job training plan conforms to all requirements of the Act. Job training plans shall be developed in accordance with the guidelines to be eligible for receipt of funds under the Act.

b) Submittal of Job Training Plans

1. The proposed job training plans shall be made available to representatives of business, labor organizations, the State Legislature, local educational and other public agencies and the Governor in accordance with the requirements specified in Section 105(a) of the Act. Job training plans shall be reasonably available to the general public. The Department shall require PIC's and Chief Elected Officials to hold public hearings pursuant to Section 46.45 of the Civil Administrative Code of Illinois (Ill. Rev. Stat. 1984 Supp., ch. 127, par. 46.45 as added by P.A. 83-1472) on the Job Training Plans developed for their respective jurisdictions pursuant to Section 104 of the Act.

A) Such public hearings may be held in conjunction with the PIC's regular meetings provided that there is prior public notice of the meeting at least ten (10) business days in advance of the meeting at which the public hearing is to be held, and that the public hearing notice clearly indicates that this regular meeting will be the public hearing on the Service Delivery Area's Local Job Training Plan prior to its adoption and submission to the Department.

B) The Private Industry Council may request public comments also in writing but must accept unwritten comments as well. The PIC shall retain on file copies of all written comments received and a listing of all persons and/or organizations presenting public comments, a copy of the public notice and any other information necessary to substantiate compliance with Section 105(a) of the Act.

2. A plan shall be submitted to the Governor for review only after the chief elected official(s) and Private Industry Council have approved the plan pursuant to Section 103(d) of the Act. Only a properly constituted and consequently certified Private Industry Council in conjunction with the chief elected official(s) shall submit a SDA Job Training Plan to the Governor. The Department shall require submission of documentation which includes but is not limited to a copy of the notice of public hearing, a listing of those who received and presented public comments, a copy of the official minutes of the PIC at which the public comments were received and reviewed, and which demonstrates that all required approvals have been obtained and that the SDA Job Training Plan meets the specifications of Section 103(d) of the Act and that a public hearing on the plan has been held pursuant to Section 2610.50(b)(1) of this Part.

c) Review of Job Training Plans

1. The Department and the Illinois Job Training Coordinating Council (IJTCC) shall review locally developed job training plans on behalf of the Governor in accordance with procedures specified in Section 105(b) and 122(b) of the Act. Job training plans shall be reviewed for compliance with the requirements of the Act including: Sections 104, 108, and 141, of the Act, 20 CFR 626 - 638 (1983), State Planning Guidelines, and Sections 2610.50(f), (g), (h), (i), and (j), 2610.60(b) and 2610.100 of this Part.

2. Plans shall be reviewed for consistency with the statement of goals and objectives prepared by the Department on behalf of the Governor pursuant to Section 121(a)(1) of the Act. The Department shall forward recommendations to SDA planning entities, the Private Industry Council (PIC), and the appropriate chief elected officials for the SDA when plans are determined to be inconsistent with the State goals and objectives.

d) Approval of Job Training Plan - The Department, on behalf of the Governor, shall approve local job training plans pursuant to Section 105(b) of the Act. Circumstances under which local plans shall be disapproved are:

1. corrective measures for deficiencies found in audits or in meeting performance standards from previous years have not been taken or are not underway in accordance with a corrective action plan accepted by the Department;

2. the entity proposed to administer the program does not have the capacity to administer the funds as determined by the results of independent audits and financial management monitoring as performed by the Department based upon generally accepted accounting principles adopted by the American Institute of Certified Public Accountants (AICPA) (1983);

3. there are inadequate safeguards for the protection of funds received as determined by the results of independent audits and the financial management monitoring as performed by the Department based upon generally accepted accounting principles adopted by the American Institute of Certified Public Accounts (AICPA) (1983);

4. the plan does not comply with a particular provision or provisions of the Act or regulations; or

5. the plan does not comply with the criteria as specified in Section 2610.60(c) of this Part for coordinating activities under the Act with related program activities.

e) Revocation of Plan Approval – Whenever, the Department determines that there is a violation of a specific provision of the Act; 20 CFR 626 - 638 (1983), or this Part, the Department shall first attempt to correct deficiencies through a corrective action plan developed by the affected parties and accepted by the Department. If corrective action is not taken, the Department shall issue a notice of intent to revoke approval of all or part of the plan affected. Such notice may be appealed to the Secretary of the U.S. Department of Labor and shall not become effective until the time for appeal has expired or the Secretary has issued a decision. An appeal to the Secretary shall be made no later than 30 days after the receipt of the notice of intent to revoke approval. The Governor shall withdraw the notice if the appropriate corrective action has been taken.

f) Documentation of Needs Based Payment System - Each Service Delivery Area shall describe in its plan as a part of its participants' procedures:

1. the local formula or procedure developed to determine "needs-based payments";

2. detailed instructions on how individual participants will be provided payments based on specific needs in order for them to participate in a JTPA training program; and

3. methods used to collect, verify, and maintain individual records on the determination of need and the amount and dates of payments.

g) Comprehensive Supportive Services Plan - Each job training plan shall contain a comprehensive supportive service plan. The plan shall include the following components:

1. An inventory of agencies offering services for which JTPA participants may be eligible including providers of

A) childcare

B) transportation

C) financial counseling

D) personal counseling

E) payment for initial employment expenses

F) meals

G) housing and

H) health services.

2. A strategy for accessing services referenced in the inventory on behalf of JTPA participants which minimizes the utilization of JTPA participant support expenditures.

3. A description of uniform procedures for the determination of need for supportive services.

h) Inter-SDA Coordination within Labor Market Areas – Job training plans submitted by two or more Service Delivery Areas jointly serving a single labor market area shall contain provisions for coordinating individual service delivery area programs as required by Section 104(b)(8) of the Act.

i) Coordination Plan – Each job training plan shall include a description of methods of complying with coordination criteria pursuant to Section 104(b)(7) of the Act and Section 2610.60 of this Part. The Coordination Plan shall describe:

1. how interagency coordination procedures shall be established;

2. how referrals shall be made; and

3. how coordination agreements required pursuant to Section 2610.50(b) of this Part shall be developed.

j) Summer Youth and Employment Training Programs – Programs under Title IIB shall be conducted during the summer months. Planning for the Summer Youth and Employment Training Programs shall be on a program year basis.

History

• Source: Amended at 9 Ill. Reg. 13072, effective August 12, 1985

56 Ill. Adm. Code 2610.60 Coordination Criteria

a) Establishment of Coordination Criteria – In accordance with Section 121(b)(1) of the Act, the Governor, in conjunction with the Illinois Job Training Coordinating Council (IJTCC), has established coordination criteria in subsection (b) for coordinating JTPA activities. The criteria shall apply for coordinating activities under the Act (including Title III) with, at minimum, the following:

1. programs and services provided by state and local education and training agencies (including vocational education agencies);

2. public assistance agencies;

3. the employment service;

4. rehabilitation agencies;

5. post-secondary institutions;

6. economic development agencies; and

7. such other agencies as the Governor determines to have a direct interest in employment and training and human resource utilization within the state.

b) Coordination Agreement Criteria

1. SDA Title II administrative entities who are also Substate Area Grantees for Title III are required to have written coordination agreements with, at minimum, the Illinois Departments of Rehabilitation Services, Public Aid, Employment Security, Corrections, and the educational community (such as community colleges, Education for Employment Regional Delivery Systems, Regional Superintendents of Schools, and Area Planning Councils for Adult Education and Area Agencies on Aging (AAA)). Such administrative entities may, as an option, also have a coordination agreement with a not-for-profit agency administering Title V of the Older Americans Act of 1965 (42 U.S.C. 3001) in lieu of an agreement with the AAA, if deemed appropriate. Such administrative entities shall have a memorandum of understanding with the Displaced Homemakers Program (if applicable for the area) and the Department of Children and Family Services. Such administrative entities shall have an assurance statement that coordinates Substate Area (SSA) planning activities with the Private Industry Council/Local Elected Official(s) (PIC/LEO(s)) with the following provisions:

A) The PIC and LEO(s) shall approve the SSA's two-year local plan, and subsequent modifications, prior to submission to the State.

B) The SSA shall be provided the opportunity to present its two year plan and subsequent modifications, to the PIC and LEO(s) in its Substate Area.

C) The SSA shall provide the PIC with a list of proposed classroom training programs including those offered by its subcontractors for PIC approval.

D) There is a signed statement by the PIC chair, LEO(s), and SSA affirming compliance with subsections (b)(1)(A) through (C) above.

2. SDA Title II Administrative Entities who are not SSAs may ignore any language in the agency specific coordination criteria that assumes an SSA status but must have all the cited agreements and memorandum of understanding, in subsection (b)(1) above, at minimum. However, the assurance statement cited in subsection (b)(1) above is not required.

3. SSAs for Title III who are not SDA Title II Administrative Entities shall have coordination agreements, at minimum, with the SDA Title II Administrative Entity, Department of Employment Security, and the educational community. Such SSAs shall have memorandums of understanding, at a minimum, with the Area Agency on Aging (or as an option may have a memorandum of understanding with a not-for-profit agency administering Title V of the Older Americans Act of 1965, if deemed appropriate), Displaced Homemaker Program (if applicable for area), Department of Rehabilitation Services, and the Department of Public Aid.

4. SDA/SSA planning entities shall maintain current copies of all coordination agreements/memorandums of understanding/assurance statements and make copies available to the Department upon request.

5. Each coordination agreement shall contain the standard pages found in Section 2610.Appendix A. Each memorandum of understanding shall reflect general provisions found in the appropriate agency specific memorandums of understanding in Section 100.Appendix B.

c) Illinois Department of Public Aid (IDPA) Coordination Agreement - The IDPA and the JTPA SDAs shall establish a coordination agreement addressing specific requirements within the following topical areas:

1. Joint Planning - The coordinating agencies shall participate in joint planning activities which must be described in the agreement.

A) The joint planning of activities will be facilitated through the requirement for coordinating agencies to hold, at minimum, quarterly meetings to discuss the coordination agreement and any other matters pertinent locally.

i) The quarterly meetings must be based on a pre-established agenda, which includes, but is not limited to, the topics of program information exchange, services to common clients, the referral process and joint planning. A portion of the quarterly meeting will be devoted to an update on the Job Opportunities and Basic Skills Training (JOBS) program participation levels (participants) in the SDA.

ii) When a modification to the coordination agreement is necessary, a separate meeting will be held to discuss the timelines and equal sharing of responsibilities. The timelines will include a period for review, approvals and signature at the State level of not less than 2 weeks.

iii) At least one of the quarterly meetings timed in conjunction with local planning cycles must be used as a local strategic planning session. Topics which could be discussed include but are not limited to: occupational and labor market information, demographic information, needs of clients in the area, services available from various vendors in the area, linkages among service providers, and identification and use of existing resources. All agencies which the SDA has entered into coordination agreements with shall be in attendance at this meeting in order to efficiently and effectively co-plan training and services.

iv) A strategic plan which details the process by which IDPA eligibility and available services shall be presented to dislocated workers in the event of a mass layoff or plant closing and which shall be developed and described in the agreement.

v) A summary of the discussions at each quarterly meeting and an identification of any issues which are determined necessary to be resolved at the State level must be developed and forwarded within two weeks following the meeting date to the IJTCC staff who will inform the council and the State IDPA liaison of any issues.

B) As part of the joint planning activities, JTPA entities will share the contents of the two-year local job training plan and subsequent modifications involving changes in either available programs or participants to be served with the coordinating agent. IDPA will be given the opportunity to review and comment upon the plan as it relates to services to public aid recipients.

C) As part of the joint planning activities, the process whereby the JOBS plan shall be presented to the PIC for review and comment (per federal regulations published October 13, 1989 at 54 FR 42247 (to be codified at 45 CFR 250.12 and 250.13) (no later amendments or editions)) shall be described. Sections concerning labor management information (LMI), delivery of services, service providers, and the growth areas for employment in the area for which training should be available shall be detailed. The State IV-A agency (in Illinois the IDPA) shall consult with the PICs on the development of arrangements and contracts under JOBS.

D) The Request for Proposal (RFP) for Project Chance job placement contracts will require proposers to document coordination with the SDA as part of their proposal to assure that services to be provided do not duplicate existing services. The SDA may request a copy of the proposal from the proposer before providing comments. IDPA shall contact the SDA prior to executing a contract if such documentation is absent or insufficient. IDPA shall acknowledge receipt of the SDAs' comments, in writing, and shall take such comments into account when considering RFPs for funding. IDPA shall notify SDAs of all Project Chance proposals which successfully captured funding in their respective geographic areas or the absence of Project Chance contracts in the SDA.

2. Referral Procedures – The coordinating agencies shall establish reciprocal participant referral procedures for agencies serving the same client groups. The reciprocal referral procedures shall be designed to address local needs and shall include the following information:

A) When IDPA/Project Chance staff identify a client who is in need of and can benefit from JTPA services, the client will be provided a Project Chance written referral with the address and phone number of the JTPA office and directed to apply there. Clients will also be advised to take their medical card (DPA 469) or Notice of Food Stamp Certification (DPA 360A) and their Social Security Cards with them to the JTPA office. The DPA 469 or the DPA 360A will be the primary means of verifying eligibility of public aid recipients.

B) When JTPA staff identify eligible public aid recipients who are in need of and can benefit from IDPA Project Chance support services, they will refer the client in writing to the Project Chance office to obtain these services. The Project Chance office will determine the allowable support services and forward confirmation of such to the JTPA office.

C) IDPA, SDA, and SSA staff involved in the referral process shall be cross-trained in each other's programs, services, eligibility constraints and all other pertinent information, as determined locally.

D) A description of the means used to communicate, at a minimum, the needs of JTPA for specific substantial segment groups (such as dropouts, women, Blacks, Hispanics, welfare recipients, individuals 55 and older, and the handicapped), individuals with particular skills or academic achievement levels to IDPA for targeted referrals of public assistance recipients when possible.

E) The number of Project Chance participants to be referred by IDPA to JTPA shall not be negotiated until an evaluation has been conducted of the JOBS Program effort to serve volunteers first. The percentage of "not job ready" and "near job ready" referrals shall be negotiable in the second half of the two year coordination agreement (plan). For clarification, a referral is an individual who has been referred by Project Chance staff or JTPA staff to the other's program. A common client is an individual served by both JTPA and Project Chance who may or may not have been referred by either entity.

F) The IDPA 1504 form, "JTPA Request for Status Verification and Notice of Program Participation" or an agreed upon form shall be used by JTPA to elicit the client's signature for confidentiality statement and for other purposes determined in local negotiations. If another system/form is used to accomplish these purposes, a description shall be provided.

3. Program Information Exchange – The coordinating agencies shall establish a program information exchange system and make such adjustments as necessary to strengthen communication at the local level.

A) Minimally, information on the following topics will be exchanged to maintain accuracy and mutual understanding of the programs for which the coordinating agencies are responsible:

i) Program descriptions;

ii) Program/services eligibility requirements;

iii) Funding source and amount available to support activities;

iv) Timelines; and,

v) Availability of support services.

B) All contact regarding training, job placement and supportive services for public aid clients which is initiated by the JTPA system to IDPA will be through local Project Chance staff. IDPA will provide SDAs with a directory of Project Chance staff.

4. Services to Common Clients – The coordination agreement shall specify how JTPA and IDPA will coordinate in providing services to common clients. JTPA and IDPA will minimally reach agreement on the following issues with respect to providing services to common clients:

A) The coordination agreement shall indicate if the SDA has entered into a IDPA/Department tape match agreement. If not, a description must be included of the reporting schedule and method for JTPA to provide Project Chance Specialists with the following information regarding public aid clients:

i) who is enrolled, including public aid recipients who were not referred by IDPA;

ii) the current status of those who were enrolled but have dropped out of JTPA training; and

iii) any job placements, including those enrolled in on-the-job-training.

B) Upon request, Project Chance will provide information to the SDA with respect to an individual public aid recipient's former work history and previous participation in training programs or current obligations under Project Chance.

C) Project Chance staff shall acknowledge the expertise of the local JTPA staff in assessing and assigning participants to various training and/or job search activities. In the infrequent instances where agreement on a participant's assignment cannot be reached or made at the local level, Project Chance staff may submit the facts of the case to the IDPA Administrator of the Division of Employment and Training for final review and dispensation. A participant's assignment cannot be made at the local level.

D) Supportive services necessitated by a public aid recipient's participation in JTPA programs which are available from IDPA will be issued by the Project Chance staff.

d) Illinois Department of Rehabilitation Services (IDORS) Coordination Agreement – The IDORS and JTPA SDAs shall establish a coordination agreement addressing specific requirements within the following topical areas:

1. Joint Planning - The coordinating agencies shall jointly plan JTPA services for mutual clients in the SDA:

A) The joint planning of activities will be facilitated through the requirement for coordinating agents to hold, at minimum, quarterly meetings to discuss the coordination agreement and any other matters pertinent locally.

i) The quarterly meetings must be based upon a pre-established agenda which includes, but is not limited to, the topics of program information exchange, referral process including a discussion of progress made by the SDA in meeting substantial segments service level for the handicapped, joint planning and other local concerns;

ii) At least one of the quarterly meetings timed in conjunction with local planning cycles must be used as a local strategic planning session. Topics which could be discussed include but are not limited to: occupational and labor market information, needs of clients in the area, services available from various vendors in the area, linkages among service providers, and identification and use of existing resources. All agencies which the SDA has entered into coordination agreements with shall be in attendance at this meeting in order to efficiently and effectively co-plan training and services.

iii) A strategic plan shall be developed by the parties to this agreement which details the process by which DORS eligibility and available services shall be presented to dislocated workers in the event of a mass layoff or plant closing.

iv) A summary of the discussion taking place as well as an identification of any issues which are determined necessary to be resolved at the state level must be developed and forwarded to the IJTCC within two weeks following the meeting date.

B) As part of the joint planning activities, JTPA entities will share the contents of the two-year local job training plan and subsequent modifications involving changes in either available program or participants to be served with the coordinating agency. IDORS will have the opportunity to review and comment upon such planned information as it relates to services to the handicapped.

2. Referral Procedures – The coordinating agencies shall establish reciprocal participant referral procedures for agencies serving the same client groups. The reciprocal referral procedures shall be designed to address local needs and shall include the following information:

A) A description of how and under what circumstances, referrals will be made from JTPA to IDORS.

B) A description of how referrals will be made from IDORS to JTPA identifying any services which are provided or will be provided to the client from IDORS, and the name of the staff making the referral.

C) A description of the methods utilized to track the outcome of referrals from IDORS to JTPA.

D) A description of the methods utilized to communicate JTPA needs regarding specific substantial segment groups, individuals with particular skills or academic achievement levels, at a minimum, to IDORS for targeted referrals of the handicapped.

E) The number of handicapped to be referred by DORS to JTPA.

3. Program Information Exchange – The coordinating agencies shall establish a program information exchange system and make such adjustments as necessary to strengthen communications at the local level. Information on the following topics will be exchanged to maintain accuracy and mutual understanding of the programs for which the coordinating agencies are responsible, at minimum:

A) Program descriptions;

B) Program/services eligibility requirements;

C) Funding source and amount available to support activities;

D) Timelines; and,

E) Availability of support services.

e) The educational community and JTPA SDAs/SSAs establish a coordination agreement(s) addressing specific requirements within the following topical areas:

1. Joint Planning – The coordinating agencies shall jointly plan JTPA services for mutual clients in the SDA/SSA.

A) The joint planning of activities will be facilitated through the requirement for coordinating agencies to hold, at minimum, quarterly meetings to discuss the coordination agreement and any other matters pertinent locally.

i) The quarterly meetings must be based on a pre-established agenda which includes, but is not limited to, a discussion of program information exchange, joint planning and other local concerns;

ii) At least one of the quarterly meetings timed in conjunction with local planning cycles must be used as a local strategic planning session. Topics which could be discussed include but are not limited to: occupational and labor market information, services available from various vendors in the area, linkages among service providers, and identification and use of existing resources. All agencies which the SDA has entered into coordination agreements with shall be in attendance at this meeting in order to efficiently and effectively co-plan training and services.

iii) In those instances where an SDA combines its quarterly meetings with other mandated coordinating agents, then at least one meeting (a separate meeting or in conjunction with a regularly scheduled quarterly meeting) shall be required with all of the education liaisons and JTPA representatives. Topics which shall be discussed include testing, assessment, vocational counseling, and the granting of academic credit for JTPA program participation to facilitate an awareness of each other's roles and to avoid unnecessary duplication.

iv) A summary of the discussions taking place at each required meeting as as well as an identification of any issues are determined necessary to be resolved at the state level which must be developed and forwarded to the IJTCC within two weeks following the meeting date.

B) As part of the joint planning activities, SDAs, SSAs, and education liaisons will share the contents of the two-year local job training plan, the Title III substate plans, the education for employment plans, and the adult education area plans respectively, as well as any subsequent major modifications involving changes in either available programs or participants to be served with the coordinating agents. The agencies will have the opportunity to review and comment upon such plans.

C) SSAs and local educational agencies shall negotiate with the community college presidents and the Illinois Association of Student Financial Aid Administrators for documenting dislocated worker status for individuals seeking educational financial assistance under the 1986 amendments to the Higher Education Act (Public Law 99-498) (20 U.S.C. 1000 et seq.).

2. Program Information Exchange – The coordinating agencies shall establish a program information exchange system and make such arrangements as are necessary to strengthen communication at the local level.

A) Education and JTPA liaisons shall exchange information on each other's programs, services and eligibility requirements as often as necessary to maintain accuracy and a mutual understanding of the programs.

B) The agreement shall describe the process that is used to exchange program information among education liaisons and JTPA, including the dissemination of JTPA information among different entities in the local educational community as appropriate and necessary to affect coordination.

3. Referral Arrangements – By the second year of the two year plan, the coordinating agents shall develop reciprocal participant referral procedures to comply with the coordination criteria specified in this Section. The reciprocal referral procedures shall include the following information:

A) A description of how and under what circumstances, referrals shall be made from JTPA for both youth and adults to vocational or academic programs or both.

B) A description of how referrals shall be made from education to JTPA including some method of identifying any services that are provided, or that shall be provided, to the client from education and the name of the staff or educator making the referral, as well as methods used to communicate the needs of JTPA and education for specific substantial segment groups, individuals with particular skills or academic achievement levels for targeted referrals of priority populations.

f) The Illinois Department of Employment Security (IDES) Coordination Agreement – The IDES and JTPA SDAs/SSAs shall establish a coordination agreement. This coordination agreement shall serve as the local component plan required by JTPA amendments to the Wagner-Peyser Act (29 U.S.C. 49g). The coordination agreement will address specific requirements within the following topical areas:

1. Joint Planning – The coordinating agencies shall jointly plan JTPA services for mutual clients in the SDA/SSA.

A) The joint planning activities will be facilitated through the requirement for coordinating agencies to hold, at minimum, quarterly meetings to discuss the coordination agreement and any other matters pertinent locally.

i) The quarterly meetings must be based on a pre-established agenda which includes, but is not limited to, the topics of program information exchange, referral process, joint planning and other local concerns.

ii) At least one of the quarterly meetings timed in conjunction with the local planning cycles, must be used as a local strategic planning session. Topics which could be discussed include, but are not limited to, occupational and labor market information, demographic information, needs of clients in the area (including veterans), services available from various vendors in the area, linkages among service providers, identification of existing resources, and the use of existing resources.

iii) At least one quarterly meeting must be used as a local strategic planning session to determine the responsibilities and roles of each entity for the delivery of programs and services to dislocated workers under two separate circumstances. For mass layoff/plant closings, the coordination agreement must specify under what conditions IDES shall provide services on-site for any, or all, of the following: claims taking from unemployment insurance benefits; registration for services of the Job Service; outstationing of staff and equipment; job aptitude testing and scoring, when determined necessary at the local level; and analysis of local labor market trends and opportunities for employment. For service to the dislocated worker population and large, the coordination agreement must describe coordination strategies between the SSA and IDES that include: job aptitude testing, scoring and assessment; the provision of assistance in the preparation of petitions for Trade Act Assistance (TAA); and delivery of training for individuals who are both Title III and TAA eligible.

iv) A written summary of the discussions at such quarterly meeting as well as an identification of any issues which are determined necessary to be resolved at the state level must be developed and forwarded to the IJTCC within two weeks following the meeting date.

B) As part of the joint planning activities, JTPA entities will share the contents of the two-year local job training plan, the two-year local substate area plan for Title III, and subsequent modifications to either plan involving changes in either available programs or participants to be served with the coordinating agent or describe the role of the IDES representative on the PIC in the planning process.

C) The IDES Consolidated Office and Regional Office Plans of Service, including those developed by local employment security offices, shall be made available to SDAs and/or SSAs to facilitate joint planning. The IJTCC will transmit a copy the annual Wagner-Peyser Plan to the SDA; any SDA comments may be submitted to the IJTCC staff prior to IJTCC review.

D) SDAs and SSAs will indicate in the agreement whether they will participate in the Job Order Access component of the Employ Illinois initiative of IDES which is an optional initiative provided for by IDES involving automated listings of all job orders, e.g., training classes, OJTs and unsubsidized job openings placements, and describe specifically how coordination, job development and employer contacts will occur.

E) SDAs and SSAs shall indicate in the agreement, whether they will participate in the Job Order Access component of the Employ Illinois which is an optional initiative provided by IDES involving automated listings of all job orders, e.g., training classes, OJTs and unsubsidized job openings.

F) SDAs shall indicate if they will voucher for Targeted Jobs Tax Credit (TJTC) (see 14 Ill. Adm. Code 520.600) eligibility for participants including the identification of any not-for-profit subcontractors who are approved by IDES to also participate. Those SDAs not desiring to participate in TJTC vouchering will so note in their agreements.

G) SDAs and SSAs shall describe specifically how coordination of job development and employer contacts shall occur in the local area, including the roles and responsibilities of each agency. The process describes how IDES, SSA and SDA staff involved in employer contacts and job development shall be cross-trained in each other's programs, services, eligibility constraints and all other pertinent information shall be outlined.

H) The SDAs and SSAs shall also describe specifically how coordination of job development and employer contacts, as well as the staff cross-training and interface, shall occur with not-for-profit subcontractors who provide placement services in the SDAs.

2. Referral Arrangements – The coordinating agencies shall review current reciprocal participant referral procedures and modify them, as necessary, to comply with the following:

A) IDES will promptly refer all JTPA eligible clients in need of employment and training services including veterans.

B) The specific methodology and target populations (including veterans, dislocated workers, and job ready individuals) for reciprocal referrals shall be detailed in the negotiated agreement between the SDA, SSA, and local IDES office(s).

C) IDES shall promptly refer all Title III eligible clients including veterans in need of employment and training services at the point of initial filing for unemployment insurance benefits to allow clients to enter training prior to the 13th benefit week and, therefore, be eligible for Title III needs based payments when, unemployment insurance (U.I.) benefits are exhausted.

D) IDES shall notify SSAs of TAA eligible individuals to ensure that client services are closely coordinated on an individual basis. SSAs shall cooperate with IDES to dovetail EDWAA Services with those provided to individuals as a result of their TAA petitions.

E) Where a program authorized under Section 7(b) of the Wagner-Peyser Act (29 U.S.C.A. 49f(b)) is in place, IDES, Illinois Department of Children and Family Services (IDCFS), and the SDA will discuss local implementation and tracking of the IDES/IDCFS arrangement whereby IDES performs Wagner-Peyser activities on behalf of referrals from IDCFS.

F) The SDA, SSAs and IDES shall locally determine and describe the procedures to expeditiously provide feedback to IDES, when requested, on the status/outcome of all referrals, including, but not limited to, mechanisms for information exchange, frequency of information exchange and timeframes for SDA and SSA responses.

G) The coordination agents shall determine locally and describe in their agreement how the SDA and SSA shall be provided feedback on individuals referred to IDES for placement including, but not limited to, mechanisms for information exchange, frequency of information exchange and timeframes for SDA and SSA responses.

H) SDA and SSA job orders will only receive JTPA eligible referrals from IDES until such time that the SDA and SSA releases the order to allow for other referrals.

I) The procedures to cross-train the local SDA, SSA and IDES staff involved in referral arrangements shall be described.

J) SDA and SSA job orders shall only receive JTPA eligible referrals from IDES until such time that the SDA or SSA releases the order to allow for other referrals.

3. Program Information Exchange – The coordinating agencies shall establish a program information exchange system and make such adjustments as necessary to strengthen communication at the local level.

A) IDES will provide SSAs and SDAs through the Department, the following information from IDES's computerized systems:

i) Selected data from the Permanent Mass Layoff and Plant Closing System.

ii) Selected data from the ES-202 which includes employer name, address, standard industrial classification (SIC) codes, and trends/projections.

iii) Data on new employers who become covered under the Unemployment Insurance Act.

iv) Data elements from the Benefit Information System (BIS) on a monthly basis.

v) SDAs will have access to selected data on Job Service applicants.

B) The SDAs and/or SSAs, and their subcontractors shall provide IDES with a list of PIC approved classroom training programs and other special courses being offered by the SDA 30-45 days prior to the beginning of a course, to the extent possible, in order to allow for referrals of clients to JTPA for training. IDES should be notified when classes are filled so that referrals to those classes shall be discontinued.

C) SDAs and SSAs will advise IDES of the following information on programs:

i) program descriptions,

ii) funding source/amounts,

iii) eligibility criteria,

iv) timelines,

v) availability of support services, and

vi) a listing of subcontractors who provide placement services.

D) IDES will provide the SSAs the following information on individuals involved in TAA training:

i) TAA training and services provided;

ii) TRA benefit status; and

iii) The potential for receiving additional TRA benefits.

E) SDAs and SSAs shall provide the local IDES office(s) with brochures, fliers or other information to be handed out with a referral to JTPA.

F) SSAs shall provide IDES with the proposed types of training, costs of training, and information on needs based payments for TAA eligible individuals prior to training to allow IDES to approve training thereby protecting TAA individuals from losing future TAA and TRA benefits.

G) SDAs and SSAs shall explain their procedure to advise their subcontractors of the provisions of this coordination agreement and the appropriate steps to assure compliance.

g) Area Agencies on Aging (AAA) Coordination Agreement(s) – Entities which administer JTPA funds and which also directly administer 3% Older Individuals Programs shall have written coordination agreements with their respective AAA. This coordination agreement will address specific requirements within the following topical areas:

1. Joint Planning – The coordinating agencies shall jointly plan JTPA services for mutual clients in the SDA.

A) The joint planning of activities will be facilitated through the requirement for coordinating agents to hold, at minimum, quarterly meetings to discuss the coordination agreement and any other matters pertinent locally.

i) The quarterly meetings must be based on a pre-established agenda which includes, but is not limited to, the topics of program information exchange, services to common clients, referral process, joint planning and other local concerns.

ii) At least one of the quarterly meetings timed in conjunction with local planning cycles must be used as a local strategic planning session. Topics which could be discussed include but are not limited to: occupational and labor market information, demographic information, needs of clients in the area, services available from various vendors in the area, and linkages among service providers, and identification and use of existing resources. All agencies needed to efficiently and effectively co-plan training and services should be in attendance at this meeting.

iii) A strategic plan shall be developed by the parties to this agreement which details the process for AAA eligibility and services to be presented to dislocated workers in the event of a mass layoff or plant closing.

iv) A summary of the discussions taking place as well as an identification of any issues which are determined necessary to be resolved at the State level must be developed and forwarded to the IJTCC within two weeks following the meeting date.

B) As part of the joint planning activities, JTPA entities will share the contents of the two-year local job training plan and subsequent major modifications involving changes in either available programs or participants to be served with the coordinating agent. AAA/Senior Community Service Employment Program (SCSEP) will have the opportunity to review and comment on such planned information as it relates to services to older individuals under Title II-A (Sections 201-205 of the Act), the 3% program, and Title III.

2. Referral Arrangements – The coordinating agencies shall establish reciprocal participant referral procedures for agencies serving the same client groups. The reciprocal referral procedures shall be designed to address local needs and shall include the following information:

A) A description of how and under what circumstances referrals will be made from JTPA to AAA/SCSEP.

B) A description of how referrals will be made from AAA/SCSEP to JTPA including some means of identifying any services which are provided or to be provided to the client from AAA/SCSEP, and the name of the staff making the referral.

C) A description of the method(s) utilized to track the outcome of the referrals from AAA/SCSEP to JTPA.

D) A description of the means utilized to communicate the needs of JTPA for specific substantial segment groups, individuals with particular skills or academic achievement levels, at minimum, to AAA/SCSEP for targeted referrals of older individuals.

E) A minimum number of older individuals which will be referred by AAA/SCSEP to JTPA.

3. Program Information Exchange – The coordinating agencies shall establish a program information exchange system.

A) Minimally, information on the following topics will be exchanged to maintain accuracy and a mutual understanding of the programs for which the coordinating agencies are responsible:

i) Program descriptions;

ii) Program/services eligibility requirements;

iii) Funding source/amount available to support activities;

iv) Timelines; and

v) Availability of support services.

B) A narrative description or flow chart of the process which is used to exchange program information including the dissemination of JTPA information among different organizations serving the elderly where such distribution will facilitate access of older individuals to JTPA.

4. Services to Common Clients – The coordination agreement shall specify how JTPA and AAA/SCSEP will coordinate in providing services to common clients.

A) Local arrangements to share information with respect to older individuals which may assist in the assessment process such as that which may reflect skill identification, confidence building activities, education and training goals.

B) Arrangements to ensure the provision of supportive services to older individuals as necessary to affect a positive experience in the training program or activity.

h) The Illinois Department of Corrections (IDOC) Coordination Agreement – IDOC and JTPA SDAs shall establish a coordination agreement addressing specific requirements within the following topical areas:

1. Joint Planning – The coordinating agencies shall jointly plan JTPA services for mutual clients in the SDA.

A) The joint planning of activities will be facilitated through the requirement for coordinating agents to hold, at minimum, quarterly meetings to discuss the coordination agreement and any other matters pertinent locally.

i) The quarterly meetings must be based upon a pre-established agenda which includes, but is not limited to, the topics of program information exchange, services to common clients, referral process, joint planning and other local concerns.

ii) At least one of the quarterly meeting must be used as a local strategic planning session where information concerning such items as occupational and labor market information, demographic information, services available from various vendors in the area, and linkages among service providers, at minimum, are discussed.

iii) A summary of the discussions taking place as well as an identification of any issues which are determined necessary to be resolved at the state level must be developed and forwarded to the IJTCC within two weeks following the meeting date.

B) As part of the joint planning activities, JTPA entities will share the contents of the two-year local job training plan and subsequent modifications involving changes in either available programs or participants to be served with the coordinating agencies.

2. Referral Procedures – The coordinating agencies shall establish reciprocal participant referral procedures for agencies serving the same client groups. The reciprocal referral procedures shall be designed to address local needs and shall include the following information:

A) A description of how referrals will be made from IDOC to JTPA including some means of identifying any services which are provided or to be provided to the client from IDOC and the name of the staff making the referral.

B) A description of the methods utilized to track the outcome of referrals from IDOC to JTPA.

C) A description of the methods utilized to communicate JTPA needs for substantial segment groups, individuals with particular skill or academic achievement levels, at minimum, to IDOC for targeted referrals of ex-offenders when possible.

3. Program Information Exchange – The coordinating agencies shall establish a program information exchange system. Information on the following topics shall be exchanged to maintain accuracy and mutual understanding of the programs for which the coordinating agencies are responsible, at minimum:

A) Program descriptions;

B) Program/services eligibility requirements;

C) Funding source/amounts available to support activities;

D) Timelines; and,

E) Availability of support services.

4. Services to Common Clients – The coordination agreement shall specify how JTPA and IDOC will coordinate in providing services to common clients. JTPA and IDOC will minimally reach agreement on the following issues with respect to providing services to common clients:

A) Local arrangements to share information with respect to ex-offenders to assist in the assessment process such as prior work histories, training completed, supportive services needed, etc.;

B) Arrangements to ensure the provision of supportive services to IDOC clients as necessary to affect a positive experience in the training program or activity.

i) Title II Administrative Entities and Title III Substate Grantee coordination agreement – JTPA Title II Administrative Entities (who are not Substate Area Grantee) and Substate Area Grantees shall establish a coordination agreement addressing specific requirements within the following topical areas:

1. Joint Planning – The coordinating agents shall participate in joint planning activities.

A) The joint planning of activities shall be facilitated through the requirement for coordinating agents to hold, at minimum, quarterly meetings to discuss the coordination agreement and any other matters pertinent locally.

i) The quarterly meetings must be based upon a pre-established agenda which includes, but is not limited to, the topics of program information exchange, referral process, joint planning and other local concerns.

ii) At least one of the quarterly meetings must be used as a local strategic planning session to discuss information concerning such items as occupational and labor market information, demographic information, services available from various vendors in the area, and linkages among service providers.

iii) A summary of the discussions at each quarterly meeting as well as an identification of any issues which are determined necessary to be resolved at the State level shall be developed and forwarded to the IJTCC staff within two weeks following the meeting date.

B) As part of the joint planning activities, the substate grantee will share the contents of the two-year local plan for employment and training assistance for dislocated workers and subsequent modifications involving changes in either available programs or participants to be served with the SDA grant recipient, the PIC, and the LEO(s) in its SSA.

i) The PIC and LEO(s) shall approve the SSA's two-year local plan, and subsequent modifications, prior to submission to the State.

ii) The Substate Area Grantee shall be provided the opportunity to present its two-year plan, and subsequent modifications, to the PIC and LEO(s) in its SSA.

C) The SDA two-year local job training plan, and subsequent modifications, shall be made available to substate grantees at any time, upon request, for educational and informational purposes to facilitate joint planning.

D) The substate grantees shall provide the PIC with a list of proposed classroom training programs including those offered by its subcontractors for PIC approval.

E) Substate grantees shall indicate in the agreement specifically how coordination in the areas of job development and employer contacts with the SDA entities will occur.

F) JTPA Title III and Title II staff involved in employer contacts and job development shall be cross-trained in each other's programs, services, eligibility constraints and in all other pertinent information.

2. Referral Arrangements – The coordinating agencies shall review current reciprocal participant referral procedures and modify them, as necessary, to comply with these coordination criteria.

A) The substate grantee shall promptly refer all JTPA Title II or IBO eligible clients in need of employment and training services. The grant recipient shall state the number of referrals expected from the SSAs intake center(s).

B) SDAs shall refer all JTPA Title III eligible clients in need of employment and training services. The substate grantee shall state the number of referrals expected from the SDAs intake center(s) in the agreement.

C) The reciprocal referral procedures shall include the following information:

i) A description of how referrals shall be made from the Title III to the Title II administering agents.

ii) A descripting of how referrals shall be made from the Title II to the Title III administering agents.

iii) A description of how training shall be provided locally to Title III and Title II staff involved in referral arrangements.

iv) A description of the methods used to track the outcome of the referrals from both the JTPA entities.

3. Program Information Exchange – The coordinating agencies shall review their current system for exchanging program information and make such adjustments as they determine necessary to strengthen communication at the local level.

A) Upon request, substate grantees shall advise the SDA entities of the following information on programs:

i) Program descriptions;

ii) Funding source/amounts;

iii) Eligibility criteria;

iv) Timelines; and

v) Availability of support services.

B) Upon request, SDA entities shall advise the substate grantee of the following information on programs:

i) Program descriptions

ii) Funding source/amounts;

iii) Eligibility criteria;

iv) Timelines; and

v) Availability of support services.

j) Memorandums Of Understanding Criteria – The purpose of the memorandum of understanding is to facilitate and maintain an interagency system for the coordination of services to mutual clients. This memorandum of Understanding is a non-financial commitment to provide for the coordination of such services through provision for the mutual exchange of information and the referral of eligible individuals to appropriate employment and training programs and supportive services. The parties to this memorandum are committed to confidentiality with regard to interagency communication concerning mutual clients and will respect and observe either agencies confidentiality policies as well as the provisions of Section 7 of the Freedom of Information Act (Ill. Rev. Stat. 1989, ch. 116, par. 207). The parties to this memorandum will appoint individuals to serve as interagency liaisons to facilitate coordination and the sharing of information. The designated interagency liaisons shall be identified in an addendum to this memorandum of understanding. This memorandum of understanding is a statement of commitment by each party. Amendments to provisions may be made by mutual consent. Both parties will participate in an annual evaluation of the provisions of this memorandum.

1. The Displaced Homemaker Program (56 Ill. Adm. Code 2640) and JTPA SDAs/SSAs shall enter into a memorandum of understanding to facilitate and maintain an interagency system for the coordination of services to mutual clients. This memorandum may be withdrawn at any time by written communication, dated and signed by the Chairperson of the Private Industry Council or the Director, or otherwise responsible person for the Displaced Homemaker Center. The following topical areas with specific requirements will be addressed in this memorandum of understanding:

A) Exchange of Information – The SDA/SSAs and the Displaced Homemaker Program will exchange program information on a regular basis. The procedures to be used in exchanging this information will be identified in an addendum to the memorandum. Information to be exchanged includes, but is not limited to:

i) Schedule of meetings of advisory bodies/ PICs;

ii) Copies of job training plans;

iii) Grant applications or other funding requests;

iv) Program descriptions;

v) Funding sources and amounts;

vi) Targeted participants if any; and

vii) Timeframes for program enrollments/operations.

B) Referrals – A referral system shall be developed by the SDA/SSA and the Displaced Homemaker Program. Referrals and information exchange forms will be developed. All such documents will be attached as an addendum to this memorandum. Referral documents and a description of the referral system shall become the formal operating referral procedures between the SDA and the Displaced Homemaker Program.

C) Administrative – The SDA/SSA and the Displaced Homemaker Program and their administrative entities and are committed to compliance with all appropriate and applicable laws, rules and regulations. These will include:

i) Title 6 of the Civil Rights Act of 1964 and 1966 as amended, (42 U.S.C. 2000e et seq.);

ii) Section 504 of the Rehabilitation Act (29 U.S.C. 794); and

iii) All other applicable or appropriate laws, rules, regulations pertaining to civil rights, affirmative action, handicapped, and employment practices (56 Ill. Adm. Code 2610.120).

2. The IDCFS and JTPA SDAs shall enter into a memorandum of understanding to facilitate and maintain an interagency system for the coordination of services to mutual clients. Amendments to provisions of this memorandum may be made by mutual consent. Both parties will participate in an annual evaluation of the provisions of this memorandum. This memorandum may be withdrawn at any time through written communication dated and signed by the chairperson of the PIC or the Regional Director of the IDCFS (or his/her designee). The following topical areas with specific requirements will be addressed in this memorandum of understanding:

A) Exchange of Information – The SDA and the IDCFS regional and local offices will exchange program information on a regular basis. The information to be exchanged and the procedures to be used in exchanging the information must be identified in an addendum to this memorandum. The parties to this memorandum are committed to confidentiality with regard to interagency communication concerning mutual clients and will respect and observe either agencies' confidentiality. The parties to this memorandum will appoint an individual to serve as interagency liaison to facilitate coordination and the sharing of information. The designated interagency liaisons shall be identified in an addendum to this memorandum of understanding. The SDA and the IDCFS regional and local offices, in an effort to better understand each other's operation, will exchange program information on a regular basis. Information to be exchanged includes, but is not limited to:

i) A schedule of meetings of advisory bodies/Private Industry Councils;

ii) Copies of job training plans;

iii) Grant applications or other funding requests;

iv) Program descriptions;

v) Funding sources and amounts;

vi) Targeted participants (if any); and

vii) Timeframes for program enrollments/operations.

B) Referrals – The IDCFS will meet with appropriate representatives of the IDES and the SDA to discuss and negotiate referral arrangements for IDCFS youth to discuss and negotiate referral arrangements for IDCFS youth to access the JTPA system. A discussion of information which will be used in exchanging such information will be developed and attached to this memorandum as an addendum. Included in the negotiations will be a discussion of:

i) the role of IDCFA subcontractors in making direct referrals to the JTPA system;

ii) the role of IDES in referring IDCFS youth to the JTPA system; and

iii) how and from whom IDCFS will receive information regarding the status of youth referrals.

C) Administrative – The SDA and the IDCFS are committed to compliance with all appropriate and applicable laws, rules and regulations. These will include:

i) Title VI of the Civil Rights Act of 1964 as amended (42 U.S.C. 2000e et seq.);

ii) Section 504 of the Rehabilitation Act (29 U.S.C. 794);

iii) All other applicable or appropriate laws, rules, regulations pertaining to civil rights, affirmative action, handicapped and employment practices (56 Ill. Adm. Code 2610.120).

3. The AAA, or other not-for-profit agency, administering Title V or the Older Americans Act, and JTPA SSAs shall enter into a memorandum of understanding to facilitate and maintain an interagency system for the coordination of services to mutual clients. This memorandum may be withdrawn at any time by written communication, dated and signed by the Chairperson of the Private Industry Council or the Director, or otherwise responsible person for the AAA. The following topical area with specific requirements shall be addressed in this memorandum of understanding:

A) Exchange of Information – The SDA/SSAs and the AAA shall exchange program information on a regular basis. The procedures to be used in exchanging this information shall be identified in an addendum to the memorandum. Information to be exchanged includes, but is not limited to:

i) Schedule of meetings of advisory bodies/PICs;

ii) Copies of job training plans;

iii) Program descriptions;

iv) Funding sources and amounts;

v) Targeted participants if any and

vi) Timeframes for program enrollments/operations.

B) Referrals – A referral system shall be developed by the SDA/SSA and the AAA. Forms shall be developed which detail how referrals are to be made and information exchanged. All such documents shall be attached as an addendum to the memorandum. Referral documents and a description of the referral system shall become the formal operating referral procedures between the SDA and the AAA.

C) Administrative – The SDA/SSA and the AAA and their administrative entities are committed to compliance with all appropriate and applicable laws, rules and regulations. These are:

i) Title VI of the Civil Rights Act of 1964 as amended (42 U.S.C. 2000e et seq.);

ii) Section 504 of the Rehabilitation Act (29 U.S.C. 794); and

iii) The provisions of 56 Ill. Adm. Code 2610.120.

4. The Department of Rehabilitation Services (DORS) and JTPA SSAs shall enter into a memorandum of understanding to facilitate and maintain an interagency system for the coordination of services to mutual clients. This memorandum may be withdrawn at any time by written communication, dated and signed by the Chairperson of the PIC or the Rehabilitation Services Supervisor. The following topical areas with specific requirements will be addressed in this memorandum of understanding:

A) Exchange of Information – The SDA/SSAs and the DORS shall exchange program information at least annually, and more frequently at the choice of the coordinating agents. The procedures to be used in exchanging this information shall be identified in an addendum to the memorandum. Information to be exchanged includes, but is not limited to:

i) Schedule of meetings of advisory bodies/PICs;

ii) Copies of job training plans;

iii) Grant applications or other funding requests;

iv) Program descriptions;

v) Funding sources and amounts;

vi) Targeted participants if any; and

vii) Timeframes for program enrollments/operations.

B) Referrals – A referral system shall be developed by the SDA/SSA and the DORS. Referrals and information exchange forms shall be developed. All such documents shall be attached as an addendum to this memorandum. Referral documents and a description of the referral system shall become the formal operating referral procedures between the SDA and the DORS.

C) Administrative – The SDA/SAA and the DORS and their administrative entities are committed to compliance with all appropriate and applicable laws, rules and regulations. These are:

i) Title VI of the Civil Rights Act of 1964 as amended (42 U.S.C. 2000e et seq.);

ii) Section 504 of the Rehabilitation Act (29 U.S.C. 794); and

iii) The provisions of 56 Ill. Adm. Code 2610.120.

5. The IDPA and JTPA SSAs shall enter into a memorandum of understanding to facilitate and maintain an interagency system for the coordination of services to mutual clients. This memorandum may be withdrawn at any time by written communication, dated and signed by the Chairperson of the PIC or the Director of the IDPA. The following topical areas with specific requirements shall be addressed in this memorandum of understanding:

A) Exchange of Information – The SDA/SSAs and the IDPA shall exchange program information at least annually, and more frequently at the choice of the coordinating agents. The procedures to be used in exchanging this information shall be identified in an addendum to the memorandum. Information to be exchanged includes, but is not limited to:

i) Schedule of meetings of advisory bodies/PICs;

ii) Copies of job training plans;

iii) Program descriptions;

iv) Funding sources and amounts;

v) Targeted participants if any; and

vi) Timeframes for program enrollments/operations.

B) Referrals – A referral system shall be developed by the SSA and the IDPA. Referrals and information exchange forms will be developed. All such documents will be attached as an addendum to this memorandum. Referral documents and a description of the referral system shall become the formal operating referral procedures between the SDA and the DORS.

C) Administrative – The SDA/SSA and the DPA and their administrative entities are committed to compliance with all appropriate and applicable laws, rules and regulations. These are:

i) Title VI of Civil Rights Act of 1964 as amended (42 U.S.C. 2000e et seq.);

ii) Section 504 of the Rehabilitation Act (29 U.S.C. 794); and

iii) The provisions of 56 Ill. Adm. Code 2610.120.

History

• Source: Amended at 15 Ill. Reg. 7595, effective May 7, 1991

56 Ill. Adm. Code 2610.70 Allowable Activities

a) Adult and Youth Programs – Grantees shall use Title IIA, JTPA funds to provide eligible youth and adults services as specified in Sections 204 and 205 of the Act.

b) Summer Youth Employment and Training Programs – Grantees shall use Title IIB funds to provide eligible youth with services specified in Section 252 of the Act.

56 Ill. Adm. Code 2610.75 Employment Generating Activities

a) Employment generating activities (EGA) are those which conform with the definition found in 56 Ill. Adm. Code 2600.20.

b) The following provisions shall apply to all agreements for employment generating activities:

1. First-Consideration Agreements – When agreements are developed with individual businesses or employers specifying the provision of EGA funds or services for the purpose of creation or expansion, those agreements shall include a first-consideration agreement. That is, the business or employer agrees to give first consideration in hiring to JTPA eligible individuals.

2. Non-Relocation Constraint – All EGA requests for proposal and contracts shall include a statement to the following effect: "EGA funds may not be used to assist in relocating establishments, or parts thereof, from one area to another unless approval is granted in writing by the Department of Commerce and Community Affairs." This restriction applies to relocation only and does not apply to creation or expansion.

3. Tracking and Reporting – All EGA contracts and PIC-initiated activities shall include a mechanism for tracking job creation.

c) Revolving loan funds are not allowable as employment generating activities.

d) All costs incurred for employment generating activities must be attributed to the administrative cost category.

History

• Source: Added at 16 Ill. Reg. 13272, effective August 13, 1992

56 Ill. Adm. Code 2610.80 Eligibility Requirements

a) Adult and Youth Programs – Eligibility requirements for Adult and Youth Programs under Part A of Title II are specified in Sections 141(e), 203 and 504 of the Act.

b) Summer Youth Employment and Training Programs – Part B of Title II, Summer Youth Employment and Training Programs eligibility requirements are specified in Sections 141(e), 253 and 504 of the Act.

56 Ill. Adm. Code 2610.90 Waivers of Limitation of Cost

The Department shall approve a request for waiver of the cost limitations delineated in Section 108(b) of the Act if the following criteria are met:

a) the Private Industry Council (PIC) initiates a request either through submission of the local job training plan or a modification to the local job training plan;

b) the request meets the requirements specified in Section 108(c)(2) of the Act; and

c) approval of the request shall not impair the achievement of performance standards established under Section 106 of the Act.

56 Ill. Adm. Code 2610.100 Performance Standards

a) Establishment of the Performance Standards System - In accordance with the requirements of Section 106 of the Act the Department shall prescribe performance standards for adult and youth training programs under Title IIA and dislocated worker programs under Title III of JTPA. The U.S. Department of Labor (U.S. DOL) issued current directives on performance standards requirements in the April 13, 1990 edition of the Federal Register (55 FR 14012-14018) and the "Guide for Setting JTPA Title II-A and Title III (EDWAA) Performance Standards for PY 1990", issued November 1990, by the U.S. DOL Office of Strategic Planning and Policy Development. To measure and achieve national goals of long-term employability and economic self-sufficiency, U.S. DOL has issued six core performance standards for PY'90 and PY'91. Although governors are required to use the six core performance measures imposed by U.S. DOL, governors are permitted, within guidelines established by U.S. DOL, to adjust national standards in setting the performance expectations for the SDAs. In light of this flexibility the State of Illinois has developed performance standards models based on statewide data. The performance standards are based on statistical planning models which use multiple regresssion techniques to predict expected performance of SDAs for each measure of performance. The models adjust for local economic conditions and the characteristics of the participants served by the SDA. The weighted values in the model have been based on prior performance of the JTPA. Application of the adjustment models result in a singular performance expectation (model adjusted value) for each of the performance measures. The six core performance measures used for program evaluation are as follows:

1. Adult

A) Follow-up Employment Rate (AFER) – Total number of adult respondents who were employed (full-time or part-time) during the 13th full calendar week after termination, divided by the total number of adult respondents (i.e., terminees who completed follow-up interviews).

B) Adult Weekly Earnings at Follow-up (AFEARN) – Total weekly earnings for all adult respondents employed during the 13th full calendar week after termination, divided by the total number of adult respondents employed at the time of follow-up.

2. Welfare

A) Welfare Follow-up Employment Rate (WFER) – Total number of adult welfare respondents who were employed (full-time or part-time) during the 13th full calendar week after termination, divided by the total number of adult welfare respondents (i.e., terminees who completed follow-up interviews).

B) Welfare Weekly Earnings at Follow-up (WFEARN) – Total weekly earnings for all welfare respondents employed during the 13th full calendar week after termination, divided by the total number of welfare respondents employed at the time of follow-up.

3. Youth

A) Entered Employment Rate (YEER) – Number of youth who entered employment at termination divided by the total number of youth who terminated excluding those potential dropouts who are reported as remained in school (did not also enter employment) and dropouts who are reported as returned to school (did not also enter employment).

B) Employability Enhancement Rate (YEEN) – Number of youth who attained one of the employability enhancements at termination, whether or not they also obtained a job divided by the total number of youth who terminated. Youth Employability Enhancements are:

i) Attained (two or more) PIC-Recognized Youth Employment Competencies;

ii) Returned to Full-Time School;

iii) Remained in School;

iv) Completed Major Level of Education; and

v) Entered Non-Title III Training.

b) Performance Standards Policy

1. For PY'90 the State of Illinois is adopting the six core performance standards as proposed by U.S. DOL.

2. State of Illinois models will be used for establishing the local performance standard.

3. To qualify as having met performance standards, an SDA must meet or exceed three of the four core adult follow-up measures and one of the two core youth measures.

4. SDAs which fail to meet performance standards for two consecutive years will be subject to reorganization as required by Section 106 of the Act.

5. Departure points for each measure will be based on the 25th percentile of Illinois performance. Tolerance limits will be set at the 95th percent confidence interval.

6. The Department shall establish a range of performance above and below the performance expectation generated by the adjustment model. The upper and lower limits of this range shall be determined by adding the tolerance level adjustment (negative and positive percent respectively) to the model adjusted value.

7. Definitions of "meeting", "exceeding", or "failing" the local performance standard are as follows:

A) Meet – The performance measure outcome falls within the tolerance level range band, as established when the tolerance range value is applied to the model adjusted performance standard.

B) Exceed – The performance measure outcome is greater than the upper level of the tolerance range band as established when the tolerance range value is applied to the model adjusted performance standard.

C) Failure – The performance measure outcome is less than the lower level of the tolerance range band as established when the tolerance range value is applied to the model adjusted performance standard.

8. The performance outcome as it relates to the U.S. DOL postprogram follow-up measures may be adjusted upward or downward depending on calculation of the nonresponse bias adjustment. The nonresponse bias adjustment is required when the difference in follow-up response rates between those terminees who were employed and those who were not employed at termination exceeds five percentage points. The adjustment for nonresponse bias applies to each of the two samples required for Title IIA postprogram follow-up data collection: Adults and Adult Welfare. If the difference between the response rates is five percentage points or less the nonresponse bias adjustment will not be invoked.

9. The end of the year performance standard calculated for each SDA will be used to assess the performance outcome for that program year. The performance assessment will be based on the actual performance outcome (see subsections (b)(7)(A-C)), or in the case of the U.S. DOL follow-up measures, on the adjusted outcome (if appropriate) (see subsection (b)(8)). This performance assessment will form the basis for identification of SDAs requiring technical assistance/corrective action and those SDAs qualifying for incentive bonus awards as described in subsections (b)(3) and (4) above.

10. A minimum model adjusted standard of 0.0% and a maximum model adjusted standard of 100.0% for all performance standards using percentage rate as an outcome is established.

c) Award of Incentive Grants

1. The total amount of funds available will be determined by taking

A) 75% of the total 6% allotment for the current program year;

B) plus those 6% funds not allocated for incentive grants from the prior year;

C) plus the unused portion of the funds set aside for technical assistance from the prior year;

D) plus any deobligated funds from the prior year.

2. To qualify to receive an incentive award, an SDA must first meet or exceed the standard for at least three of the four adult follow-up core measures and one of the two youth core measures as described in subsection (b) of this Section. A qualifying SDA is then eligible for an incentive award if it exceeds any one of the six core measures and will receive an additional award for each measure based on the degree to which performance exceeded the upper band of the tolerance level.

3. New PY'90 incentive funds will be divided into two portions as follows:

A) One-third will be allocated among those SDAs qualifying to receive an incentive award as described in subsection (c)(2) above. The amount of this award will be based on each qualifying SDA's share of the Title IIA allocation formula (see Section 2610.30) relative to all qualifying SDAs.

B) Two-thirds will be allocated among qualifying SDAs that exceeded one or more rewarded measures based on the number of rewarded measures exceeded and the extent to which each performance exceeded the standard. This amount will be divided equally into six shares with one share associated with each measure. Each of these six shares is further divided into levels. The allocation of funds at each level will be based on the qualifying SDA's relative share of the JTPA Title IIA allocation formula applied against each level of available funds for each measure exceeded. These levels are as follows:

Degree to which performance exceeded the standard

Percentage of incentive grant funds available

0% - 9.99%

60%

10% - 14.99%

15%

15% - 19.99%

15%

20% and above

10%

C) A Follow-Up Response Rate Adjustment Assessment will be implemented and applied to the incentive bonus earned for each of the four follow-up measures. The Response Rate Adjustment Assessment is designed to reward the SDAs with above minimum (70% and above) follow-up response rate performance while penalizing those SDAs with below minimum (less than 70%) follow-up response rate performance. A graduated penalty will be assessed on the incentive earned for each follow-up measure for those SDAs with response rates below 70%. The total dollar amount of the penalties will then be distributed (based on Title IIA allocation %) to those SDAs with response rates at 70% and above for all categories.

i) The Response Rate Adjustment Assessment Table for Employed is as follows:

Employed at Termination Category Response Rate

Assessment

70% and >

0

60% - 69.99%

-5%

50% - 59.99%

-15%

40% - 49.99%

-25%

< 40%

-50%

ii) The Response Rate Adjustment Assessment Table for Unemployed is as follows:

Unemployed at Termination Category Response Rate

Assessment

70% and >

0

60% - 69.99%

-5%

50% - 59.99%

-15%

40% - 49.99%

-25%

< 40%

-50%

D) Unallocated incentive grant funds, unused technical assistance funds, and deobligated funds carried over from prior years will be awarded to qualifying SDAs based on the methodology described in subsection (c)(3)(A).

E) The sum of the amounts determined to be awarded from the funds distributed under subsections (c)(3)(A), (B), and (C) will equal the total incentive grant for the SDA.

History

• Source: Amended at 15 Ill. Reg. 10386, effective July 1, 1991

56 Ill. Adm. Code 2610.110 Complaint Procedures

Grievance procedures shall be established in accordance with Section 144 of the Act, and 20 CFR 629.52 - 629.53 (revised as of April 1, 1990). These procedures will be referred to as "Complaint Procedures".

a) Grantees under the Act shall maintain a complaint procedure for resolution of any grievance or complaint about its programs and services from applicants, participants, subgrantees, subcontractors, staff and other interested persons.

b) All persons who are program applicants, participants or staff under the Job Training Partnership Act (JTPA), all contractors and grantees, and subrecipients thereof, of JTPA funds, and all interested persons shall be afforded the opportunity to resolve, by means of an administrative process, any alleged violation of the Act, federal regulations promulgated pursuant thereto, any grant, contract or other agreement entered into pursuant to the Act. Various types of complaints, as outlined in subsections (b)(1), (2), and (3), may be filed. Time limits are measured in calendar weeks (seven consecutive days). A time limit begins when the person responsible for a specific step receives the necessary information regarding the complaint. Time limits have been established to ensure both expeditious resolution of complaints, and to provide the necessary time for adequate review of all appropriate material. Should an aggrieved person(s) or entity neglect to adhere to the time requirements set throughout this procedure, the aggrieved party(ies) are considered to have abandoned their complaint and the matter shall be considered resolved. In turn, failure by management to render a decision within the allotted time at any step constitutes denial and the complainant may proceed to the next step.

1. Civil Rights Complaints – If a complaint concerns civil rights discrimination on the basis of race, color, national origin, age, sex, religion, political affiliation or belief, or, as appropriate, citizenship, as defined by Section 2610.120(b)(1), the complaint shall be filed with the U.S. Department of Labor (DOL), Directorate of Civil Rights (DCR) (200 Constitution Avenue, N.W., Room N4123, Washington, D.C. 20210) under the appropriate equal opportunity and nondiscrimination requirements applicable to the Act. Complaints must be filed not later than one hundred eighty (180) days from the date of alleged discrimination. In complaints of this nature, no entity shall attempt to prevent or dissuade the complainant from filing such a complaint and no attempt shall be made to informally resolve the complaint (29 CFR 31.7, revised as of July 1, 1989).

2. Handicap Complaints – If, however, a complaint alleges discrimination on the basis of handicap, as defined by Section 2610.120(b)(3) and (6), the complaint shall be filed with the Department. Complaints alleging discrimination on the ground of handicap in violation of Section 167 of the Act shall be filed and processed under the procedures outlined in the DOL's current regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 CFR 32.45 (revised as of July 1, 1989). Complaints filed with the Department must be filed no later than one hundred eighty (180) days from the date of alleged discrimination. If the complaint is not ameliorated to the complainant's satisfaction under the state's complaint procedure within sixty (60) days from the date of filing, the complainant, or his or her representative, may request to have the complaint independently reviewed through an independent state review. An Independent State Review is a process in which testimony, hearing documents, and other applicable records are reviewed by an Independent Review Officer when an appeal is made after the State level hearing. The Independent Review Officer shall be an attorney licensed to practice law in Illinois under Article VII of the Illinois Supreme Court Rules. In complaints of this nature, no entity shall attempt to prevent or dissuade the complainant from filing such a complaint.

3. Other Complaints – Complaints of any other nature, not related to civil rights discrimination or handicap discrimination, shall be filed at the local level within one year of that alleged occurrence (see Section 144(a) of the Act). However, this one-year limitation does not apply if the complaint concerns fraud or criminal activity, which must be reported directly and immediately to the DOL (20 CFR 629.55, revised as of April 1, 1990). All persons who are program applicants, participants and staff under JTPA, all contractors and grantees, and subrecipients thereof, of JTPA funds, and all interested persons shall be afforded the opportunity to resolve by means of administrative process any alleged violation of the Act, federal regulations promulgated pursuant thereto, any grant, contract or other agreement entered into pursuant to the Act.

c) Complainants shall not be punished or penalized for the filing of a complaint under JTPA. The Department and the DOL shall not disclose the identity of any person who has furnished information or assistance in the investigation of a JTPA violation except to the extent necessary to carry out the purposes of 29 CFR 31, including the conduct of any investigation, hearing, or judicial proceeding arising thereunder, nor may any person or organization or agency discharge or in any way discriminate or retaliate against any person for the filing of a complaint or the rendering of testimony in any proceeding or investigation (Section 164(g) of the Act).

d) Informal Resolution – Nothing in the state or federal statute or regulations precludes the use of informal mechanisms for the resolution of all complaints and prospective complaints under subsections (b)(2) and (3). Complainants shall be encouraged, but not required, to informally resolve complaints.

1. Applicants, participants, subgrantees, subcontractors, staff and other interested persons, hereto referred to as the complainant, shall first provide oral or written notification to the Grant Recipient's or Administrative Entity's Equal Opportunity Officer (EO Officer) when filing a complaint. Complainants shall be advised of their right to have the complaint resolved, either informally or through a formal written complaint.

2. Upon receipt of a complaint, the EO Officer will log, investigate and review the allegation prior to a pre-hearing conference so that an appropriate resolution can take place at the time of the meeting.

3. Prior to the commencement of investigation, pre-hearing conference, or hearing activities conducted by the SDA/SSA, attempts shall be made to resolve a complaint with the involved supervisor, instructor, and employer's/training agency's complaint procedures. A complaint shall not be considered formally lodged with the SDA/SSA until these mediation efforts have been exhausted or when the complainant notifies the SDA/SSA that he or she will not be using the informal resolution process.

4. This pre-hearing conference shall be held within five (5) days from the date of receipt of the complaint. If no resolution occurs at the pre-hearing conference, the EO Officer shall forward to the complainant and other involved parties a report outlining his/her decision on the issues within five (5) days of the pre-hearing conference. The complainant has five (5) days following receipt of the findings of the pre-hearing conference in which to file a written request for a formal hearing.

e) Formal Resolution.

1. Formal complaints may be filed for the types of complaints outlined in subsections (b)(2) (at the state level) and (3) (at the local level). A formal complaint shall be filed by submitting the State of Illinois Job Training Partnership Act Complaint Form. Upon request, the EO Officer of the Grant Recipient or Administrative Entity shall assist the complainant in filing a written complaint.

2. The complaint form shall include the following information:

A) grantee's name and address;

B) complainant's name, address, work and home phone numbers;

C) JTPA office (service provider);

D) status of complainant (i.e., employee, applicant, participant, other);

E) name and telephone number of organization represented;

F) respondent's name, address, and telephone number;

G) status of respondent (i.e., service provider, SDA administrative entity, SDA grant recipient, private employer, PIC);

H) nature of complaint alleged (i.e., sexual harassment, handicap, JTPA law, JTPA regulation, JTPA related, non-JTPA related (specify), race, color, sex, age, religion, national origin, political affiliation or belief, citizenship);

I) type of program (i.e., IB, IIA, IIB, III, other (specify));

J) whether a charge has been filed with: the Illinois Department of Rehabilitation Services, the Illinois Department of Human Rights, the U.S. DOL/DCR, and/or the U.S. Equal Employment Opportunity Commission;

K) date(s), time(s) and place(s) alleged violation occurred;

L) date and manner in which the complaint was presented to immediate supervisor (oral/written);

M) dated signature of immediate supervisor acknowledging discussion of complaint;

N) whether an attempt has been made to resolve the complaint;

O) facts concerning alleged complaint, including: pertinent dates; names and titles of those involved; details of how person(s) were treated differently from complainant; written documentation/material to support complaint; provisions of the Act, regulations, grant, contract, or other agreements under the Act believed to have been violated;

P) remedy sought by complainant; and

Q) dated signatures of complainant, JTPA EO Officer, and Executive Director.

f) Hearing Activities.

1. Request for a Hearing at the Local Level – Upon receipt of the written request, the SDA/SSA shall appoint an impartial Hearing Officer to hear the complaint. All Hearing Officers shall possess knowledge and information regarding the JTPA rules and applicable laws and shall be selected on the basis that current oversight responsibility does not include that of the SDA/SSA. The Hearing Officer shall schedule a hearing to convene within thirty (30) calendar days of receipt of a written complaint. Written notification shall be sent by the Hearing Officer to all parties stating the date, time and place of the formal hearing and the issues to be heard. A follow-up notice shall be sent to all parties five (5) days prior to the date the hearing is scheduled to confirm the appointment.

2. Request for a Hearing at the State Level – Upon receipt of the written request, the Department shall appoint an impartial Hearing Officer to hear the complaint. All Hearing Officers shall possess knowledge and information regarding the JTPA rules and applicable laws. Hearing Officers appointed by the Department shall be attorneys licensed to practice law in Illinois under Article VII of the Illinois Supreme Court Rules. The Hearing Officer appointed shall conduct the hearing on the issue(s) and render an independent decision. The Hearing Officer shall schedule a hearing to convene within thirty (30) calendar days of receipt of a written complaint. Written notification shall be sent by the Hearing Officer to all parties stating the date, time and place of the formal hearing and the issues to be heard. A follow-up notice shall be sent to all parties five (5) days prior to the date the hearing is scheduled to confirm the appointment.

3. Conduct of Hearing

A) Complainants and respondents shall make every effort possible to be present at the hearing. However, if they are unable to be present, a forty-eight (48) hour prior written notice must be given to the Hearing Officer. In the event circumstances arise prior to the hearing which, in the opinion of the Hearing Officer, are such as to be beyond the reasonable control of the complainant or respondent and prevent their attendance at the hearing, the Hearing Officer shall reschedule the proceedings. Examples of factors beyond reasonable control may include but are not limited to:

i) Serious illness of the complainant or respondent or member of their immediate family.

ii) Hazardous weather restricting travel to the hearing site.

B) If the Hearing Officer determines that the complainant's or respondent's failure to attend the hearing is not beyond his or her reasonable control, the hearing shall be held in his or her absence. The rules of evidence for contested cases, set forth in Section 10-40 of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1010-40), shall be followed in connection with each hearing. All parties involved shall have the right to be accompanied by an attorney or other duly authorized representative; and the right of presenting any witness(es) or to introduce any evidence desired, subject to the approval of the Hearing Officer. The complainant shall be permitted access to SDA/SSA files which would be germane to the complainant's allegations. Complainants may be questioned and may also question any of the parties or witnesses at the hearing.

4. Hearing Officer's Decision - A written decision shall be prepared and distributed by the Hearing Officer to the complainant and all parties who attended the hearing within sixty (60) days of the filing of the complaint. The conclusions or opinions of the decision shall be based upon facts and evidence presented during the hearing. The decision of the Hearing Officer shall contain a statement of the issues; synopsis of facts; a statement of reasons for the decision; remedies; and an aggrieved party's right to appeal the decision. All correspondence shall be mailed certified with a return receipt requested.

g) Appeal of the Decision.

1. Appeal of Decision When Complaint is Filed at Local Level

A) If an aggrieved party is not satisfied with the decision of the Hearing Officer, or the decision is not received within sixty (60) days of filing the complaint, an aggrieved party may request a Department review of the complaint. Appeals shall be addressed to the Department's Equal Employment Opportunity/Affirmative Action (EEO/AA) Office. Upon submittal to the Department, all supporting documentation shall be attached to all appeals. An appeal shall be filed within ten (10) days of receipt of the adverse decision or ten (10) days from the date on which the decision should have been received from the Hearing Officer. Appeals shall be submitted on the State of Illinois Job Training Partnership Act Appeal Form and shall contain the following information: complainant's name and address; respondent's name and address; nature of complaint; remedy sought; and answers to questions which address the following areas: informal resolution, request for hearing, conduct of hearing, Hearing Officer's decision, appeal of decision, dated signature of aggrieved party.

B) If an aggrieved party does not appeal to the Department or the appeal is not timely made, the decision of the Hearing Officer shall be considered final. The Department's Legal Office shall be responsible for determining whether the complaint being appealed is a complaint filed pursuant to Section 144(a) of the Act or is an appeal based on civil rights discrimination. If the Legal Office determines that the complaint being appealed concerns discrimination on the basis of race, color, national origin, age, sex, religion, political affiliation or belief, or, as appropriate, citizenship, the aggrieved parties shall be advised to file their appeal directly with the DCR of the DOL under the appropriate equal opportunity and nondiscrimination requirements applicable to the Act. The Department shall conduct a review of all other types of complaints and issue a decision within thirty (30) days from the date of receipt of the appeal request. The decision rendered by the Department's Legal Office (on behalf of the Governor) shall be final.

C) If the Department fails to issue a decision within thirty (30) days from the date of receipt of the appeal, an aggrieved party may request a determination from the Secretary of the U.S. DOL (Secretary), where reasonable cause exists to believe that the Act or regulations have been violated. The request for a determination shall be submitted to the Secretary within ten (10) days of the date on which the Department's decision should have been issued. In accordance with 20 CFR 629.52(d)(2) (revised as of April 1, 1990), the Secretary shall act within ninety (90) days and, as appropriate, direct the Department to take further action pursuant to state and local procedures, where there is reasonable cause to believe the Act or regulations have been violated.

2. Appeal of Decision When Complaint is Initially Filed at State Level

A) If an aggrieved party is not satisfied with the decision of the Hearing Officer, or the decision is not received within sixty (60) days of filing the complaint, an aggrieved party may request to have the complaint independently reviewed. The Department shall provide for the Independent State Review by an Independent Review Officer. If an aggrieved party files an appeal, all supporting documentation shall be attached to the appeal.

B) The appeal shall be filed within ten (10) days of receipt of the adverse decision or ten (10) days from the date on which the decision should have been received from the Hearing Officer. If an aggrieved party does not appeal under the independent review process or the appeal is not timely made, the decision of the Hearing Officer (on behalf of the Governor) shall be final. A decision based on the Independent State Review shall be issued within thirty (30) days from the date of receipt of the complaint appeal request. The decision rendered by the Independent Review Officer (on behalf of the Governor) shall be final.

C) If the Independent Review Officer fails to issue a decision within thirty (30) days from the date of receipt of the appeal, an aggrieved party may request a determination from the Secretary as to whether there is reasonable cause to believe that the Act or regulations have been violated. The request for a determination shall be submitted to the Secretary within ten (10) days of the date on which the Independent Review Officer's decision should have been issued. In accordance with 20 CFR 629.52(d)(2) (revised as of April 1, 1990) of the JTPA regulations, the Secretary shall act within ninety (90) days and, as appropriate, direct the Department to take further action pursuant to state and local procedures, where there is reasonable cause to believe the Act or regulations have been violated.

History

• Source: Amended at 15 Ill. Reg. 13137, effective August 27, 1991

56 Ill. Adm. Code 2610.120 Nondiscrimination

a) Equal Employment Opportunity – Grantees shall comply with the equal employment provisions of Section 167 of the Act, and 20 CFR 629.3 (revised as of April 1, 1990).

b) Discrimination – Grantees shall refrain from unlawful discrimination in employment and shall undertake affirmative action to assure equality of employment opportunity and eliminate the effects of past discrimination in accordance with the Illinois Human Rights Act (Ill. Rev. Stat. 1989, ch. 68, pars. 1-101 et seq.). The following laws shall be complied with concerning discrimination:

1. Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d - 2000d-7);

2. The Age Discrimination Act of 1975 (42 U.S.C. 6102);

3. Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794);

4. Title IX of the Education Amendments of 1972 (20 U.S.C. 1681 et seq.);

5. Section 167 of the Job Training Partnership Act of 1983 (29 U.S.C. 1501);

6. U.S. DOL Regulations at 29 CFR 31 (revised as of July 1, 1989) and 29 CFR 32 (revised as of July 1, 1989);

7. 20 CFR 629.3 (revised as of April 1, 1990);

8. The Illinois Human Rights Act (Ill. Rev. Stat. 1989, ch. 68, pars. 1-101 et seq.); and

9. The Civil Rights Restoration Act of 1987 (P.L. 100-259, effective March 22, 1988).

c) Civil Rights – JTPA grantees are responsible for acquiring and forwarding a quarterly report on civil rights complaints to the Department. The Department is responsible for forwarding a summary report to the Illinois Job Training Coordinating Council, or a committee of the Council assigned the responsibility of performing the duties specified in Section 4 of the Illinois Job Training Coordinating Council Act (Ill. Rev. Stat. 1989, ch. 48, par. 2104).

History

• Source: Amended at 15 Ill. Reg. 13137, effective August 27, 1991

56 Ill. Adm. Code 2610.130 Reports and Recordkeeping Requirements

a) Record Retention Requirements

1. All grantees shall adhere to the provisions contained in the Regulations of the Local Records Commission (44 Ill. Adm. Code 4000) and the Local Records Act (Ill. Rev. Stat. 1991, ch. 116, par. 43.102 et seq.), if applicable.

2. All other grantees not subject to the Local Records Act and regulations referenced in subsection (a)(1) shall apply to the Department for authority to destroy records relating to JTPA grants. In determining whether to approve such application, the Department shall consider whether the records are necessary for ongoing monitoring purposes, whether the records are necessary for Department compliance with federal regulations, and whether the records have any other administrative, legal or fiscal value to the JTPA program.

3. Additionally, the provisions of the 20 CFR 629.35 (April 1, 1991) are applicable.

b) Management Information System – In accordance with the requirements of Section 165 of the Act, the Department shall develop and implement a statewide Management Information System (MIS).

1. All participant-serving grantees under the Act shall participate in the Department's MIS and provide to the Department and maintain in document files for each participant, information elements as specified in subsections (c) and (d) of this Section.

2. The statewide MIS shall be an automated system for the collection, processing and reporting of information on participants relating to eligibility determination, demographic characteristics, performance measures (pre- and post-program outcomes), employability, participation in activities and services under the Act, termination, and follow-up.

3. The system shall collect required expenditure reports as specified in subsection (e) of this Section.

4. The Department shall install telecommunications lines and remote data entry equipment where such is required to support collection of the information requirements as specified in this Part. The determination regarding need for equipment will be based primarily on the number of participants to be served.

5. Standardized instructions and data collection and data entry forms shall be issued by the Department, consistent with the information requirements as specified in this Part.

6. Participant-serving grantees shall enter all participant transactions into the statewide MIS no more than thirty calendar days after each transaction. Participant transactions are defined as those events and information which are recorded on the forms as specified in subsections (c) and (d) of this Section.

7. The Department will utilize participant information and expenditure information (e.g., information specified in subsections (c), (d), (f), and (g) of this Section) entered into the MIS by the thirtieth day of the month following the end of each quarter for the following purposes:

A) Production of monitoring and assessment reports.

B) Calculation of performance standards and outcomes.

C) Determination of incentive bonus awards.

D) Determination of expenditure levels, deobligation and reallocation of funds.

c) Participant Record Requirements - Participant record requirements shall be promulgated in order for the Department to comply with the following Sections of the Act: 108 (b)(3); 121 (c)(3); 123 (c)(1); 123 (c)(3); 124 (d); 141 (e); 141 (k); 165; 167 (a); 203; 204 (11); 205 (b)(1); 205 (c); 205 (d); 253; 302 (a); and 504. Each participant-serving grantee under the Act shall collect and retain file documentation for each participant as specified in this Section. Each participant-serving grantee shall collect and maintain file documentation sufficient to verify the eligibility of individuals for participation in titles and programs under the Act. This type of documentation consists of the applicant record (i.e., application form, work history, family income statement, eligibility certification checklists), documents verifying elements of the applicant record which pertain to eligibility (for example, tax returns, check stubs, statements from government agencies indicating eligibility for public assistance), and verification of collateral contact (for example, records of SDA employee conversations with third parties). Grantees shall not be required to maintain a work history form for youth enrolled in programs authorized under Section 251 of the Act (29 U.S.C 1631). The Department shall issue standardized forms and procedures for the collection and retention of each element of the participant record, including a technical assistance guide. Participant record requirements shall be consistent with the MIS requirements under subsection (b) of this Section. The specific elements of the participant record are as follows:

1. JTPA Application Information

A) Identification Data

i) Service Delivery Area/ Substate Grantee

ii) Client ID

iii) Application Date

iv) Determination of Client Application Status

v) Name

vi) Address (Street, City, State, Zip Code and County)

vii) Telephone Number

B) Demographic/Descriptive Data

i) Sex

ii) Date of Birth

iii) Age

iv) Ethnic Group: White (Not-Hispanic); Black (Not-Hispanic); Hispanic; Asian/Pacific Islander; or American Indian/Alaskan Native

v) Education Status: High School Dropout; Student (High School or Less); High School Graduate (or GED); Post High School Education; or College Graduate

C) Eligibility Determination and Documentation Data

i) Single Head of Household with Dependent Children (Yes/No)

ii) Displaced Homemaker

iii) Authorized to Work in U.S.: Not Authorized; U.S. Citizen; Registered Alien/Refugee

iv) Selective Service Registrant Compliance

v) Barriers to Employment: At Risk of Dropping Out of School; Limited English Proficiency; Pregnant/Parenting Teen; Handicapped; Older Worker; Veteran; Vietnam-Era Veteran; Offender; Substance Abuser; or Other (Specify)

vi) Economically Disadvantaged (Yes/No): Meets Income Criteria; Welfare Recipient; Foster Child; Food Stamp Recipient; or Homeless

vii) Family Income

viii) Number in Family

ix) Enrolled Under 10% Criteria (Yes/No)

x) Type of Welfare Received (Yes/No): AFDC; JOBS Program Participant; General Assistance; Refugee Assistance; or SSI ( Social Security Act Title XVI)

xi) Highest School Grade Completed

xii) Part-time Student

xiii) Educational Achievements: Student Meeting Attendance/Achievement Levels; Student Not Meeting Attendance/Achievement Levels; or High School Graduate with Educational Deficiencies

xiv) Post High School Plans: Plan to Enter Full-Time Labor Market or Plan to Continue with Post Secondary Education

xv) Employment Experience (Yes/No): Completed Equivalent of Pre-Employment Skills Training or Received Paid Employment No Greater than 250 Hours

xvi) Client Determined Eligible for Program (Yes/No): Title IIA, Adult/Youth Training Program; Title IIA, Education for Employment; Title IIA, Entry Employment Experience; Title IIA, School to Work Transition; Title IIA, Limited Work Experience; Title IIA, Pre-Employment Skills/Training; Title IIA, Try-out Employment; Title IIB, Summer Youth Program; Title IBE, Section 123 (82 Program); or Title IBO, Section 124 (Older Workers)

xvii) Termination/Laid Off from Employment: Terminated or Laid Off; Received Notice of Termination or Layoff; Terminated As a Result of Plant Closure; Receive Notification of Termination as a Result of Plant Closure; or None of Above

xviii) Termination or Notification Date

xix) Primary Occupation Standard Occupational Classifications (SOC) Codes

xx) Hourly Wage of Dislocation Job

xxi) Total Months Employed in All Previous Primary Occupation(s)

xxii) Months Since Last Employed in Last Previous Primary Occupation

xxiii) Weeks Unemployed (Since Any Employment)

xxiv) Documented Job Search Criteria Met (Yes/No)

xxv) Weeks Unemployed (Out of Last 20 Weeks)

xxvi) Enrolled in Title III and/or III D as of June 30, 1989

xxvii) Self-Employed

xxviii) Certificate of Continuing Eligibility Redemption

xxix) Client Eligibility for Title III, Dislocated Worker Training Assistance (Yes/No)

xxx) Dislocation Event ID

D) Programmatic Data

i) Referral Sources

ii) Transfer from Other JTPA Title (Yes/No)

E) Performance Assessment Data

i) Labor Force Status: Unemployed; Employed; Not in Labor Force; Unemployed 15 or More Weeks of Prior 26 Weeks

ii) Unemployment Compensation Status: Eligible for Benefits; Receiving Benefits; or Exhausted Benefits

iii) Minimal Work History

iv) SOC Codes of Previous Occupations

v) Months Received AFDC (Last 30 Months)

F) Certification and Recertification Signature: Signature of Applicant; Signature of Parent or Guardian (If Applicable); Relationship to Applicant; Signature of Interviewer; and Dates

2. Supplemental/Optional Record

A) Supplemental Data

i) Referral to Other Agency (Yes/No)

ii) Name of Agency to Which Referral Was Made and Date of Referral

iii) Reading Grade Level, Test Date and Deficiency Rating (Yes/No)

iv) Mathematics Grade Level, Test Date and Deficiency Rating (Yes/No)

v) Current School Grade Level/Highest School Grade Completed

vi) Youth Competency Skill Area Deficiencies: Pre-employment/Work Maturity; Basic Educational Skills; Job Specific Skills

vii) Certificate of Continuing Eligibility Issued (Yes/No)

viii) Concurrent Participation Needed (Yes/No – Not Determined)

B) Optional Data

i) Benefit Rating

ii) Need Rating

iii) Ward of State (Yes/No)

iv) Migrant Worker (Yes/No)

v) User Application Fields

vi) User Target Population Fields

C) Collateral Contacts (Optional)

i) Contact Name

ii) Contact Address (Street, City, State, Zip Code)

iii) Telephone Number

iv) Relationship to Client

3. Training/Services Record

A) Identification Data

i) Service Delivery Area/ Substate Grantee

ii) Client ID

iii) Application Date

iv) JTPA Title

v) Client Name

B) Training/Service Code

i) Training/Service Code

ii) Sequence Number

iii) Service Provider

iv) Grant Number

v) Sent to Other Provider (Yes/No)

vi) Planned Start Date

vii) Actual Start Date

viii) Planned End Date

ix) Actual End Date

x) SOC Code

xi) Classification of Industrial Program (CIP) Code

xii) Try-Out Employment Site

xiii) Hourly Wage

xiv) Scheduled Hours

xv) Cumulative Hours

xvi) Cumulative Hours Override

xvii) Successfully Completed (Yes/No)

xviii) Training/Service Type

xix) Non-JTPA Training/Service

C) Signatures

i) Signature of Individual Completing Form

ii) Date

4. Termination Record

A) Identification Data

i) Service Delivery Area/ Substate Grantee

ii) Client ID

iii) Application Date

iv) JTPA Title

v) Client Name

B) Termination Data

i) Termination Date

ii) First Termination Reason: Entered Employment (i.e., Entered Unsubsidized Employment, Entered Registered Apprenticeship Program, Entered Armed Forces, Recalled, Continued Unsubsidized Employment, Entered Employment After Relocation, or Remained With the Layoff Employer); Youth Employability Enhancements/Adult Skill Attainment (i.e., Entered Non-Title II Training, Returned to Full-Time School (Youth Only), Completed Major Level of Education; Attained Youth Competencies (Youth Only); Attained Adult Employability Skill (Adult Only); Remained in School (Youth Only); and Other (i.e., Continued as Full-Time Student, Ineligible, Dropout, Program Ended, Entered Non-JTPA Training, or Other Reason)).

iii) Second Termination Reason (Title IIA Adult/Youth Only): Youth Employability Enhancements/Adult Skill Attainment (i.e., Entered Non-Title II Training, Returned to Full-Time School (Youth Only), Completed Major Level of Education, Attained Youth Competencies (Youth Only), Remained in School (Youth Only), Attained Adult Employability Skill (Adult Only)).

iv) Youth Competency/Adult Skill Attainment (i.e., Pre-employment/Work Maturity Skills (Yes/No) and Date, Basic Education Skills (Yes/No) and Date, and Job Specific Skills (Yes/No) and Date).

v) Exit Grade Level, Reading and Math Skills

vi) Principal Service Provider

vii) Principal Activity

viii) Hired at Try-Out Employment Site: Yes; No; or Not Applicable

ix) Attained GED Upon Training Completion (Yes/No)

C) Employment Information

i) Employment Start Date

ii) Training Related

iii) Job Title Description

iv) SOC Code

v) Hourly Wage

vi) Scheduled Weekly Hours

vii) Employer

viii) Street and City Address of Employer

ix) State and Zip Code of Employer

x) Telephone Number

xi) Standard Industrial Classification (SIC) Code

xii) Contact

D) Signatures

i) Signature of Individual Completing Form

ii) Date

5. Provider Data

A) Identification Data

i) Service Delivery Area/ Substate Grantee Code

ii) Service Provider ID

iii) JTPA Title

B) Level 1 and 2 Provider Information

i) Name

ii) Street Address

iii) State and Zip Code

iv) County

v) Allowable Training Activities/Services

C) Level 2 Provider Information

i) CIP Codes

ii) SOC Codes

d) Participant Follow-Up Data Collection Requirements - In accordance with the requirements of Sections 106 and 165 of the Act, and the Annual Status Report for Title IIA and Title III programs effective July 1, 1986, the Department shall develop and implement a participant follow-up data collection system. The Economic Dislocation and Worker Adjustment Assistance (EDWAA) Act (Title VI, Subtitle D, of the Omnibus Trade and Competitiveness Act of 1988) (29 U.S.C. 1651 et seq.) revised Title III of the JTPA but also requires that each program (SSA, Governor's Reserve, Secretary's National Reserve) be responsible for participant follow-up. The purpose of this system is to collect and report to the U.S. DOL selected post-program data which will be used by the Secretary of Labor to support performance standards. In order to implement these measures, grantees will be required to collect and report to the Department post-program data items for terminees as specified in this Part. The major elements of this system are as follows:

1. Outcome Measures - The post-program data collection requirements are based on the following outcome measures which together describe the labor market experiences of program terminees for the 13 week period after program termination:

A) The employment rate during the 13th full calendar week after program termination.

B) The average gross weekly earnings of terminees employed during the 13th full calendar week after program termination.

C) The average number of weeks employed during the 13 post-program weeks.

D) The average hourly wage of those employed during the 13th full calendar week after program termination.

2. Post-Program Timing

A) Post-program data collection shall commence for participants terminating on or after July 1, 1986 (July 1, 1989 for EDWAA terminees).

B) Follow-up data shall be collected for the 13th full calendar week following termination from the program.

C) Post-program data shall be collected for terminees whose 13th post-program week ends during the program year.

D) Follow-up interviews of terminees shall commence during the first week of October 1986 (first week of October 1989 for EDWAA terminees).

E) Data collection is limited to a four week period from the 14th to the 17th week following termination. Follow-up may occur during the 18th week only when the terminee is located before the end of the 17th week.

3. Interview Group Selection

A) Title IIA grantees must collect follow-up data for two groups: adults and adult welfare recipients.

B) Title III and EDWAA grantees must collect follow-up data for all terminees.

C) The size of each of the above groups to be interviewed shall be determined by the number of planned terminees from each group during the period for which post-program data will be collected.

D) If the number of planned terminees in any of the interview groups is equal to or less than 137, each terminee from that group must be included in the data collection effort. If the number of planned terminees exceeds 137, data on a sample of terminees may be collected.

E) If sampling is used as a basis for determining which terminees will be interviewed, the sample must be as large as the minimum sample sizes specified by the U.S. DOL Employment and Training Administration in federal regulations issued May 16, 1990 (55 FR 20342). Samples must be drawn independently for each interview group and must be random.

F) If samples are used, an individual sample is required for each SSA, while statewide samples are required for statewide and national reserve reports.

4. Methods for Terminee Contact

A) The follow-up data must be gathered by administering a questionnaire over the telephone or in person. Mail questionnaires may be used only in those cases where the terminee does not have a telephone or cannot be reached by telephone.

B) Contact must be made with the terminee directly.

5. Interview Questions - A standard set of questions must be asked of all respondents as specified in the Exhibit of Appendix A found in U.S. DOL regulations (54 FR 9361-9362).

6. Response Rate Requirements and Non-Response Bias Adjustment –

A) A 70 percent minimum response rate is required for those who entered employment at termination and those who did not enter employment at termination for each SSA, for statewide and national reserve, for Title IIA Adults, Title IIA Adult Welfare, and Title III.

B) Prior to reporting the results of follow-up data collection to the Department, grantees must adjust for the effects of non-response bias when the difference between the response rates attained for each of the above groups exceeds five percent. The adjustment method used shall be the one provided by the U.S. DOL Employment and Training Administration in its Technical Assistance Guide for JTPA Follow-Up and Validation, issued June 1990.

7. Reporting – Data collected on clients with April 1, 1988 and later termination dates must be entered onto the JTPA II MIS.

e) Eligibility Review and Verification System - In accordance with the requirements of Section 165 of the Act and 20 CFR 629.43, effective April 15, 1983, the State shall implement an Eligibility Determination and Verification System for use by all grantees enrolling individuals under Title IIA and IIB of the JTPA. The State shall prescribe detailed instructions and forms to be used by grantees for certification of eligibility. The Eligibility Determination and Verification System shall consist of the following procedures:

1. Determination of Eligibility – Each grantee shall determine the eligibility of an applicant for JTPA titles and programs into which the applicant is to be enrolled. Grantees shall also determine the eligibility of a participant for enrollment in new JTPA programs after initial enrollment (e.g., exemplary youth programs). Enrollment into JTPA titles and programs shall be supported by documentary evidence. All documentary evidence shall be provided prior to enrollment of an applicant into JTPA or placement of a participant into a new JTPA program. Documentary evidence is defined as written confirmation of the applicant's status at the time of application. Should documentary evidence not be available, grantees may use collateral contacts (i.e., verbal confirmations) with social service and other organizations to verify the status of applicant. Grantees are required to collect documentary evidence sufficient to support:

A) the enrollment of an applicant into a Title under JTPA and,

B) the placement of a participant into a new JTPA program.

2. Documentation Requirement for U.S. Citizens and Resident Aliens – Grantees may accept self-attestation as a basis for establishing if an applicant is a U.S. citizen. The status of applicants who identify themselves as resident aliens shall be documented.

f) Financial Reporting Requirements – In accordance with the provisions of Section 164 of the Act and 20 CFR 629.35 ( April 1, 1991), each grantee under JTPA shall be required to submit expenditure reports to the Department as specified in this Part.

g) Reporting Detail

1. Expenditures shall be reported for the following categories:

A) Training

i) Employment and Training Services

ii) Academic

iii) Vocational

iv) Limited Work Experience

v) Try-Out Employment

vi) On the Job Training (OJT)

vii) Other Training

B) Participant Support

i) Limited Work Experience

ii) Services and Materials: Child Care; Transportation; or Other Services and Materials

iii) Work Experience

iv) Needs-Based Payments

v) Other Participant Support

C) Administration

i) Salaries and Wages

ii) Staff Fringe Benefits

iii) Facility Cost

iv) Staff Travel

v) Equipment

vi) Indirect Cost

vii) Other Direct Costs

viii) Employment Generating Activities (EGA)

ix) Private Industry Council (PIC Cost) (Cost not described elsewhere in administrative cost line items)

x) Other

2. Reporting Level – An expenditure report detailing expenditures for Training, Participant Support and Administration (including specified subcategories) as defined in subsection(f) of this Section shall be submitted separately for Titles IIA and IIB.

3. Grantee Subgrantee Reporting

A) Grantees shall maintain expenditure information on each of their subgrantees receiving Title II funds in sufficient detail to enable the grantee to produce an expenditure report for each of their subgrantees by the following expenditure categories:

i) Training;

ii) Participant Support;

iii) Administration (in cases where the service providers are expending administrative funds); and

iv) Total expenditures.

B) This information shall be produced and transmitted to the Department upon the request of the Department.

History

• Source: Amended at 16 Ill. Reg. 17266, effective October 30, 1992

56 Ill. Adm. Code 2610.140 Administrative Requirements

All Grantees shall operate Title IIA and Title IIB programs in compliance with the Act and applicable federal rules and regulations (20 CFR 626-638 (1983)). All grantees are required to comply with the following administrative requirements.

a) Suspension and Termination

1. Suspension – If the grantee fails to comply with the special conditions and/or the general terms and conditions of the Illinois Job Training Partnership Act Grant Agreement, the Department shall, after notice to the grantee, suspend the grant and withhold further payments or prohibit the grantee from incurring additional obligations of grant funds, pending implementation of a corrective action plan accepted by the Department or a decision to terminate. The Department shall determine to allow such necessary and proper costs which the grantee could not reasonably avoid during the period of suspension provided such costs were necessary and reasonable for the conduct of the project.

2. Termination – The grant may be terminated as follows:

A) Termination Due to Loss of Funding – In the absence of federal funding, the grant will be terminated in full. In the event of a partial loss of federal funding, the Department will make proportionate partial cuts to grantees.

B) Termination for Cause –

i) If the Department determines that the grantee has failed to comply with the special conditions and/or the general terms and conditions of the grant, the Department may terminate the grant in whole, or in part, at any time before the date of completion. Circumstances which may result in the termination of a grant include, but are not necessarily limited to, the following: consistent failure to submit required reports; failure to maintain required records; failure to protect inventory; misuse of equipment purchased with grant funds; evidence of fraud and abuse; consistent failure to meet performance standards; and failure to resolve negotiated points of the agreement (i.e., narrative, number of participants to be served).

ii) The circumstances listed are explained within the subgrant agreement.

iii) The Department shall promptly notify the grantee in writing of the determination to terminate, the reasons for such termination, and the effective date of the termination. Payments made to the grantee or recoveries by the Department shall be in accordance with the legal rights and liabilities of the parties.

C) Termination by Agreement – The Department and the grantee shall terminate the grant in whole, or in part, when the Department and the grantee agree that the continuation of the program objectives would not produce beneficial results commensurate with the future expenditures of funds. The Department and the grantee shall agree upon termination conditions, including the effective date and, in the case of partial termination, the portion to be terminated. The grantee shall not incur new obligations for the terminated portion after the effective date, and shall cancel as many outstanding obligations as possible. The Department shall allow full credit to the grantee for the Department's share of the noncancellable obligations incurred consistent with the grant agreement.

b) Monitoring

1. The Department shall monitor and evaluate each grantee's program. Programs will be monitored periodically throughout the program year for compliance with Titles I and II of the Act, State Regulations (56 Ill. Adm. Code 2600, 2610, and 2630), 20 CFR 626-638 (1983), and compliance with subgrant agreements. Programs shall be evaluated to assess impact upon the target population and to determine if effective and efficient utilization of the Job Training Partnership Act funds is occurring.

2. The Department shall have access to such records as necessary to monitor and evaluate the grantee's programs.

56 Ill. Adm. Code 2610.150 Incorporation by Reference

Any incorporation by reference in this Part of the rules and regulations of any agency of the United States or of standards of a nationally recognized organization or association includes no new amendments or editions after the date specified.

History

• Source: Added at 15 Ill. Reg. 10386, effective July 1, 1991

56 Ill. Adm. Code 2610.APPENDIX A Coordination Agreement

PURPOSE STATEMENT

WHEREAS, the (Illinois Department of/AAA/Educational Institutions) __________________ and the (JTPA Entity) ________________, are agencies with the common purpose of assisting individuals who are unemployed underemployed and economically disadvantaged to obtain unsubsidized employment and thus, become self-sufficient; and,

WHEREAS, each agency specified above recognizes that a limited amount of resources is available in the area to provide programs and services to accomplish this purpose; and,

WHEREAS, each agency is committed to eliminating unnecessary duplication of programs and services, maximizing all available resources in a coordinated and integrated fashion, and providing the necessary support services to participants to ensure, to the extent possible, a positive employment and training experience;

The (Illinois Department of/AAA/Educational Institutions)____________________ and the (JTPA Entity) ________________ enter into this coordination agreement to formalize their commitment to achieving their common purpose in accordance with the procedures herein outlined.

NATURE OF AGREEMENTS

This coordination agreement is (nonfinancial/financial) in nature. (As a nonfinancial agreement it does not commit either agency to expenditure of funds to carry out these coordination activities. This agreement shall serve as the statement of work portion of the financial contract between the agencies.)

INTERAGENCY COORDINATION LIAISONS

Representing the (Illinois Department of/AAA/Educational Institutions)______________ in all routine matters regarding interagency coordination with the JTPA system will be May 7, 1991 Representing the (JTPA Entity) __________________ in all routine matters regarding interagency coordination with the (Illinois Department of/AAA/Educational Institutions) May 7, 1991 will be __________________________.

The above named designated liaisons are hereby assigned the additional responsibility for convening and hosting quarterly meetings and submitting required documentation addressed in the agreement under the topical area of joint planning.

Matters which cannot be resolved by the above designated interagency coordination liaisons will be brought to the attention of _______________with the (Illinois Department of/AAA/Educational Institutions) _________________ and _________________with the (JTPA Entity) ___________________ for resolution.

CONFIDENTIALITY OF CLIENTS

Any information concerning persons served by JTPA/(Illinois Department of/AAA/Educational Institutions) shall remain confidential. Except as may be required by state or federal law, regulation or order, the agencies agree not to release any information concerning said persons without prior written consent of the individual or, if minors, their parents or guardians and that such information will be limited to that which is necessary for the proper delivery of services.

ADMINISTRATIVE

__________________ and the ________________ agree to abide within the policies, regulations and/or procedures of each agency.

Parties to this agreement and any subgrantees/subcontractors are committed to compliance with provisions of the Civil Rights Acts of 1964 and 1966, Section 504 of the Rehabilitation Act, the Fair Employment Practices Act, and all other applicable or appropriate laws, rules, and regulations dealing with civil rights, affirmative action, handicapped, and employment practices.

This coordination agreement is representative of the commitment between the agencies represented by the signatures below to coordinate programs and services. Amendments to provisions of this agreement may be made by mutual agreement, printed revision, and dated signatures of both responsible parties or designated signators. Both parties will participate in an annual evaluation of the provisions of this agreement. Such annual evaluation may occur at the annual strategic planning meeting. This agreement and provisions will be in effect from July 1, 1990 through June 30, 1992 or until amended or modified, and may be dissolved by either party with a written notice thirty days in advance.

Designated JTPA Signator(s):

Date:

Designated Coordinating Agent(s) Signator(s):

Date:

FAILURE TO COMPLY WITH AGREEMENT TERMS

SERVICE DELIVERY AREA

The State Agency, educational institution and AAA/SDA coordination agreements specify interagency liaisons who will be the primary contacts between the coordinating agents for purposes of coordination. In the event that the interagency liaisons cannot resolve the issues which arise, the coordination agreements also identify the individuals to contact for resolution. Should the next level designees be unable to resolve the issues at hand, or bring about compliance with the terms of the coordination agreement, service delivery areas having the following procedures with which to pursue a solution to the situation:

1. Contact the central office of the state agency, including the Illinois Department on Aging with respect to the AAAs and the Illinois State Board of Education with respect to educational institutions, where compliance to the terms of the coordination agreement is not taking place and indicate both the problem area(s) and the desired solution. If the central office of the state agency concurs with the service delivery area, it can initiate whatever action is appropriate to resolve the identified problem. The service delivery area entity should allow the state agency sufficient time to investigate the situation from the local office point of view, if applicable. If no resolution has been reached, or progress toward that end made within 15 working days, the SDA can initiate "Step 2".

2. The SDA contacts the Chairperson or staff to the Coordination Committee of the Illinois Job Training Coordinating Council and explains its perception of the problem(s) encountered in obtaining compliance with the terms of the coordination agreement. A summary of the efforts to resolve the situation with the central office of the state agency shall be forwarded with any other relevant documentation to the Coordination Committee staff.

3. The staff to the Coordination Committee shall investigate the circumstances and then set up a meeting between the two disagreeing agents and the Chairperson of the Coordination Committee or designee and attempt to resolve the problem(s) within 10 working days following receipt of the documentation from the SDA.

4. If no resolution is reached at the meeting among the Coordination Committee Chair or his/her designee, the SDA and the state agency, a summary of the problem(s) and the efforts made to reach resolution shall be forwarded to the Coordination Committee in its regular mailings of meeting materials. The Coordination Committee shall review the facts and recommend a solution to the state agency and SDA at its next regularly scheduled meeting. The recommendation of the Coordination Committee shall be forwarded, in writing, to the SDA entity, the PIC, the Local Elected Officials (LEOs) and central office of the state agency within 5 working days following the meeting. If either party disagrees with the recommendation, it may appeal the decision to the Illinois Job Training Coordinating Council.

5. The IJTCC will, at its next regularly scheduled meeting following the appeal request, review all facts and allow further discussion of the outstanding issues. The IJTCC will make recommendations on the solution and forward same, in writing to the affected state agency, the Private Industry Council, the local elected official, the SDA entity and the Governor within 5 working days after the Council meeting where a decision was reached.

FAILURE TO COMPLY WITH COORDINATION AGREEMENT TERMS

STATE AGENCIES

The State Agency, educational institution and AAA/SDA coordination agreements specify interagency liaisons who will be the primary contacts between the coordinating agents for purposes of coordination. In the event that the interagency liaisons cannot resolve the issues which arise, the coordination agreements also identify the individuals to contact for resolution. Should the next level designees be unable to resolve the issues at hand, or bring about compliance with the terms of the coordination agreement, the central office of the state agency, including the Illinois Department on Aging with respect to the AAAs and the Illinois State Board of Education with respect to educational institutions, should be contacted to attempt to resolve the situation. If this fails, the state agencies/AAA/educational institutions have the following procedures with which to pursue a solution to the situation:

1. Contact the Private Industry Council and the local elected officials of the SDA where compliance to the terms of the coordination agreement is not taking place and indicate both the problem area(s) and the desired solution. If the Private Industry Council and local elected officials concur with the state agency, it will initiate whatever action is appropriate to resolve the identified problem. The state agency will allow the local partnership sufficient time to investigate the situation from the SDA point of view. If no resolution has been reached, or progress toward that end made within 15 working days, the state agency can initiate "Step 2".

2. The state agency contacts the Chairperson or staff to the Coordination Committee and explains its perception of the problem(s) encountered in obtaining compliance with the terms of the coordination agreement. A summary of the efforts to resolve the situation with the SDA and the Private Industry Council and local elected officials shall be forwarded with any other relevant documentation to the Coordination Committee staff.

3. The staff to the Coordination Committee shall investigate the circumstances and then set up a meeting between the two disagreeing agents and the Chairperson of the Coordination Committee or designee and attempt to resolve the problem(s) within 10 working days following receipt of the documentation from the state agency.

4. If no resolution is reached at the meeting among the Coordination Committee Chair or his/her designee, the SDA and the state agency, a summary of the problem(s) and the efforts made to reach resolution, shall be forwarded to the Coordination Committee in its regular mailing of meeting materials. The Coordination Committee shall review the facts and recommend a solution to the state agency and SDA at its next regularly scheduled meeting. The recommendation of the Coordination Committee shall be forwarded, in writing, to the SDA entity, the PIC, the LEOs, and central office of the state agency within 5 working days following the meeting. If either party disagrees with the recommendation, it may appeal the decision to the Illinois Job Training Coordinating Council.

5. The IJTCC will, at its next regularly scheduled meeting following the appeal request, review all facts and allow further discussion of the outstanding issues. The IJTCC will make recommendations on the solution and forward same in writing to the affected state agency, the Private Industry Council, the local elected officials, the SDA entity and the Governor within 5 working days after the Council meeting where a decision was reached.

History

• Source: Amended at 15 Ill. Reg. 7595, effective May 7, 1991

56 Ill. Adm. Code 2610.APPENDIX B Memorandums of Understanding

Section 2610.ILLUSTRATION A Memorandum of Understanding Between the JTPA Service Delivery Area and the Department of Children and Family Services

I. PURPOSE AND SCOPE

The purpose of the memorandum of understanding is to facilitate and maintain an interagency system or the coordination of services to mutual clients. This memorandum of understanding is a non-financial commitment to provide for the coordination of such services through provision for the mutual exchange of information and the referral of eligible individuals to appropriate employment and training programs and supportive services between the SDA, regional and local offices of DCFS, and community-based organizations who provide youth services under contract with DCFS.

II. EXCHANGE OF INFORMATION

The parties to this memorandum are committed to strict standards of confidentiality with regard to interagency communication concerning mutual clients and will respect and observe either agencies confidentiality policies as well as Section 7 of the Freedom of Information Act (Ill. Rev. Stat. 1989, ch. 116, par. 207), Sections 11-9 through 11-12 of the Public Aid Code (Ill. Rev. Stat. 1989, ch. 23, pars. 11-9 through 11-12), 89 Ill. Adm. Code 102.30, and 7 CFR 272.1(c)-(f), 42 CFR 431.300-.307, and 45 CFR 205.50 (1990) (no subsequent dates or editions).

The parties to this memorandum will appoint an individual to serve as interagency liaison to facilitate coordination and the sharing of information. The designated interagency liaisons shall be identified in an addendum to this memorandum of understanding.

The SDA and the Department of Children and Family Services' regional and local offices, in an effort to better understand each other's operation, will exchange program information on a regular basis. Information to be exchanged includes, but is not limited to: a schedule of meetings of advisory bodies/private industry councils, copies of job training plans, grant applications or other funding requests, program descriptions, funding sources and amounts, targeted participants (if any), and timeframes for program enrollments/operations. A discussion of information which will be exchanged and the procedures to be used in exchanging such information will be developed and attached as an addendum to this memorandum.

III. REFERRALS

The Illinois Department of Children and Family Services will meet with appropriate representatives of the Illinois Department of Employment Security and the SDA to discuss and negotiate referral arrangements for DCFS youth to access the JTPA system. Included in the negotiations will be a discussion of: a) the role of DCFS subcontractors in making referrals directly to the JTPA system; b) the role of IDES in making referrals of DCFS youth to the JTPA system; and c) how and from whom DCFS will receive information regarding the status of youth referrals. A description of the procedures which will be used to ensure that DCFS youth are referred and otherwise have access to the JTPA system will be attached to this memorandum as an addendum.

IV. ADMINISTRATIVE

Parties to this memorandum and their administrative entities are committed to compliance with provisions of the Civil Rights Acts of 1964 and 1966, Section 504 of the Rehabilitation Act, the Fair Employment Practices Act, and the provisions of 56 Ill. Adm. Code 2610.120.

This memorandum of understanding is a statement of commitment by each party. Amendments to provisions may be made by mutual consent. Both parties will participate in an annual evaluation of the provisions of this memorandum. This memorandum may be withdrawn at any time by written communication, dated and signed by the Chairperson of the Private Industry Council or his/her designee or the respective DCFS Regional Administrator.

JTPA SIGNATOR:

As Designated By the Private Industry Council (PIC) and Local Elected Officials

DATE:

DCFS SIGNATOR:

Youth Services Coordinator

Regional Administrator

DATE:

Section 2610.APPENDIX B Memorandums of Understanding

Section 2610.ILLUSTRATION B Memorandum of Understanding Between the JTPA Substate Grantee and the Area Agencies on Aging or Other Not-For-Profit Agency Administering Title V of the Older Americans Act

I. PURPOSE AND SCOPE

The purpose of the memorandum of understanding is to facilitate and maintain an interagency system for the coordination of services to mutual clients. This memorandum of understanding is a non-financial commitment to provide for the coordination of such services through provision for the mutual exchange of information and the referral of eligible individuals to appropriate employment and training programs and supportive services.

II. EXCHANGE OF INFORMATION

The parties to this memorandum are committed to strict standards of confidentiality with regard to interagency communication concerning mutual clients and will respect and observe either agency's confidentiality policies as well as Section 7 of the Freedom of Information Act (Ill. Rev. Stat. 1989, ch. 116, par. 207), Sections 11-9 through 11-12 of the Public Aid Code (Ill. Rev. Stat. 1989, ch. 23, pars. 11-9 through 11-12), 89 Ill. Adm. Code 102.30, and 7 CFR 272.1(c)-(f), 42 CFR 431.300-.307, and 45 CFR 205.50 (1990) (no subsequent dates or editions).

The parties to this memorandum will appoint an individual to serve as interagency liaisons to facilitate coordination and the sharing of information. The designated interagency liaisons shall be identified in an addendum to this memorandum of understanding.

The SSA and the Area Agency on Aging, in an effort to better understand each other's operation, will exchange program information on a regular basis. Information to be exchanged includes, but is not limited to: a schedule of meetings of advisory bodies/private industry councils, copies of job training plans, grant applications or other funding requests, program descriptions, funding sources and amounts, targeted participants (if any), and timeframes for program enrollments/operations. A discussion of information which will be exchanged and the procedures to be used in exchanging such information on an ongoing basis as well as in the event of a mass layoff or plant closing will be developed and attached as an addendum to this memorandum.

III. REFERRALS

Referrals and information exchange forms may be developed if not already in place. All such documents will be attached to this memorandum.

A referral system, formal or informal, has been developed by the parties of this agreement and a description or outline of such system will be attached as an addendum to this memorandum.

IV. ADMINISTRATIVE

Parties to this memorandum and their administrative entities are committed to compliance with provisions of the Civil Rights Acts of 1964 and 1966, Section 504 of the Rehabilitation Act, the Fair Employment Practices Act, and the provisions of Ill. Adm. Code 2610.120.

This memorandum of understanding is a statement of commitment by each party. Amendments to provisions may be made by mutual consent. Both parties will participate in an annual evaluation of the provisions of this memorandum. This memorandum may be withdrawn at any time by written communication, dated and signed by the Substate Grantee or the Director, or other person designated by the Area Agency on Aging.

JTPA SSA SIGNATOR:

SSA Grantee

DATE:

AAA SIGNATOR:

Director of Area Agency on Aging

DATE:

Section 2610.APPENDIX B Memorandums of Understanding

Section 2610.ILLUSTRATION C Memorandum of Understanding Between the JTPA Title II and III and the Displaced Homemaker Program

I. PURPOSE AND SCOPE

The purpose of the memorandum of understanding is to facilitate and maintain an interagency system for the coordination of services to mutual clients. This memorandum of understanding is a non-financial commitment to provide for the coordination of such services through provision of the mutual exchange of information and the referral of eligible individuals to appropriate employment and training programs and supportive services.

II. EXCHANGE OF INFORMATION

The parties to this memorandum are committed to strict standards of confidentiality with regard to interagency communication concerning mutual clients and will respect and observe either agency's confidentiality policies as well as Section 7 of the Freedom of Information Act (Ill. Rev. Stat. 1989, ch. 115, par. 207), Sections 11-9 through 11-12 of the Public Aid Code (Ill. Rev. Stat. 1989, ch. 23, pars. 11-9 through 11-12), 89 Ill. Adm. Code 102.30, and 7 CFR 272.1(c)-(f), 42 CFR 431.300-.307, and 45 CFR 205.50 (1990) (no subsequent dates of editions).

The parties to this memorandum will appoint an individual to serve as interagency liaisons to facilitate coordination and the sharing of information. The designated interagency liaisons shall be identified in an addendum to this memorandum of understanding.

The SDA, SSA and the Displaced Homemaker Program, in an effort to better understand each other's operation, will exchange program information on a regular basis. Information to be exchanged includes, but is not limited to: a schedule of meetings of advisory bodies/private industry councils, copies of job training plans, grant applications or other funding requests, program descriptions, funding sources and amounts, targeted participants (if any), and timeframes for program enrollments/operations. A discussion of information which will be exchanged and the procedures to be used in exchanging such information will be developed and attached as an addendum to this memorandum.

III. REFERRALS

Referrals and information exchange forms may be developed if not already in place. All such documents will be attached as an addendum to this memorandum.

A referral system, formal or informal, has been developed by the parties of this agreement and a description or outline of such system will be attached as an addendum to this memorandum.

All such referral documents and an outline or description of the referral system will become the formal operating referral procedure between the two cooperating parties to this memorandum.

IV. ADMINISTRATIVE

Parties to this memorandum and their administrative entities are committed to compliance with provisions of the Civil Rights Act of 1964 and 1966, Section 504 of the Rehabilitation Act, the Fair Employment Practices Act, and the provisions of 56 Ill. Adm. Code 2610.120.

This memorandum of understanding is a statement of commitment by each party. Amendments to provisions may be made by mutual consent. Both parties will participant in an annual evaluation of the provisions of this memorandum. This memorandum may be withdrawn at any time by written communication dated and signed by the Substate Grantee or the Director, or other person designated by the Displaced Homemaker Center.

Title II JTPA SIGNATOR:

DATE:

SSA GRANTEE:

Substate Grantee

DATE:

DHP SIGNATOR:

Displaced Homemaker Center Director

DATE:

Section 2610.APPENDIX B Memorandums of Understanding

Section 2610.ILLUSTRATION D Memorandum of Understanding Between the JTPA Substate Grantee and the Illinois Department of Rehabilitation Services

I. PURPOSE AND SCOPE

The purpose of the memorandum of understanding is to facilitate and maintain an interagency system for the coordination of services to mutual clients. This memorandum of understanding is a non-financial commitment to provide for the coordination of such services through provision for the mutual exchange of information and the referral of eligible individuals to appropriate employment and training programs and supportive services.

II. EXCHANGE OF INFORMATION

The parties to this memorandum are committed to strict standards of confidentiality with regard to interagency communication concerning mutual clients and will respect and observe either agency's confidentiality policies as well as Section 7 of the Freedom of Information Act (Ill. Rev. Stat. 1989, ch. 116, par. 207), Sections 11-9 through 11-12 of the Public Aid Code (Ill. Rev. Stat. 1989, ch. 23, pars. 11-9 through 11-12), 89 Ill. Adm. Code 102.30, and 7 CFR 272.1(c)-(f), 42 CFR 431.300-.307, and 45 CFR 205.50 (1990) (no subsequent dates of editions).

The parties to this memorandum will appoint an individual to serve an interagency liaisons to facilitate coordination and the sharing of information. The designated interagency liaison shall be identified in an addendum to this memorandum of understanding.

The SSA and the Illinois Department of Rehabilitation Services, in an effort to better understand each other's operation, will exchange program information on a regular basis. Information to be exchanged includes, but is not limited to: a schedule of meetings of advisory bodies/private industry councils, copies of job training plans, grant applications or other funding requests, program descriptions, funding sources and amounts, targeted participants (if any), and timeframes for program enrollments/operations. A discussion of information which will be exchanged, and the procedures to be used in exchanging such information on an ongoing basis, as well as in the event of a mass layoff or plant closing, will be developed and attached as an addendum to this memorandum.

III. REFERRALS

Referrals and information exchange forms may be developed if not already in place. All such documents will be attached as an addendum to this memorandum.

A referral system, formal or informal, has been developed by the parties of this agreement, and a description or outline of such system, will be attached as an addendum to this memorandum.

All such referral documents and an outline or description of the referral system will become the formal operating referral procedure between the two cooperating parties to this memorandum.

IV. ADMINISTRATIVE

Parties to this memorandum and their administrative entities are committed to compliance with provisions of the Civil Rights Acts of 1964 and 1966, Section 504 of the Rehabilitation Act, the Fair Employment Practices Act, and the provisions of 56 Ill. Adm. Code 2610.120.

This memorandum of understanding is a statement of commitment by each party. Amendments to provisions may be made by mutual consent. Both parties will participate in an annual evaluation of the provisions of this memorandum. This memorandum may be withdrawn at any time by written communication, dated and signed by the Substate Grantee or the Director, or other person designated by the Illinois Department of Rehabilitation Services.

JTPA SIGNATOR:

Substate Grantee

DATE:

IDORS SIGNATOR:

Rehabilitation Services Supervisor

DATE:

Section 2610.APPENDIX B Memorandums of Understanding

Section 2610.ILLUSTRATION E Memorandum of Understanding Between the JTPA Substate Grantee and the Illinois Department of Public Aid/Project Chance

I. PURPOSE AND SCOPE

The purpose of the memorandum of understanding is to facilitate and maintain an interagency system for the coordination of services to mutual clients. This memorandum of understanding is a non-financial commitment to provide for the coordination of such services through provision for the mutual exchange of information and the referral of eligible individuals to appropriate employment and training programs and supportive services.

II. EXCHANGE OF INFORMATION

The parties to this memorandum are committed to strict standards of confidentiality with regard to interagency communication concerning mutual clients and will respect and observe either agency's confidentiality policies as well as Section 7 of the Freedom of Information Act (Ill. Rev. Stat. 1989, ch. 116, par. 207), Sections 11-9 through 11-12 of the Public Aid Code (Ill. Rev. Stat. 1989, ch. 23, pars. 11-9 through 11-12), 89 Ill. Adm. Code 102.30, and 7 CFR 272.1(c)-(f), 42 CFR 431.300-.307, and 45 CFR 205.50 (1990) (no subsequent dates or editions).

The parties to this memorandum will appoint an individual to serve as interagency liaisons to facilitate coordination and the sharing of information. The designated interagency liaisons shall be identified in an addendum to this memorandum of understanding.

The SSA and the Illinois Department of Public Aid, in an effort to better understand each other's operation, will exchange program information on a regular basis. Information to be exchanged includes, but is not limited to: a schedule of meetings of advisory bodies/private industry councils, copies of job training plans, grant applications or other funding requests, program descriptions, funding sources and amounts, targeted participants (if any), and timeframes for program enrollments/operations. A discussion of information which will be exchanged, and the procedures to be used in exchanging such information on an ongoing basis, as well as in the event of a mass layoff or plant closing, will be developed and attached as an addendum to this memorandum.

III. REFERRALS

Referrals and information exchange forms may be developed if not already in place. All such documents will be attached as an addendum to this memorandum.

A referral system, formal or informal, has been developed by the parties of this agreement and a description or outline of such system will be attached as an addendum to this memorandum.

All such referral documents and an outline or description of the referral system will become the formal operating referral procedure between the two cooperating parties to this memorandum.

IV. ADMINISTRATIVE

Parties to this memorandum and their administrative entities are committed to compliance with provisions of the Civil Rights Acts of 1964 and 1966, Section 504 of the Rehabilitation Act, the Fair Employment Practices Act, and the provisions of 56 Ill. Adm. Code 2610.120.

This memorandum of understanding is a statement of commitment by each party. Amendments to provisions may be made by mutual consent. Both parties will participate in an annual evaluation of the provisions of this memorandum. This memorandum may be withdrawn at any time by written communication, dated and signed by the Substate Grantee or the written communication, dated and signed by the Substate Grantee or the Director or other person designated by the Department of Public Aid.

SSA SIGNATOR:

SSA Grantee

DATE:

IDPA SIGNATOR:

Project Chance Supervisor(s)

DATE:

DPA Local Office Administrator

DATE:

DPA Director

DATE:

History

• Source: Amended at 15 Ill. Reg. 7595, effective May 7, 1991
• Source: Amended at 15 Ill. Reg. 7595, effective May 7, 1991
• Source: Added at 15 Ill. Reg. 7595, effective May 7, 1991
• Source: Added at 15 Ill. Reg. 7595, effective May 7, 1991
• Source: Added at 15 Ill. Reg. 7595, effective May 7, 1991

Part 2625 Economic Dislocation and Worker Adjustment Assistance

56 Ill. Adm. Code 2625.20 Definitions

For the purpose of this Part, the terms and definitions specified in Section 4 of the Job Training Partnership Act (Act) (29 U.S.C. 1501) and 56 Ill. Adm. Code 2600.20 are applicable.

56 Ill. Adm. Code 2625.25 Authorized Activities

a) General Program Purpose – State and substate grantees will use the State's Job Partnership Training Act (JTPA) Title III funds to provide employment and training assistance to eligible dislocated workers enrolled in the program.

b) Allowable Activities – Such activities are specified in Section 314(a) of the Act and include:

1. the provision of rapid response assistance in accordance with Section 314(b) of the Act;

2. the delivery, coordination and integration of basic readjustment services and support services in accordance with Section 314(c) of the Act;

3. the provision of retraining services in accordance with Section 314(d) of the Act;

4. the provision of needs-related payments in accordance with Section 314(e) of the Act; and

5. provisions for coordination with the unemployment compensation system in accordance with Section 314(f) of the Act.

History

• Source: Added at 15 Ill. Reg. 10368, effective July 1, 1991

56 Ill. Adm. Code 2625.30 Allocation of Funds

a) Federal Allotment to States – The State receives Title III funds under the Act as allotted by the Secretary of the U.S. Department of Labor (U.S. DOL) in accordance with Section 302(b) of the Act.

b) Federal Reserve Fund – The Department of Commerce and Community Affairs (Department) shall apply for funds reserved by the Secretary of the U.S. DOL under Section 302(a)(2) of the Act, in accordance with Title III instructions periodically issued by the Secretary of the U.S. DOL. Reserve funds shall be used to provide services, of the type described in Section 314 of the Act, to individuals who are affected by the circumstances described in Section 323 of the Act, and conduct activities as applicable under Section 324 of the Act.

c) State Allocation to Substate Areas – The Governor shall allocate 60 percent of the State's Title III allotment to substate areas in accordance with Section 302(d) of the Act. The allocation formula shall utilize the information detailed in Section 302(d) of the Act. Each of the following shall be the basis for allocating 25 percent of the total allocation to each substate area: insured unemployment data, unemployment concentrations data, declining industries data and long-term unemployment data. The following shall be included in the allocation formula, but shall not be bases for the distribution of funds at this time: plant closing and mass layoff data, and farmer-rancher economic hardship data.

1. The following shall be the measures of the factors to be used in calculating the allocation of Title III funds to substate areas:

A) Insured Unemployment Data – The relative number, for each substate area, of unemployment insurance claimants under the Unemployment Insurance (UI) system.

B) Unemployment Concentrations Data – The relative number, in each substate area, of unemployed individuals residing in counties (or sub-county substate areas) with an unemployment rate higher than the statewide unemployment rate for the same time periods as used in federal allotments.

C) Declining Industries Data – The relative number, in each substate area, of jobs lost within industries which have experienced declining employment.

D) Long-Term Unemployment Data – The relative number, in each substate area, of unemployment insurance claimants who have received benefits for 15 or more weeks under the UI system.

2. No substate area shall be allocated an amount less than a minimum set by the Illinois Job Training Coordinating Council (IJTCC). The minimum for the first year is $200,000. If the amounts allocated pursuant to the above formula are not sufficient to meet this level for each substate area, the amounts allocated to all other areas shall be ratably reduced so that each receives no less than the minimum.

3. As applicable, the Department shall utilize data for the same base period as the Secretary of the U.S. DOL pursuant to Section 162 of the Act, if all necessary data is available to the Department in a timely manner.

d) Reservations for State Activities and for Substate Grantees in Need – In accordance with Section 302(c) of the Act, the Governor shall reserve 40 percent of the amount allotted to the State under Section 302(a)(1) of the Act. These funds shall be used for the activities described in Section 302(c)(1)(A) through (E) of the Act.

History

• Source: Amended at 15 Ill. Reg. 10368, effective July 1, 1991

56 Ill. Adm. Code 2625.40 Title Iii Substate Area

a) Designation of Substate Area

The Department on behalf of the Governor may initiate an application process for Private Industry Councils and local chief elected officials to request designation as a substate area under the Act to take effect at the start of Program Year 1989. The process for designation and redesignation of substate areas shall conform with the requirements of Section 312(a) of the Act and 54 FR 39144 (codified at 20 CFR 631.34 (April 1, 1990)) (September 22, 1989). Redesignation of substate areas shall not take place more frequently than once every two years and shall not be made later than four months before the beginning of a program year. In considering whether to initiate an application process for designation, the Department shall ensure that each Service Delivery Area (SDA) within the State is included within a substate area and that no SDA is divided among two or more substate areas; ensure the recommendations of the IJTCC are forwarded to the Governor's office; consider the availability of administrative funds to support the existing SDA administrative structure; and, consider the capacity available in the substate areas to achieve or exceed performance standards. The IJTCC shall recommend to the Governor a map of the State identifying the geographical area to be included in each substate area. Pursuant to Section 4(c) of the Illinois Job Training Coordinating Council Act (Ill. Rev. Stat. 1989, ch. 48, par. 2104), these recommendations shall be forwarded to the President of the Senate and Speaker of the House of Representatives, or their designees, for review and comment by the Illinois General Assembly. In addition to criteria which may be identified by the IJTCC, the IJTCC shall consider the following criteria prior to making recommendations to the Governor on designation and redesignation:

1. the availability of services throughout the State;

2. the capability to coordinate the delivery of services with other human service and economic development programs;

3. the geographic boundaries of labor market areas within the State;

4. the adequacy of estimated available funds to support the administrative expenses of proposed substate areas;

5. the potential impact of designation and redesignation decisions on the ability to maintain existing effective local relationships established for the provision of employment and training services (e.g., agreements among local chief elected officials).

b) Petition for Redesignation – Pursuant to Section 312(a)(6) of the Act, the Department shall initiate an application process for redesignation as described in subsection (a), if a petition is filed with the Department by an entity specified in Section 312(a)(4) of the Act. Petitions shall be accepted only if filed at least eighteen months before the start of the program year for which the redesignation is proposed. Petitions for redesignation shall include a Consortium Membership Agreement for petitioners pursuant to Section 312(a)(4)(B) of the Act.

History

• Source: Amended at 15 Ill. Reg. 10368, effective July 1, 1991

56 Ill. Adm. Code 2625.50 Designation of Substate Grantees

a) Transition Provisions – Provisions of this subsection shall apply to the initial designation of the substate grantee to implement the provisions of the Economic Dislocation and Worker Adjustment Assistance Act. In each substate area designated by the Governor pursuant to Section 2625.40, a substate grantee shall be designated in accordance with Section 312(b) of the Act. Pursuant to the transition provisions specified at 54 FR 39147-39148 (codified at 20 CFR 631.70(c) (April 1, 1990)) (September 22, 1989), the effective period of this designation shall end June 30, 1990. The chief elected officials (CEO) and the Private Industry Council (PIC) for each substate area shall recommend to the Governor an entity as substate grantee. In any case in which there are two or more units of general local government, the CEO of such units shall negotiate with the PIC in a manner consistent with the agreements established pursuant to Sections 102(d)(2) and 103(b) of the Act to arrive at a recommendation. In any case where the Governor concurs with the joint recommendation of the CEO and PIC, the Department shall forward a written agreement to the CEO and PIC for signatures to execute the agreement with the Governor. In any area where the CEO and the PIC cannot reach agreement, the CEO and PIC shall forward separate recommendations to the Governor. The Department shall distribute written instructions for the submittal of recommendations. In any case where the Governor is not in agreement with the CEO and PIC recommendation, or the CEO and PIC are not in agreement, the Department shall first attempt to negotiate a consensus recommendation. In the event a consensus recommendation cannot be reached, the Governor shall select the substate grantee. In attempting to negotiate a consensus recommendation or, in the absence of consensus, when designating the substate grantee, the Governor shall consider the following:

1. The degree to which the designation will contribute to the elimination of duplication of services;

2. The degree to which the designation will foster coordination of services with other programs under the Act;

3. The ability of the agency recommended to deliver services as evidenced by past experience in the administration of employment and training programs; and,

4. The degree to which the proposed designation capitalizes on the expertise of the Regional Dislocated Worker Centers established under previous statute.

b) Eligible Agencies – Entities defined pursuant to Section 312(c) of the Act are eligible to be designated as a substate grantee.

c) Biennial Designation – Pursuant to the requirements of Section 312(b) of the Act, a substate grantee shall be designated on a biennial basis in accordance with an agreement among the Governor, the local chief elected official or officials of the substate area and the PIC. In any case in which there are two or more units of general local government, the CEO of such units shall negotiate with the PIC in a manner consistent with the agreements established pursuant to Sections 102(d)(2) and 103(b) of the Act. Designation of the substate grantee shall be consistent with coordinated service delivery. Such coordinated service delivery arrangements shall be consistent with the statement of goals and objectives prepared by the Governor pursuant to Section 121(a)(1) of the Act and established criteria for coordinating activities under the JTPA pursuant to Section 121(b)(1) of the Act. In addition, designation decisions shall take into consideration the ability of the designated agency to meet and exceed performance standards established pursuant to Section 106 of the Act. Designation decisions shall also take into account the ability of the designated agency to provide adequate administrative safeguards for the expenditure of federal funds. Such safeguards include but are not limited to procedures that meet generally accepted accounting principles that ensure compliance with the requirements of the Act, implementing federal regulations published September 22, 1989 (54 FR 39139-39148, codified at 20 CFR 631 (April 1, 1990)) and 56 Ill. Adm. Code 2630. Biennial designation of the substate grantee shall conform to the following procedures:

1. Performance Related – In any case where the substate grantee fails to meet performance standards promulgated by the Secretary pursuant to Section 106(c) of the Act or fails to provide adequate administrative safeguards that meet generally accepted accounting principles and ensure compliance with the requirements of the Act, implementing federal regulations published September 22, 1989 (54 FR 39139-39148, codified at 20 CFR 631 (April 1, 1990)), and State rules (56 Ill. Adm. Code 2600, 2625, and 2630), the Department shall initiate negotiations for the designation of the substate grantee. In such cases, the Department shall forward written instructions to the CEO and PIC describing procedures for negotiations. The existing substate grantee shall not be redesignated unless the following procedures are followed:

A) The reasons for inadequate performance shall be documented and provided to the Department.

B) A corrective action plan shall be developed and submitted to the Department. The plan shall include, as appropriate, reorganization of the substate grantee to address the reasons for inadequate performance. The plan shall described other proposed corrective action to address inadequate performance.

C) The IJTCC shall review the documentation and proposed corrective action and make a recommendation to the Department regarding the designation.

D) The Department shall determine that the corrective action plan has a reasonable expectation of correcting inadequate performance (i.e., corrective action to be implemented is directly related to the problem identified; corrective action is achievable within the timeframes specified; requested technical assistance can be provided within timeframe specified). If the corrective action plan is determined to be insufficient, the Department will provide recommendations to the grantee regarding corrective action or revisions to proposed corrective action to be incorporated into their plan.

2. Local Request for Designation – Either the CEO or the PIC may request the Department to initiate procedures for the designation of a substate grantee. In order to allow adequate time for negotiations and transition of participants, such a request shall be made in writing twelve (12) months in advance of the biennial cycle in which the proposed redesignation is to take effect. After a request is made, the Department shall issue written instructions to the CEO and PIC regarding the conduct of negotiations to arrive at an agreement pursuant to Section 312(b) of the Act.

3. Continuing Designation – Except as provided under subsections (c)(1) and (c)(2), existing agreements shall be automatically renewed at the beginning of each biennial cycle. Unless requested by a party to the agreement, no modification to the existing agreement shall be made, and the existing agreement shall remain in effect. Modifications to the agreement shall be in writing and signed by all parties.

4. Inability to Perform – If for any reason (e.g., insolvency) the existing substate grantee is unable to fulfill its responsibilities under the Act, the Governor shall immediately initiate redesignation procedures with the CEO and PIC.

History

• Source: Amended at 15 Ill. Reg. 10368, effective July 1, 1991

56 Ill. Adm. Code 2625.55 Eligibility Requirements

a) To be eligible under Section 301(a)(1)(A) of the Act, applicants shall:

1. have been terminated or laid off from employment within the two (2) years preceding application, or have received a notice of termination or layoff and have not yet been terminated or laid off; and

2. be eligible for or have exhausted their entitlement to unemployment compensation as determined by the Illinois Department of Employment Security (for purposes of this Part, "eligible for unemployment compensation" includes any individual whose wages from employment would be considered in determining eligibility for unemployment compensation under Federal or State unemployment compensation laws); and

3. have been employed in an occupation or a series of occupations with the same employer for at least one (1) year, or employed in a single industry for at least one (1) year, and have either been terminated or laid off from that occupation or industry within the two (2) years preceding application or have received notice of impending layoff or termination; and either

A) laid off from a declining industry (A declining industry is any three digit standard industrial classification (SIC) code with less than a zero rate of growth as shown in the "Occupational Projections State of Illinois 1986-2000" prepared by the Illinois Department of Employment Security, 401 South State Street, Chicago, Illinois 60605 and published August 1990.); or

B) laid off from a low growth occupation as shown in the "Growth Rate by SOC Code For: State of Illinois State Employment Change 1986-2000" prepared by the Illinois Occupational Information Coordination Committee, 217 East Monroe, Suite 203, Springfield, Illinois 62701, issued 1990; or

C) laid off from an occupation with less than fifty (50) annual job openings on a statewide basis; or

D) been unemployed for at least twenty-six (26) weeks and have completed one month of documented job search through the Job Service.

b) To be eligible under Section 301(a)(1)(B) of the Act, applicants shall have been terminated as a result of any permanent closure of, or any substantial layoff (as defined in 56 Ill. Adm. Code 2600.20) at, a plant, facility or enterprise within the two (2) years preceding application, or have received a notice of termination for such reason(s) and have not yet been terminated.

c) To be eligible under Section 301(a)(1)(C) of the Act, applicants shall:

1. have been unemployed for fifteen (15) or more of the twenty (20) weeks prior to application; and

2. have been employed in an occupation or a series of occupations with the same employer for at least one (1) year, or employed in a single industry for at least one (1) year, and have either been terminated or laid off from the occupation or industry within the two (2) years preceding application or have received notice of impending layoff or termination; and either

A) laid off from a declining industry; or

B) laid off from a low growth occupation; or

C) laid off from an occupation with less than fifty (50) annual job openings on a statewide basis; or

D) been unemployed for at least twenty-six (26) weeks and have completed one month of documented job search through the Job Service.

d) Eligibility under Section 301(a)(1)(D) of the Act is limited to applicants who:

1. were self-employed (including farmers, ranchers, professionals, independent tradespeople and other business persons) and presently are unemployed as a result of one of the following:

A) natural disasters such as hurricane, tornado, storm, flood, high water, wind driven water, tidal wave, tsunami, earthquake, volcanic eruption, landslide, mudslide, snow storm, drought, fire, explosion, or other catastrophe; or

B) general economic conditions in the community in which they reside as evidenced by one or more of the following:

i) failure of one or more businesses to which the self-employed individual supplied a substantial proportion of products or business;

ii) failure of one or more businesses from which the self-employed individual obtained a substantial proportion of products or services;

iii) substantial layoff(s) from, or permanent closure(s) of, one or more plants or facilities that support a significant portion of the state or local economy;

iv) depressed price(s) or market(s) for the article(s) produced by the self-employed individual; or

v) levels of unemployment in the local areas that meet or exceed national percentages; or

2. are self-employed (including farmers, ranchers, professionals, independent tradespeople, and other business persons) who are in the process of going out of business as evidenced by one or more of the following:

A) the issuance of a notice of foreclosure or intent to foreclose;

B) the failure of the farm, ranch or business to return a profit during the preceding twelve (12) months;

C) the entry of the self-employed individual into bankruptcy proceedings;

D) the inability to make payments on loans insured by tangible business assets;

E) the inability to obtain capital necessary to continue operations; or

F) a debt to asset ratio sufficiently high to be indicative of the likely insolvency of the farm, ranch or business; or

3. are family members, farmhands, or ranchhands of individuals identified in subsections (d)(1) and (2) above, to the extent that their contribution to the farm, ranch, or business constitutes a minimum of one year full-time work in the farm, ranch or business.

e) Occupational and Industrial Information Data

1. The occupations that an applicant has held shall be assigned a title and code in accordance with the SOC coding system provided in the 1980 "Standard Occupational Classification Manual" (issued by the U.S. Department of Commerce, Office of Federal Statistical Policy and Standards and published by the U.S. Government Printing Office, Washington D.C. 20402). The descriptions of job duties provided by the applicant shall be used to determine the applicable title and code. Likewise, the industry in which the applicant was employed at the time of termination or layoff shall be assigned a title and code in accordance with the Standard Industrial Classification (SIC) coding system.

2. The "Growth Rate by SOC Code For: State of Illinois State Employment Change 1986-2000", issued 1990, shall be used for purposes of eligibility determination. This SOC code growth rate information, sorted by region (SDA) and statewide, shall be transmitted to grantees to be used as a basis for determining the growth rate of an applicant's occupation(s). Substate grantees may use information from either sort, however when information is used from the regional sort (SDA), that information (low growth SOC codes) must be added to the substate grantee's title plan on the JTPA-II system. Requests for adding low growth SOC codes to a title plan shall be submitted in writing to the substate grantee's program manager. To meet the growth rate test the applicant's occupation shall have an annual employment growth rate of less than 0.5 percent.

3. The growth rate of each occupation in the applicant's series of occupations shall be included in the participant record.

f) Veterans who have voluntarily separated from the military may be considered for eligibility determination under the provisions of Section 301(a)(1)(A) of the Act. SDAs shall use a SOC code for these veterans which relates as closely as possible to the veteran's responsibilities in the military.

g) Up to five percent (5%) of the Title III participants may be enrolled for program services on an annual basis as displaced homemakers (as defined in 56 Ill. Adm. Code 2600.20) if the substate grantee has provided for such in its job training plan. If a substate grantee is having difficulty meeting appropriate expenditure levels, it may petition the Department for permission to expand the service window to serve up to ten percent (10%) eligible displaced homemakers by contacting their program manager.

h) A substate grantee may issue to any eligible dislocated worker who has applied for the retraining/services under Economic Dislocation and Worker Adjustment Assistance (EDWAA) a certificate of continuing eligibility.

1. Such a certificate of continuing eligibility:

A) shall be effective for periods not to exceed one hundred four (104) weeks;

B) shall not include any reference to any specific amount of funds;

C) shall state that it is subject to the availability of funds at the time any such training services are to be provided; and

D) shall be non-transferable (between individuals or states).

2. The following information shall be included on the face of the certificate:

A) client name;

B) social security number;

C) application date;

D) certificate expiration date; and

E) substate grantee's identification number.

3. Certificates may be used by an eligible dislocated worker to seek out and arrange his or her own training with service providers approved by the substate grantee. Substate grantees shall ensure that records are maintained showing to whom such certificates have been issued, the dates of issuance and the ultimate disposition of such certificates.

4. When grantees issue a certificate to an eligible dislocated worker, the applicant file shall contain documentation for the eligibility determination, including an application and a copy of the certificate. The applicant record shall be entered on the JTPA-II MIS and appropriately recorded as certificate holder.

5. When grantees or service providers redeem certificates, copies of original documentation from the applicant file shall be retrieved from the issuing agency, reviewed, and included in the participant file for persons who are redeeming certificates. If, at the time a person presents a certificate for redemption, more than forty-five (45) days have elapsed since the certificate was issued, or if the certificate is being redeemed by a different substate grantee, applicant characteristics will have to be updated on a new application and certificate redemption will be checked as eligibility reason on the application.

History

• Source: Amended at 16 Ill. Reg. 20098, effective December 14, 1992

56 Ill. Adm. Code 2625.60 Performance Standards System

a) Establishment of Title III Performance Standards System – In accordance with the requirements of Section 106 of the Act and the revisions made to Title III by the Economic Dislocation and Worker Adjustment Assistance Act (EDWAA), the Department shall prescribe performance standards for the Title III dislocated worker program for Program Year (PY) 1990-1991 (July 1, 1990 - June 30, 1992). EDWAA funds are available in three categories from the U.S. DOL: State Allocated EDWAA Funds (IIIA), Governor's Reserve Funds (IIIG), or Secretary's Reserve Funds (IIIN). The performance standards specified in this Section apply only to State Allocated EDWAA Funds (IIIA). The Department, in developing Title III performance standards, used the U.S. DOL's directive on Title III performance standards requirements issued in the April 13, 1990 edition of the Federal Register (55 FR 14012-14018) and the "Guide for Setting JTPA Title II-A and Title III (EDWAA) Performance Standards for PY 1990", issued November 1990, by the U.S. DOL Office of Strategic Planning and Policy Development.

b) U.S. DOL has issued a single performance standard, the entered employment rate, for the Title III program as well as an optional wage at placement goal.

c) The Governor is required to set an entered employment rate standard for each substate grantee and has the option of setting an average wage at placement standard.

d) Although the governor is required to use the performance standards established by U.S. DOL, the governor is permitted, within guidelines established by U.S. DOL, to adjust the national standards in setting performance expectations for the substate grantees. In light of this flexibility the State of Illinois has developed performance standards models using State of Illinois data.

e) Performance standards are based on statistical planning models which use multiple regression techniques to predict expected performance of grantees for each measure. The models adjust for local economic conditions and the characteristics of the participants served by the grantee. The weighted values in the model have been based on prior performance under the JTPA. Application of the adjustment models results in a singular performance expectation (model adjusted value) for each of the performance measures. The Governor has developed the following two performance standards, in accordance with subsections (a) through (d), which will be used to compute the performance of each substate area:

1. Entered Employment Rate (EER) – Number of individuals who entered employment at termination (excluding those who were recalled or retained by the original employer after receipt of a layoff notice) as a percentage of total terminations (excluding those who were recalled or retained by the original employer after receipt of a layoff notice).

2. Average Wage at Placement (AWAP) – Average hourly wage for all persons who entered employment at the time of termination.

f) Title III Performance Standards Policy

1. Performance standards are to be applied to the following programs funded under Section 302 of the Act: All of section 302(c)(1) State activities; Sections 302(c)(2) and 302(d) substate area activities.

2. Entered employment rate and average wage at placement will be implemented as Title III performance measures in PY'90.

3. Illinois adjustment models will be used for PY'90.

4. To qualify as having met performance standards, a substate grantee must meet or exceed both of the U.S. DOL performance measures.

5. If a substate grantee fails to meet performance standards (as specified in subsections (e)(1) and (2)) for two consecutive years, the Department on behalf of the Governor may institute procedures pursuant to the Governor's by-pass authority in accordance with federal regulations (54 FR 39145, codified at 20 CFR 631.38 (April 1, 1990)) or require redesignation of the substate grantee in accordance with federal regulations (54 FR 39144-39145, codified at 20 CFR 631.35 (April 1, 1990)), as appropriate.

g) Award of Incentive Grants

1. Incentive bonus awards will be based entirely on the two measures of performance (Entered Employment Rate and Average Wage at Placement).

2. To qualify to receive an incentive bonus award a substate grantee must first meet two requirements, these are as follows:

A) A substate grantee must have expended a minimum of 85% of the total Title IIIA funds available for the program year.

B) A substate grantee must meet or exceed the local performance standard for both performance measures.

3. A qualifying substate grantee is then eligible for an incentive award if it exceeds either of the two performance measures based on the degree to which performance exceeded the standard. The incentive bonus funds will be divided equally into two portions with one portion associated with each measure. Each of the two shares is further divided into three levels. These levels are as follows:

Degree to Which Performance Exceeded the Standard

Percentage of Incentive Grant Funds Available

0% - 9.99%

45%

10% - 19.99%

35%

20% and above

20%

4. The allocation of funds at each level will be based on the qualifying substate grantee's relative share of the EDWAA Title IIIA allocation formula applied against each level of available funds for each measure exceeded.

5. Unallocated incentive bonus funds will be carried over into the next year and distributed to qualifying substate grantees based on the above methodology.

6. The sum of the awarded amounts distributed under subsections (g)(3) and (5) above will equal the total incentive bonus award for the substate grantee.

History

• Source: Added at 15 Ill. Reg. 10368, effective July 1, 1991

56 Ill. Adm. Code 2625.70 Reallotment of Funds

Section 303 of the Act contains provisions for the reallotment of excess carry-forward from states, as well as a requirement that states establish procedures to ensure the availability of funds for deobligation should a state have excess carry-forward. The reallotment of funds from states will be determined on the basis of an allowable carry-forward which equals 20% of the allotment for the previous program year plus funds not expended from the year prior to the previous year. The procedure for the reallocation of funds within Illinois will be contingent upon Illinois' status vis-a-vis the national reallotment process.

a) Procedures When the State Loses Funds Through U.S. DOL Reallotment

1. When Illinois loses funds due to reallotment by the U.S. DOL, the amount of the loss is proportioned according to the amount underspent by the SDAs as a group and by the Department. The determination of funds to be reallotted from the state is made on the basis of funds received by the state as a whole (i.e., funds received by substate areas and the Department). The statewide allowable carry-forward is 20% of the total statewide allotment, and the statewide excess carry-forward is the amount by which the combined carry-forward from both sources exceeds the allowable.

2. Following the determination of this statewide excess, excess carry-forward is calculated separately for the combined substate areas and for the Department, again on the basis of a 20% allowable carry-forward limit. If both have carry-forward in excess of their 20% allowable limit, then the excess carry-forward for each can simply be combined to provide for the state reallotment amount. If one is not in excess of the 20% allowable carry-forward limit, then the total state reallotment amount must be provided by the other.

3. In the event that the Department has carry-forward in excess of its allowable limit, the necessary amount of funds will be deobligated directly.

4. To determine excess carry-forward at the substate level, the following procedures will be adhered to:

A) An amount equal to 15% of the allocation for each SDA will be considered "allowable" carry-forward. Carry-forward above this amount will be considered "excess" carry-forward. The amount of "excess" carry-forward from each SDA will be aggregated. From this "pool" of funds will be deducted any substate share of state funds sent to the U.S. DOL as part of the national reallotment.

B) An SDA expending 85% or more of its total funds available will be eligible to receive funds redistributed from this "pool" of excess carry-forward funds, as adjusted by the results of the U.S. DOL reallotment process.

C) Any funds remaining in this "pool" will then be reallocated to "eligible" SDAs, on the basis of a two-part formula modeled on the federal formula used to reallot funds among the states. In the first step, the relative allocation percentages are calculated for eligible substate areas. Based on these relative percentages, the amount to be reallocated is distributed. However, the amount reallocated to substate areas with unemployment rates at or below the statewide average are taken back and "re-pooled." The relative allocation percentages are then again used to distribute this amount to all "eligible" SDAs. In this manner, SDAs with higher than average unemployment rates are eligible to receive reallocated funds from both distributions, while those with a lower rate of unemployment receive funds only from the second distribution.

b) Procedures When the State Gains, or Does Not Lose Funds Through U.S. DOL Reallotment

1. Again, a "pool" of excess substate area funds would be constructed, based upon a 15% of allowable carry-forward. In this case, however, the state as a whole would gain funds reallotted from other states or, of the amount received by the state in this manner, 60% would be added directly to the "pool" of substate area funds to be reallocated. This total amount would then be distributed according to the two-step method described above.

2. The remaining 40% of the funds received from the reallotment from other states would come to the Department and would be available for the same uses as the 40% state portion of the original allotment.

3. These reallotment and reallocation processes would be completed by October 1 of each year or the first working day after that date.

4. All funds received by substate areas in this manner would be subject to the same cost category limitations as the funds originally allocated during any program year.

History

• Source: Added at 15 Ill. Reg. 10368, effective July 1, 1991

56 Ill. Adm. Code 2625.80 Incorporation by Reference

Any incorporation by reference in this Part of the rules and regulations of any agency of the United States or of standards of a nationally recognized organization or association includes no new amendments or editions after the date specified.

History

• Source: Added at 15 Ill. Reg. 10368, effective July 1, 1991

Part 2650 Employer Training Investment Program

56 Ill. Adm. Code 2650.10 Purpose

Through the Illinois Employer Training Investment Program (Program), the Department of Commerce and Economic Opportunity (Department) will provide training grants to businesses operating or locating in Illinois in conjunction with planned permanent expansion, location or retention activities; and to multi-company training projects sponsored by business or industry associations, institutions of secondary and higher education, strategic business partnerships, large manufacturers for supplier network companies, and labor organizations. The purpose of the Program is to enhance employment opportunities for Illinois citizens by assisting Illinois employers in the training of their workforce, to assist multi-company training projects in addressing common employee training needs identified by participating companies, and to facilitate self-employment by encouragement and preparation through comprehensive, instructional programs and services and entrepreneurial education.

History

• Source: Amended at 29 Ill. Reg. 10047, effective June 28, 2005

Part 2650 Employment Training Investment Program

56 Ill. Adm. Code 2650.20 Definitions

Director – The Director of the Department of Commerce and Economic Opportunity.

Employee Training – Training programs, that are on-the-job, in a classroom, on-line through a virtual classroom or e-learning program or any combination thereof, sponsored by an employer or other eligible grant recipient on behalf of employers, which are intended to provide employees with the skills required to perform their current job or as a condition of continued employment. The employee skill requirements are established by the employer or participating employers and may include basic, technical, language and managerial skills.

Full-time Employee – An individual who is employed for consideration for at least 35 hours each week or who renders any other standard of service generally accepted by industry custom or practice as full-time employment. [35 ILCS 10/5-5] Annually scheduled periods for inventory or repairs, vacations, holidays and paid time for sick leave, vacation or other leave shall be included in this computation of full-time employment. An individual for whom a W-2 is issued by a Professional Employer Organization (PEO) is a full-time employee if employed in the service of the Applicant for consideration for at least 35 hours each week or who renders any other standard of service generally accepted by industry custom or practice as full-time employment to the Applicant. [35 ILCS 10/5-5] For example, an employee who works 25 hours per week is considered the industry standard for full-time in the package delivery industry and an employee who is employed for at least 35 hours per week during the historical seasonal production is considered the industry standard for full-time in the candy manufacturing industry.

GATA − the Grant Accountability and Transparency Act [30 ILCS 708] and its corresponding rules at 44 Ill. Adm. Code 7000.

Grantee – Any program applicant whose proposal is funded by the Department through a grant.

Grantor – The Illinois Department of Commerce and Economic Opportunity.

Labor Organization – Any collective bargaining unit or any labor entity formed by collective bargaining units such as State labor councils, district labor councils, local central labor councils and international unions as well as the American Federation of Labor and Congress of Industrial Organizations (AFL-CIO).

Large Company – A company with facilities in Illinois that employs at least 250 full-time employees. If the grant amount is less than $100,000, the Grantor shall serve the grantee as a Small to Mid-Sized Company, regardless of size, in circumstances where a grantee would be unduly burdened with the reporting requirements imposed on large companies based on variables including, but not limited to: amount of grant; previous experience; number of employees at start and end of training; term of grant; and number of trainees.

Large Manufacturers Supplier Network – Any company located or with facilities in the State of Illinois that supplies products or services to an original equipment manufacturer or large manufacturing assembly facility in Illinois.

Large Multi-Company Training Project – Any project submitted for the benefit of more than two companies that addresses the common employee training, retraining or skills upgrading needs identified by participating companies. The majority of companies participating in the project shall be large. High Volume Multi-Company Projects ($500,000 or more) and Large Manufacturers Supplier Network Projects, regardless of the size of the participating company, shall also be included in this definition. The participating companies shall not include units of local, municipal, home rule, county, State or federal government or government agencies or government-operated facilities.

Location Activities – Activities necessary to retain existing companies and to attract new companies to Illinois (e.g., training). All location training incentives, regardless of company size, will be treated as large companies for programmatic purposes.

New Employee – An individual who is hired by the grantee during the term of a training agreement or who is permanently transferred to Illinois during the term of a training agreement.

Planned Permanent Expansion – Any of the following will apply:

Permanent increase in the workforce (no minimum number of new jobs required);

Addition of new product line or expansion of existing product line; or

New capital investment in machinery or equipment.

Retention Activities – Activities necessary to keep existing companies in Illinois that might otherwise leave the State or reduce their workforce (e.g., retraining,

Retraining – The training of an employee with the intent that the employee will learn to perform a significantly different type of job than was previously held by that employee.

Small to Mid-Sized Company − A company with facilities in Illinois that employs fewer than 250 full-time employees. If the grant amount is greater than or equal to $100,000, or if the grant is in connection with a development assistance package subject to applicable recapture provisions pursuant to Section 25 of the Corporate Accountability for Tax Expenditures Act [20 ILCS 715/25], the Department shall serve the grantee as a large company, regardless of size, in circumstances where a grantee would be better served as a large company based on variables including, but not limited to: amount of grant; previous experience; number of employees at start and end of training; term of grant; and number of trainees.

Small to Mid-Sized Multi-Company Training Project − Any project submitted for the benefit of more than two companies that addresses common employee training, retraining or skills, upgrading needs identified by participating companies. The majority of companies participating in the project shall be small to mid-sized. The participating companies shall not include units of local, municipal, home rule, county, State or federal government or government agencies or government-operated facilities.

Strategic Business Partnership – A formal or informal agreement between more than two businesses with facilities in Illinois where an objective of the partnership is to address employee training or other common workforce development issues among the participating businesses.

Trainee – A full-time existing or newly-hired employee of a company who is participating in a training, retraining or skills upgrading program. Part-time, seasonal, temporary and/or contractual employees are not precluded from being considered trainees for program reimbursement if the employer's primary business activity is in the biotechnology, biomedical or film and television production industries. No participating employee may be an unauthorized alien as defined in 8 U.S.C. 1324a.

Upgrade Training – The enhancement of employees' job skills with the intent that the employee will continue working at the same type of job (e.g., cross-training of skilled employees).

History

• Source: Amended at 48 Ill. Reg. 17516, effective November 25, 2024

56 Ill. Adm. Code 2650.30 Eligible Applicants and Training Activities

a) An eligible applicant is any business locating, expanding, or having facilities in Illinois and that is undertaking one or more of the following training activities:

1. Training programs in response to new or changing technologies or processes being introduced in the workplace;

2. Training necessary to implement total quality management or improvement systems in the workplace;

3. Job-linked training to upgrade existing employees' skills that leads directly to long-term job security;

4. Training employees in skills necessary to enable the company to establish or expand into new export markets;

5. Training in conjunction with new or additional product lines;

6. Training related to new machinery or equipment;

7. Training new or existing employees of companies that are locating or expanding in Illinois;

8. Basic and/or remedial training of employees as a prerequisite for other vocational or technical skills training including English language instruction;

9. Training related to regulatory compliance issues mandated for the workplace; or

10. Technical, language, and vocational skills training provided to members of migrant communities who hold Temporary Protected Status.

b) The Grantor also will accept applications submitted by Illinois-based business and industry associations, institutions of secondary and higher education, strategic business partnerships, large manufacturers for supplier network companies, and labor organizations on behalf of multi-company training projects when those projects address the common employee training needs identified by participating companies or the common training needs identified by the organization's membership. Eligible training activities for multi-company or membership training projects include, but are not limited to, one or more of the following:

1. Training programs in response to new or changing technology being introduced in the workplace;

2. Job-linked training to upgrade existing employees' skills that leads directly to long-term job security;

3. Training necessary to implement total quality management or improvement systems within the workplace;

4. Training related to new machinery or equipment;

5. Training of employees of companies that are expanding into new markets or expanding exports from Illinois;

6. Basic and/or remedial training of employees as a prerequisite for other vocational or technical skills training, including English language education;

7. Other training activities and/or projects related to the support, development or evaluation of job training programs, activities and delivery systems, including training needs assessment and design;

8. Self-employment training of the unemployed and underemployed with comprehensive, competency-based instructional programs and services, entrepreneurial education and training initiatives for youth and/or adult learners in cooperation with the Illinois Institute for Entrepreneurial Education, training and education, conferences, workshops and best practice information for local program operators of entrepreneurial and self-employment training programs; or

9. Technical, language, and vocational skills training provided to members of migrant communities who hold Temporary Protected Status.

c) Applicants must have an active GATA registration and be qualified on the GATA Grantee Portal prior to the delivery of an award and must be an entity regarded for federal income tax purposes.

History

• Source: Amended at 48 Ill. Reg. 17516, effective November 25, 2024

56 Ill. Adm. Code 2650.40 Allowable Costs

a) Grants for employee training to single companies will allow for reimbursement or payment on the terms and conditions agreed to between the grantee and the Department through the execution of a grant agreement. No grant shall exceed 50% of the total approved training costs. Allowable costs for single company training projects include:

1. Instructor costs, including wages, fringe benefits and travel expenses.

2. Costs for tuition and educational fees.

3. Training materials.

4. Rent or lease of training equipment and/or facilities.

5. Other usual and customary training costs.

6. Trainee travel expenses.

7. Trainee wages and fringe benefits.

b) Grants for multi-company or membership training projects will allow for reimbursement or payment on the terms and conditions agreed to between the grantee and the Department through the execution of a grant agreement. No grant shall exceed 50% of the total approved training costs. Allowable costs for multi-company or membership training projects include:

1. Administrative costs of tracking, documenting, reporting, auditing and processing training funds or project costs. Administrative costs must be reasonable and shall not exceed 15% of the total approved direct training expenditures, including indirect costs.

2. Costs of curriculum development.

A) The Department will only reimburse for the costs of curriculum development when such curricula are judged by the Department as being of benefit to multiple Illinois employers and such curricula will be considered to be in the public domain.

B) The Grantee shall include the following statement in all written materials produced in whole or in part by funds awarded under this Grant Agreement: "This publication and material were supported in whole or in part by an Employer Training Investment Program grant awarded by the Illinois Department of Commerce and Economic Opportunity. Representations made by this publication and material do not necessarily reflect the opinions and conclusions of the Department."

C) The Department reserves the right to request at least one copy of all training materials used by the Grantee or any subcontractor for training which is eligible for reimbursement under the grant. The Department will not distribute any proprietary information nor circulate any training materials without the expressed consent of the Grantee or subcontractor with the exception of those materials that are developed in whole or in part with State funds.

3. Training materials, including manuals, workbooks, recordings, software programs, electronic media, and other materials that are used for training purposes only. Any item that can be depreciated will not be considered to be training materials.

4. Instructor costs, including wages, fringe benefits, and travel expenses.

5. Rent or lease of training equipment and/or facilities.

6. Other usual and customary training costs.

7. Trainee wages and fringe benefits.

History

• Source: Amended at 48 Ill. Reg. 17516, effective November 25, 2024

56 Ill. Adm. Code 2650.50 Grant Administration Requirements

a) Audits – Grantees are subject to the audit requirements contained in the Single Audit Act Amendments of 1996 (31 U.S.C. 7501-7507), Subpart F of 2 CFR Part 200, and the audit rules and policies set forth by the Governor's Office of Management and Budget: Budget (see 30 ILCS 708/65(c) and 44 Ill. Adm. Code 7000.90).

b) Monitoring and Access to Information – Grantee must monitor its own activities, including those of any contractors or subrecipients, to assure compliance with applicable state and federal requirements and to assure its performance expectations are being achieved. Grantor will monitor the activities of Grantee to assure compliance with all requirements and performance expectations of the grant award. Grantee must timely submit all financial and performance reports, and must supply, upon Grantor's request, documents and information relevant to the award. Grantor may make site visits as warranted by Program needs. (See 2 CFR 200.329 and 200.332.) Additional monitoring requirements may be included in the grant agreement based on the results of the Grantee's risk assessments or the scope of work activities.

c) Periodic Financial Reporting Requirements – Grantee must submit periodic financial reports as requested and in the format required by Grantor no later than the dues dates specified in the grant agreement. Grantee must submit quarterly reports with Grantor describing the expenditures of the funds related thereto, unless more frequent reporting is required by the Grantee or pursuant to specific award conditions. (See 2 CFR 200.208.) Any report required by 30 ILCS 708/125 will be detailed in of the grant agreement.

d) Periodic Performance Reporting Requirements − Grantees must submit periodic performance reports at least quarterly as requested. (See 44 Ill. Adm. Code 7000.410.).

1. The Grantee may use transcript records exported from a digital training platform to generate employee and course training records.

2. When electronic transcripts are not available, an executive or designee of the company must attest to the accuracy and completion of generated training records.

e) Financial and Performance Closeout Reports – Grantees must submit financial and performance close-out reports, in the format required by Grantor, by the due dates specified in the grant agreement. (See 2 CFR 200.344; 44 Ill. Adm. Code 7000.440(b).)

History

• Source: Amended at 48 Ill. Reg. 17516, effective November 25, 2024

56 Ill. Adm. Code 2650.60 Anti-Discrimination and Drug Free Workplace

Grantee certifies that its employees and employees of companies who participate under the ETIP multi company program made pursuant to this Agreement, must comply with all applicable provisions of State and federal laws and regulations pertaining to nondiscrimination, sexual harassment and equal employment opportunity including, but not limited to: Illinois Human Rights Act [775 ILCS 5], including, without limitation, 44 Ill. Adm. Code 750- Appendix A, which is incorporated herein; Public Works Employment Discrimination Act [775 ILCS 10]; Civil Rights Act of 1964 (as amended) (42 U.S.C. 2000a - 2000h-6); Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794); Americans with Disabilities Act of 1990 (as amended) (42 U.S.C. 12101 et seq.); and the Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.). Grantee further certifies it will provide a drug free workplace pursuant to the Drug Free Workplace Act [30 ILCS 580/3].

History

• Source: Amended at 48 Ill. Reg. 17516, effective November 25, 2024

Part 2650 Employer Training Investment Program

56 Ill. Adm. Code 2650.70 Selection for Funding (recodified)

History

• Source: Section 2650.70 recodified to Section 2650.140 at 13 Ill. Reg. 15386

56 Ill. Adm. Code 2650.80 Allowable Costs (recodified)

History

• Source: Section 2650.80 recodified to Section 2650.40 at 13 Ill. Reg. 15386

56 Ill. Adm. Code 2650.90 Grant Administration Requirements (recodified)

History

• Source: Section 2650.90 recodified to Section 2650.50 at 13 Ill. Reg. 15386

56 Ill. Adm. Code 2650.100 Nondiscrimination (recodified)

History

• Source: Section 2650.100 recodified to Section 2650.60 at 13 Ill. Reg. 15386.

Part 2650 Employment Training Investment Program

56 Ill. Adm. Code 2650.110 Application Procedures

Applications will be accepted at any time that there is an active Notice of Funding Opportunity. Receipt of an application does not commit the Department to award a grant or to pay any costs incurred in the preparation of an application. The applicant should not procure, contract for, or incur costs for services or supplies prior to the signing of a written agreement. Pre-award costs will not be reimbursed. All data, material, and documentation originated by an application and prepared for an application or agreement shall belong exclusively to the State of Illinois and the Department. The Department will allow interested businesses, business and industry associations, institutions of secondary or higher education, strategic business partnerships, labor organizations or other organizations to apply for this opportunity through online submissions available on the DCEO grant website. Applications for grant funds shall be submitted in accordance with the procedures established in the Notice of Funding Opportunity that is published on the Illinois Catalog of State Financial Assistance website.

History

• Source: Amended at 48 Ill. Reg. 17516, effective November 25, 2024

56 Ill. Adm. Code 2650.120 Application Documentation

Applications will include documentation of the following:

a) Application Cover Page – that contains name, address, and telephone number of applicant; name, address, e-mail address and telephone number of training coordinator, if different from the applicant; amount of program funds being requested; starting and ending dates of program; total number of new and upgraded employees to be trained; current number of employees working in administration and production; company Federal Employment Identification Number (FEIN); North American Industry Classification System (NAICS); Illinois Unemployment Insurance Account Code; Senate District number; Representative District number; indication whether the company is located in an Illinois State Enterprise Zone, Underserved Area, Energy Transition Zone, or Opportunity Zone; indication whether company is reopening a facility which had been previously closed; the name of labor unions representing employees at the facility, if applicable; and an indication of whether the company applied for or received training assistance under the program in prior fiscal years.

b) Materials minimally required by GATA including: the Uniform Grant Application, the Uniform Budget Template, the Conflict of Interest Disclosure form, and Mandatory Disclosure form.

c) Training Outline – that details, by job classification or training course, minimum skills desired for entry into training by job or training course additional skills to be acquired in training by job or training course, and how the outcomes of the training will be evaluated.

d) Program Outline Timetable – that details the training schedule of employee entry by job classification or training course per month into the program.

e) Training Outline Data/Trainees – that lists the job classification or training course and the number of trainees for each classification or training course. This form lists the number of new and upgraded trainees, the number of hours of training requested for each trainee or training course, and the average wage paid to the employees in that job classification or training course.

f) Training Outline Data/Trainers – that identifies whether instructors are internal or external. The total number of instructional hours and the instructor costs, including tuition and fees, are required.

g) Project Training Budget Summary – which details the total cost of training and the requested grant amounts of the Program.

h) A Brief Narrative − explaining each line item on the budget summary. The narrative shall state how each "total costs" figure was obtained and should provide information regarding how all training hours and other training costs will be tracked and documented.

i) Optional Transmittal − letter providing information on: recent trends and significant events in the company's workforce, sales, competition, production, markets, and facility locations; how applicant will coordinate and use other training programs for funding, as appropriate; describe training activities, including training content, training providers, timeline, training methods, assessment techniques and how the training is linked to any new capital investment; and how these activities will be linked to work unit and/or company performance.

j) Disclosure of Financial Information – a form that may be signed and dated by the Chief Executive Officer certifying that the commercial and financial information contained in the grant application is proprietary, privileged, confidential or is of a nature that its disclosure may cause competitive harm to the applicant, thereby rendering the application exempt from disclosure under Section 7 of the Freedom of Information Act [5 ILCS 140].

k) Other − other materials may also be required as determined by the Department.

History

• Source: Amended at 48 Ill. Reg. 17516, effective November 25, 2024

56 Ill. Adm. Code 2650.130 Application Evaluation

The Department shall screen all applications to determine that all requirements of the application package have been addressed. Complete applications will be reviewed and evaluated pursuant to a merit review by Department staff following the requirements of the Grant Accountability and Transparency Act ("GATA") (44 Ill. Adm. Code 7000.350). This review and evaluation process will be completed within 75 days after receipt of all required information. Those applications determined eligible for funding based on the evaluation process described in subsections (a) and (b), according to the following criteria:

a) Need: Identification of stakeholders, facts and evidence that demonstrate the proposal supports the grant program's purpose. The following criteria will be evaluated:

1. Located in a State-designated enterprise zone, underserved area, energy transition area, or opportunity zone;

2. County unemployment rate; and

3. Applicant is adversely affected by foreign competition or training would provide company an advantage in competing in a global market (e.g., project relates to advance technology, quality and/or productivity improvements or export oriented, job retention or improving business competitiveness);

b) Capacity: The ability of an entity to execute the grant project according to project requirements; and

1. Project readiness (e.g., time schedule for project initiation);

2. Illinois-based company; and

3. Participation within other DCEO programs including, but not limited to, EDGE, REV, MICRO, Data Centers, HIB;

c) Quality: The totality of features and characteristics of a service, project, or product that indicates its ability to satisfy the requirements of the grant program.

1. Average wage rate of trainees;

2. New capital investment (e.g., training directly relates to jobs) and capital investment per trainee;

3. Applicant has identified specific and measurable training objectives;

4. Quality and consistency of the proposed training program;

5. Level of value-added for the specific industry and/or region within Illinois; and

d) Technical Evaluation Component – Each application will be reviewed to assure compliance with technical program requirements as detailed in Sections 2650.30 and 2650.120.

History

• Source: Amended at 48 Ill. Reg. 17516, effective November 25, 2024

Part 2650 Employer Training Investment Program

56 Ill. Adm. Code 2650.140 Selection for Funding

a) The Department will establish an annual spending plan for the disbursement of the funds appropriated to the program each fiscal year. One component of the annual spending plan will be an allocation for single-company applicants.

b) A set-aside fund will be established in order to take action on those applications requiring immediate attention (e.g., an industrial project in need of a commitment, as a part of an overall Department incentive offer to locate in Illinois; a project which could not move forward without Department funding). The set-aside allocations will be established based on the historical demand for the funds and may be changed to allow for the types, number, and quality of requests received throughout the year.

c) Applicants will receive written notification of funding determinations.

History

• Source: Amended at 19 Ill. Reg. 15374, effective October 20, 1995

56 Ill. Adm. Code 2650.210 Application Procedures (repealed)

History

• Source: Repealed at 19 Ill. Reg. 15374, effective October 20, 1995

56 Ill. Adm. Code 2650.220 Application Documentation (repealed)

History

• Source: Repealed at 19 Ill. Reg. 15374, effective October 20, 1995

56 Ill. Adm. Code 2650.230 Application Evaluation (repealed)

History

• Source: Repealed at 19 Ill. Reg. 15374, effective October 20, 1995

56 Ill. Adm. Code 2650.240 Selection for Funding (repealed)

History

• Source: Repealed at 19 Ill. Reg. 15374, effective October 20, 1995

56 Ill. Adm. Code 2650.250 Reporting Requirements (repealed)

History

• Source: Repealed at 19 Ill. Reg. 15374, effective October 20, 1995

Part 2650 Employment Training Investment Program

56 Ill. Adm. Code 2650.310 Application Procedures (repealed)

History

• Source: Repealed at 48 Ill. Reg. 17516, effective November 25, 2024

56 Ill. Adm. Code 2650.320 Application Documentation (repealed)

History

• Source: Repealed at 48 Ill. Reg. 17516, effective November 25, 2024

56 Ill. Adm. Code 2650.330 Application Evaluation (repealed)

History

• Source: Repealed at 48 Ill. Reg. 17516, effective November 25, 2024

56 Ill. Adm. Code 2650.340 Selection for Funding (repealed)

History

• Source: Repealed at 48 Ill. Reg. 17516, effective November 25, 2024

Part 2650 Employer Training Investment Program

56 Ill. Adm. Code 2650.350 Administrative Requirements (repealed)

History

• Source: Repealed at 19 Ill. Reg. 15374, effective October 20, 1995

Part 2660 Job Training and Economic Development Grant Program

56 Ill. Adm. Code 2660.10 Purpose

The purpose of the Job Training and Economic Development Grant Program is to meet the skill needs of the target industries by establishing and expanding partnerships between employers and Eligible Entities to develop training programs and provide access to Barrier Reduction Funding for individuals in the Target Population.

56 Ill. Adm. Code 2660.20 Definitions

"American Rescue Plan Act" means American Rescue Plan Act of 2021, Section 9901, P.L. 117-2, 42 U.S.C. 802.

"Barrier Reduction Funding" means flexible funding through a complementary grant agreement, contract, or budgetary line to increase family stability and job retention by covering accumulated emergency costs for basic needs, such as housing-related expenses (rent, utilities, etc.), transportation, child care, digital technology needs, education needs, mental health services, substance abuse services, income support, and work-related supplies that are not typically covered by programmatic supportive services [20 ILCS 605/605-415(b)].

"Community-based organization" means a private nonprofit organization (which may include a faith-based organization), that is representative of a community or a significant segment of a community and that has demonstrated expertise and effectiveness in the field of workforce development as indicated by providing examples of current or completed successful projects similar in scope, identifying expertise of staff and demonstrating successful relationships with key stakeholders, including eligible training providers, employers and social service agencies.

"Complementary workforce or job training grant award or contract" means a grant or contract award that provides workforce or job training services and is awarded to an eligible barrier reduction funding recipient, other than through the Program.

"COVID-19" means the novel coronavirus disease deemed COVID-19 by the World Health Organization on February 11, 2020.

"Department" means the Department of Commerce and Economic Opportunity.

"Department's 5-year Economic Plan" means the current strategic economic development plan for the State developed by the Department, including any annual modifications thereto, pursuant to 20 ILCS 605/605-300.

"Disproportionately impacted area" means those ZIP Codes most severely affected by the COVID-19 pandemic, to be determined based on positive COVID-19 case per capita rates, and that meet at least one of the following poverty-related criteria relative to other ZIP Codes within their region:

share of population consisting of children age 6 to 17 in households with income less than 125% of the federal poverty level (FPL);

share of population consisting of adults over age 64 in households with income less than 200% FPL;

share of population in households with income less than 150% FPL; or

share of population consisting of children ages 5 and under in households with income less than 185% FPL.

The State is divided into the following two regions for purposes of determining a disproportionately impacted area:

1. The counties of Cook, Kane, Lake, Will, and DuPage; and

2. All other counties within the State.

To determine a disproportionately impacted area, the poverty data points listed in this definition are compared only with the data of the ZIP Codes of the applicable region to determine whether at least one of the poverty-related criteria is met.

"Economic development organizations" means local planning or community development organizations and other local organizations and institutions responsible for promoting or assisting in local economic development.

"Eligible Entities" means employers, private nonprofit organizations (which may include a faith-based organization), federal Workforce Innovation and Opportunity Act (WIOA) administrative entities, Community Action Agencies, industry associations, and public or private educational institutions, that have demonstrated expertise and effectiveness in administering workforce development programs [20 ILCS 605/605-415(b)].

"Eligible Barrier Reduction Funding Recipients" means organizations that meet the requirements set forth in Section 2660.80(c).

"Eligible Training Provider" means an organization, such as a public or private college or university, an industry association, registered apprenticeship program or a community-based organization that is approved to provide training services by the appropriate accrediting body [20 ILCS 605/605-415(b)].

"Employer":

in relation to the definition of Eligible Entities, means a person or company that is in good standing to do business in Illinois and that employs one or more individuals.

in relation to all other purposes set forth in this Part, means a person or company that is in good standing to conduct business in Illinois or any state that is adjacent to Illinois and that employs one or more individuals.

"GATA" means the Grant Accountability and Transparency Act [30 ILCS 708].

"Grantee" means any applicant for a grant award under this program whose proposal is funded by the Department.

"Local" means an economically integrated geographic area within which individuals can reside and find employment within a reasonable distance for that area or can readily change employment without changing their place of residence.

"Local level plans" means the portions of the current WIOA regional level plans developed with respect to the corresponding local area within the region, and any regionwide provision of that plan that impacts or relates to the local area.

"Local Workforce Innovation Areas" means the areas designated by the State in the State's WIOA Unified Plan under WIOA, 29 U.S.C. 3121.

"Local Workforce Innovation Boards" means the area boards established under WIOA, 29 U.S.C. 3122, which carry out the designated functions for the applicable Local Workforce Innovation Area.

"Low-income individual" means an individual who:

receives, or in the past 6 months has received, or is a member of a family that is receiving or in the past 6 months has received, assistance through:

the supplemental nutrition assistance program established under the Food and Nutrition Act of 2008 (7 U.S.C. 2011),

the program of block grants to States for temporary assistance for needy families under part A of title IV of the Social Security Act (42 U.S.C. 601),

the supplemental security income program established under title XVI of the Social Security Act (42 U.S.C. 1381), or

State or local income-based public assistance;

is in a family with total family income that does not exceed the higher of:

the poverty line; or

70 percent of the lower living standard income level;

is a homeless individual (as defined in 34 U.S.C. 12473(6)), or a homeless child or youth (as defined in 42 U.S.C. 11434a(2));

receives or is eligible to receive a free or reduced price lunch under the Richard B. Russell National School Lunch Act (42 U.S.C. 1751);

is a foster child on behalf of whom State or local government payments are made; or

is an individual with a disability whose own income meets the requirements of this definition; however, the individual is permitted to be a member of a family whose income does not meet these requirements.

"Lower living standard income level" means that income level (adjusted for regional, metropolitan, urban, and rural differences and family size) determined annually by the U.S. Secretary of Labor based on the most recent lower living family budget issued by the Secretary.

"Moderate-income individuals" means individuals and their families whose incomes exceed 50 percent, but do not exceed 80 percent, of the area median income, as determined by the Secretary of the U.S. Department of Housing and Urban Development with adjustments for smaller and larger families.

"Negative economic or public health impacts" means harm that households or populations have experienced as a result of the COVID-19 pandemic, as permitted by the American Rescue Plan Act and the related guidance issued by the U.S. Department of the Treasury (see https://home.treasury.gov/policy-issues/coronavirus/assistance-for-state-local-and-tribal-governments/state-and-local-fiscal-recovery-funds). "Negative economic or public health impacts" includes, but is not limited to, households or populations that:

have experienced unemployment or increased food or housing insecurity due to the COVID-19 pandemic;

are low-income individuals or moderate-income individuals, which experienced negative impacts due to the COVID-19 pandemic;

are living within either a qualified census tract or a disproportionately impacted area; or

are receiving services or other assistance pursuant to this Part within either a qualified census tract or a disproportionately impacted area.

"Nonprofit organization" means an organization that is registered as a nonprofit corporation and in good standing with the Illinois Secretary of State.

"One-stop operators" means entities designated or certified by the Local Workforce Innovation Boards under WIOA, 29 U.S.C. 3151, to operate centers that provide access to career and job training services.

"On-the-job training" means training by an employer that is provided to a paid participant while engaged in productive work in a job that:

provides knowledge or skills essential to the full and adequate performance of the job;

is made available through a program that provides reimbursement to the employer of up to the amount set by the Department in the Notice of Funding Opportunity ("NOFO"), based on the amount and source of funding, for the extraordinary costs of providing the training and additional supervision related to the training; and

is limited in duration as appropriate to the occupation for which the participant is being trained, taking into account the content of the training, the prior work experience of the participant, and the service strategy of the participant, as appropriate.

"Poverty line" means the poverty line (as defined by the Office of Management and Budget, and revised annually in accordance with 42 U.S.C. 9902(2)) applicable to a family of the size involved.

"Public assistance" means federal, State, or local government cash payments for which eligibility is determined by a needs or income test.

"Qualified Census Tract" means a census tract, as defined by the U.S. Census Bureau, having 50 percent of households with incomes below 60 percent of the Area Median Gross Income (AMGI) or having a poverty rate of 25 percent or more.

"Regional level plans" means the current plans, pursuant to WIOA, 29 U.S.C. 3121(c), prepared by the Local Workforce Innovation Boards and chief elected officials within regions designated by the State in the State's WIOA Unified Plan.

"Secretary" means the Secretary of the U.S. Department of Labor.

"State" means the State of Illinois.

"State's WIOA Unified Plan" means the current 4-year strategy for the core workforce programs of the State that must be submitted and approved by the Secretary pursuant to WIOA, 29 U.S.C. 3112.

"Supportive services" means services such as transportation, child care, dependent care, housing, and needs-related payments, that are reasonable, necessary and approved by the Department as part of the grant application and approval process, to enable an individual to participate in activities authorized under the Job Training and Economic Development Grant Program.

"Target Population" means persons who are unemployed, under-employed, or under-represented that have one or more barriers to employment as defined for "individual with a barrier to employment" in the federal Workforce Innovation and Opportunity Act ("WIOA"), 29 U.S.C. 3102(24) [20 ILCS 605/605-415(b)]. If permitted by the applicable funding source, a "barrier to employment," pursuant to 29 U.S.C. 3102(24)(N), shall include individuals who reside in or receive services in a qualified census tract or a disproportionately impacted area, or who have experienced negative economic or public health impacts resulting from the COVID-19 pandemic.

"Target industries" means in-demand industries identified in the Department's 5-year Economic Plan, the State's WIOA Unified Plan and any relevant local or regional level plans, and the funding source for any NOFO under the Job Training and Economic Development Program.

"Transitional job training" means time-limited, wage-paid work experiences that are subsidized by grant funds up to 100 percent of the wages. Types of work-based learning opportunities in a transitional jobs program includes, but is not limited to, on-the-job training, work experience and pre-apprenticeships.

"Under-employed individual" means an individual who is:

working part-time but desires full-time employment;

working in employment not commensurate with the individual's demonstrated level of educational and/or skill achievement; or

employed and meets the definition of a low-income individual.

If permitted by the applicable funding source, "under-employed individual" shall include:

an individual who meets one of the requirements of "under-employed individual" set forth in the first three paragraphs of this definition and resides in or receives services in a qualified census tract; or

an individual who is employed and is in need of job training and other assistance to address the negative economic or public health impacts experienced due to the COVID-19 pandemic, due to the individual's occupation or level of training.

"Under-represented individuals" means individuals, groups and communities that have experienced disparities or disadvantages in employment. If permitted by the applicable funding source, "under-represented individuals" shall include individuals who reside in or receive services in a qualified census tract or a disproportionately impacted area, or who have experienced negative economic or public health impacts resulting from the COVID-19 pandemic.

"Unemployed individual" means an individual who is without a job and who wants and is available for work. The determination of whether an individual is without a job, for purposes of this definition, shall be made in accordance with the criteria used by the Bureau of Labor Statistics of the U.S. Department of Labor (http://www.bls.gov) or as required by the relevant funding source. If permitted by the applicable funding source, "unemployed individual" shall include:

an individual who meets the definition of "unemployed individual" set forth above and resides in or receives services in a qualified census tract; or

an individual who:

is without a job;

wants and is available to work, including someone who has looked for work sometime in the past 12 months; and

is in need of job training and other assistance to address the negative economic or public health impacts experienced due to the COVID-19 pandemic; or

an individual who is currently employed but received a notice of termination or lay-off from the current employment and will no longer be employed within ninety days.

"Uniform Guidance" means the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 CFR Part 200.

"WIOA" means the Workforce Innovation and Opportunity Act (29 U.S.C. 3101).

"Youth" means an individual aged 16-24 who faces one or more barriers to education, training, and employment [20 ILCS 605/605-415(b)].

56 Ill. Adm. Code 2660.30 Eligible Grant Applicants

An eligible applicant for a grant award under the Job Training and Economic Development Grant Program shall be an Eligible Entity. To be eligible for a grant award, an applicant shall have an active GATA registration and be qualified on the GATA Grantee Portal (https://grants.illinois.gov/portal/) at the time the application is submitted.

56 Ill. Adm. Code 2660.40 Eligible Grant Program Activities

The Department shall make grant awards to Eligible Entities as described in this Part, contingent on available funds. The grants shall be made to support one or more of the following activities as permitted by the applicable Notice of Funding Opportunity:

a) Creating and funding customized training with employers to support, train, and employ individuals in the Target Population.

b) Coordinating partnerships between Eligible Entities, employers or industry associations, and educational entities, to develop and operate regional or local strategies for target industries. These strategies must be part of a career pathway for in-demand occupations that result in certifications or credentials for individuals in the Target Population.

c) Leveraging Barrier Reduction Funding to provide assistance (e.g. transportation, child care, mental health services, substance abuse services, and income support) for individuals in the Target Population, including Youth participants in workforce development programs to assist with a transition to post-secondary education or full-time employment and a career.

d) Establishing policies for resource and service coordination and to provide funding for services that attempt to reduce employment barriers such as housing-related expenses (rent, utilities, etc.), child care, digital technology needs, counseling, relief from fines and fees, education needs, and work-related supplies that are not typically covered by programmatic supportive services.

e) Developing work-based learning and transitional job training programs with employers to support low-income individuals in the Target Population including youth that require on-the-job experience to gain employability skills, work history, and a network to enter the workforce.

f) Using funding for participant outreach, case management support, training, subsidies for employee wages, and grants to Eligible Entities in each region designated in the State's WIOA Unified Plan, as feasible, to administer transitional job training programs. [20 ILCS 605-415(c)]

g) Assisting in building the capacity of private nonprofit organizations to provide job training services by providing technical assistance or forming partnerships with more established Eligible Entities through subawards or subcontracts of Job Training and Economic Development Grants.

56 Ill. Adm. Code 2660.50 Administrative Requirements

Grant opportunities and awards will be administered in a manner that complies with all state and federal requirements applicable to each funding opportunity, including, but not limited to GATA, the Uniform Guidance and all applicable State or federal laws or guidance (e.g., Job Training and Economic Development Grant Program, 20 ILCS 605/605-415; U.S. Department of the Treasury guidance at https://home.treasury.gov/policy-issues/coronavirus/assistance-for-state-local-and-tribal-governments/state-and-local-fiscal-recovery-funds). Grant applicants and Grantees shall review all application materials and grant award documents which will include the specific applicable requirements for the grant opportunity. The Department reserves the right to suspend or terminate a grant agreement, recoup grant funds received under this Part or withhold any future year funding for non-compliance with the grant agreement provisions.

a) Application Process

1. The Department will post one or more Notices of Funding Opportunity (NOFO) on the GATA Grantee Portal (https://grants.illinois.gov/portal/) seeking applications from Eligible Entities contingent upon available funds. The NOFO will describe in detail the types of projects for which funding is available (see Section 2660.40). A single NOFO may seek applications from more than one type of project. Applicants shall submit their application materials by the deadlines set by the Department in the NOFO, which will be at least 30 days after the NOFO posting.

2. As part of the application, applicants shall provide the following information about the proposed program:

A) a description of the purpose of the grant program;

B) a discussion of activities and eligible costs;

C) a description of the Eligible Training Providers, including the instructional materials that directly tie to the specific industry sector of the partnership employers;

D) a description of the roles in the program of local businesses, economic development organizations, industry associations, Local Workforce Innovation Boards, private nonprofits or other organizations, including, but not limited to, partnership agreements, assessing skill needs, curriculum development, the provision of training, placement of program completers into jobs, coordinating job retention and follow-up support;

E) a description of who within the Target Population the program is expected to assist (e.g., unemployed, under-employed, or under-represented that have one or more barriers to employment) and how the applicant will determine program participant eligibility;

F) a narrative description of the proposed training program, including, but not limited to, the target industries and occupations, the curriculum and the role of employers in the delivery of training;

G) a description of any technical assistance to be provided by the applicant, if applicable;

H) the specific activities and costs proposed for the grant;

I) projected outcomes from grant activities including, but not limited to, a description of deliverable products, credentials earned, estimated jobs created or placed, wages earned, the number of low-income individuals and numbers by group identified in the Target Population to be trained and the likely effect training will have on their future earnings;

J) a description of the qualifications of key personnel to be assigned to the project;

K) a requested budget and supporting justification of the costs requested;

L) whether the partner employers will provide an in-kind or cash match;

M) a description of the employment barriers and needs of the local residents and how the project will meet these needs;

N) a description of the priority workforce needs of the local industries, how these align with the State's WIOA Unified Plan, the regional and local level plans, the Department's Economic Development Plan and any in-demand industries required by the funding source or as set forth in the NOFO, and how the project will meet these needs; and

O) a timeline for community outreach and enrollment of program participants.

3. Applicants for training grants will be required to submit a work plan that sets forth the proposed roles in the grant program of local employers or industry associations in target industries. The work plan must include a description of the:

A) involvement of local employers in identifying the specific skill needs;

B) involvement of local employers in planning the curricula;

C) use of instructional materials directly used by the local employers in the target industries;

D) local employers' assistance in the training activities (e.g., participate as instructors or use employer equipment and technology); and

E) the local employers' plans for hiring, retention or promotion of program participants, including unemployed and under-employed individuals, after receipt of training through the program.

b) Grant Award Selection

1. Grants will be awarded to Eligible Entities following a merit review of the applications as required by GATA (44 Ill. Adm. 7000.350) and the applicable funding source. In evaluating applications, the Department will consider the following criteria:

A) The application indicates the project will serve individuals who are within the Target Population;

B) The applicant's grant performance history, including meeting the goals of any previous grants and the level of success in achieving employment, wage, and retention goals;

C) The experience of the Eligible Entities in serving individuals who are in the Target Population;

D) The level of participation of local employers or industry associations in the training partnership and the proposed work plan;

E) The amount of matching funds (either cash or in-kind) provided by the local employers or industry associations;

F) The likelihood that training will result in increased earnings for under-employed or under-represented individuals who are program participants;

G) The likelihood that training will result in the placement of individuals who are in the Target Population into the specific occupations within the target industries and the average wage at placement;

H) The credentials, licenses or certifications training participants will earn and the career pathways facilitating long-term advancement with the employer or within the industry sector a participant will gain;

I) The qualifications of personnel assigned to the proposed project;

J) The quality of the proposed curricula and related materials;

K) The reasonableness of the proposed costs in relation to the number of individuals in the Target Population to be trained; and

L) Any additional information to demonstrate or support the information submitted by the applicant for the proposed project.

2. The Department shall give a priority to projects that include an in-kind match by an employer in partnership with an Eligible Entity and projects that use instructional materials and training instructors directly used in the specific industry sector of the partnership employer.

3. Participating employers should be active participants in identifying the skills needed for their jobs to ensure the training is appropriate for the Target Population.

4. Eligible Entities shall assess the employment barriers and needs of local residents and work in partnership with designated one-stop operators within the Local Workforce Innovation Areas and local economic development organizations to identify the priority workforce needs of the local industries. These must align with the State's WIOA Unified Plan, the regional and local level plans, the Department's 5-year Economic Plan [20 ILCS 605-415(d)] and any in-demand industries required by the funding source.

5. Eligible Entities shall work with local partners, including, but not limited to, local employers or industry associations in the target industries, Eligible Training Providers and social service and community-based organizations to design programs with maximum benefits to individuals in the local Target Population; and

6. Employers must be involved in identifying specific skill-training needs, planning curriculum, assisting in training activities, providing job opportunities, and coordinating job retention for people hired after training through this program and follow-up support. [20 ILCS 605-415(d)]

c) Grant Disbursements

Disbursement of grant funds from the Department will be made in accordance with a schedule included in the grant agreement. The Department will disburse funds based on the grantee making satisfactory progress to implement grant activities.

d) Grant Performance, Monitoring and Reporting Requirements

Grantees shall comply with all State laws, as well as all GATA and Department requirements, that are set forth in the grant agreement for grant performance, administration, monitoring and reporting, including monitoring any subrecipients.

1. Grant performance goals and performance and expenditure reporting will be based on the specific grant project activities of each grant award and will follow GATA requirements (44 Ill. Adm. Code 7000.410), which include periodic financial and performance reports at least quarterly, or as required by the applicable funding source, and financial and performance close-out reports after the end of the grant term (see 44 Ill. Adm. Code 7000.440). The deadlines for all required reports will be set forth in the grant agreement.

2. Grant audits shall be based on the standards set forth in the GATA requirements (44 Ill. Adm. Code 7000.90).

3. Grantees must monitor their grant activities, and those of any subrecipients, to assure compliance with applicable State and federal requirements and to assure their performance expectations are being achieved. The Department will monitor the activities of grantees to assure compliance with all requirements and performance expectations of the award. Grantees shall timely submit all financial and performance reports, and shall supply, upon the Department's request, documents and information relevant to the award. The Department may monitor activities through site visits.

e) Grant Extensions

Contingent upon the availability of funds and consistent with GATA as applicable, the Department may negotiate grant extensions and add funds for grant projects that were originally competitively procured and performed successfully.

f) Records Retention

Grantees shall maintain, for the period of years set forth in the GATA rules (44 Ill. Adm. Code 430(a), (b)) and grant agreement, adequate books, all financial records and supporting documents, statistical records, and all other records pertinent to the Job Training and Economic Development Grant Program. If any litigation, claim or audit is started before the expiration of the retention period, the records must be retained until all litigation, claims or audit exceptions involving the records have been resolved and final action taken. The applicable retention period will be dependent on the source of funding for the grant award. Grantees shall be responsible for ensuring that contractors and subrecipients comply with the retention requirements.

56 Ill. Adm. Code 2660.60 Allowable Costs

Grant expenditures must comply with GATA, the Uniform Guidance or any applicable funding source, be reasonable and necessary and support one of the allowable grant activities set forth in Section 2660.40. Specific allowable grant costs will be set forth in the applicable NOFO, based on the types of projects which are available for funding per the funding source, and will include one or more of the following:

a) expenses to design training curricula and related materials;

b) expenses to provide industry linked skill training and work-based learning to individuals in the Target Population (e.g., instructor costs and curriculum materials);

c) expenses for the ongoing evaluation and refinement of the curricula and related materials;

d) expenses for the design and implementation of a needs assessment to determine specific skill shortages being experienced by one or more local industries;

e) expenses for the design and implementation of a needs assessment to determine the education and training needs of the Target Population relative to the skill needs of local industries;

f) expenses for the design of curricula and related materials for training programs designed for individuals in the Target Population to prepare them to meet identified skill labor shortages;

g) expenses for the delivery of the industry linked training and work-based learning to unemployed persons and placement of program completers into jobs in the targeted industries;

h) expenses for ongoing coordination of the Eligible Training Partners;

i) program participant wages;

j) case management activities for program participants, including, one-on-one career planning, staff assistance and career counseling;

k) expenses for technical assistance as set forth in the applicable NOFO;

l) Barrier Reduction Funding and supportive services;

m) expenses incurred to meet grant administration requirements; and

n) any other costs determined to be reasonable and necessary to carry out the grant program activities as permitted by the applicable NOFO and funding source, and approved by the Department.

56 Ill. Adm. Code 2660.70 Participant Eligibility

Eligible participants for training under the Job Training and Economic Development program include individuals in the Target Population as set forth in the applicable NOFO.

56 Ill. Adm. Code 2660.80 Barrier Reduction Funding

The Department may allow costs for Barrier Reduction Funding either through budget line items in the Job Training and Economic Development Grants as set forth in this Part, or through a separate grant award that supports a complementary workforce or job training grant award or contract, as permitted by the applicable funding source.

a) Uses of Funding

Barrier Reduction Funding must be used for services that attempt to reduce employment barriers including, but not limited to, housing-related expenses (rent, utilities, etc.), childcare, digital technology needs, counseling, relief from fines and fees, education needs, and work-related supplies that are not typically covered by programmatic supportive services. Depending on the applicable funding source, Barrier Reduction Funding may be used in addition to supportive services. If permitted by the funding source, Barrier Reduction Funding may be used to assist individuals who reside in or receive services in a qualified census tract or in a disproportionately impacted area, or who have experienced negative economic or public health impacts (see Section 2660.20) resulting from the COVID-19 pandemic.

b) Application Process

1. The Department will post one or more NOFOs on the GATA Grantee Portal seeking applications from Eligible Barrier Reduction Funding Recipients contingent upon available funds. The NOFO will describe in detail the types of projects for which funding is available based on the funding source. Barrier Reduction Funding may be made available through a NOFO seeking applications for Job Training and Economic Development Grants or through a NOFO seeking requests for a separate grant to support a complementary workforce or job training grant or contract. A single NOFO may seek applications from more than one type of project. Applicants shall submit their application materials by the deadlines set by the Department, which will be at least 30 days after posting the NOFO. The Department will set forth in the relevant NOFO, based on the applicable funding source, the specific requirements and allowable costs, including the maximum amount permitted per participant, for Barrier Reduction Funding.

2. All Barrier Reduction Funding requests, whether submitted as part of a budget line item in an application for a Job Training and Economic Development Grant or as a separate grant to supplement a complementary workforce job training grant award or contract, shall follow the application procedures set forth in Section 2660.50, as applicable.

3. In addition to the requirements in Section 2660.50, all applicants for Barrier Reduction Funding will be required to:

A) demonstrate the applicant has established policies for resource and service coordination with appropriate provider organizations;

B) demonstrate there is a need to use Barrier Reduction Funding to assist program participants in a manner related to either a Job Training and Economic Development Grant or a complementary workforce or job training grant award or contract;

C) describe the population of individuals to be served, the region of the State to be served, the types of assistance to be provided to program participants and the estimated total amounts and the amounts to be provided per participant; and

D) describe the anticipated outcomes by using the Barrier Reduction Funding to assist program participants.

4. Applicants requesting Barrier Reduction Funding as a separate grant to support a complementary workforce or job training grant award or contract will be required to submit a copy of such complementary grant agreement or contract either at the time of application or as soon as it is available.

c) Eligible Barrier Reduction Funding Recipients and Program Participants

1. For Barrier Reduction Funding requests submitted as part of a budget line item in an application for a Job Training and Economic Development Grant, eligible applicants shall meet the requirements set forth in Section 2660.30 and eligible program participants shall meet the requirements set forth in Section 2660.70.

2. For Barrier Reduction Funding requested to supplement a complementary workforce or job training grant award or contract, eligible Barrier Reduction Funding recipients must meet the eligibility requirements set forth in Section 2660.30 and the eligible program participants must meet the requirements set forth in Section 2660.70. In addition, eligible Barrier Reduction Funding recipients and program participants must meet the requirements of the applicable complementary workforce or job training grant award or contract, demonstrated by receipt of the complementary workforce or job training grant award or contract.

d) Barrier Reduction Funding Issuance and Administrative Procedures

1. Barrier Reduction Funding requests submitted as part of a budget line item in an application for a Job Training and Economic Development Grant, will follow the grant selection and administrative procedures set forth in Section 2660.50.

2. Barrier Reduction Funding requested as a separate grant to support a complementary workforce or job training grant award or contract shall follow the award issuance and other administrative procedures set forth in Section 2660.50 and in the relevant NOFO or request for proposal for the complementary workforce or job training grant award or contract.

Chapter III Department of Commerce and Community Affairs

Part 2660 Job Training and Economic Development Grant Program

56 Ill. Adm. Code 2660.10 Purpose

Establish and expand partnerships between community-based providers and local employers to develop training programs for unemployed disadvantaged persons and train existing low skill, low wage employees and newly hired disadvantaged persons to meet the skill needs of local industry.

56 Ill. Adm. Code 2660.20 Definitions

Community-based Provider – A not-for-profit organization, with a local board of directors, that directly provides job training services. The not-for-profit organization must have a history of serving disadvantaged persons, including welfare recipients.

Department – The Department of Commerce and Community Affairs (DCCA).

Director – The Director of the Department of Commerce and Community Affairs.

Disadvantaged Person – An individual who:

receives, or is a member of a family which receives, cash welfare payments under a federal, State, or local welfare program;

has, or is a member of a family which has, received a total family income for the six month period prior to application for the program involved (exclusive of unemployment compensation, child support payments, and welfare payments) which, in relation to family size, was not the excess of the higher of:

the official poverty line (as defined by the Office of Management and Budget, and revised annually in accordance with section 673(2) of the Omnibus Reconciliation Act of 1981 (442 USC 9902(2)); or

70% of the lower living standard income level;

is receiving (or has been determined, within the last six month period prior to the application for the program involved, to receive) food stamps pursuant to the Food Stamp Act of 1977;

qualifies as a homeless persons under subsections (a) and (c) of section 103 of the Steward B. McKinney Homeless Assistance Act;

is a foster child on behalf of whom State or local government payments are made; or

in cases permitted by the Secretary of the U.S. Department of Labor, is an individual with a disability whose own income meets the requirements of one of the first two subparagraphs of this definition, but who is a member of a family whose income does not meet such requirements.

Economic Development Organization – Includes local planning or community development organizations and other local organizations and institutions responsible for promoting or assisting in local economic development.

Grantee – Any applicant for a grant under this program whose proposal is funded by the Department.

JTPA – The federal Job Training Partnership Act.

Low Wage – An hourly wage (or equivalent), excluding fringe benefits, that is equal to, or less than, 175% of the Federal Poverty Rate for a family of three.

Secretary – Secretary of the U.S. Department of Labor.

Training Partners – A Community-based provider and one or more employers who have established training and placement linkages.

History

• Source: Amended at 26 Ill. Reg. 11842, effective July 18, 2002

56 Ill. Adm. Code 2660.30 Eligible Grant Applicants

An eligible applicant for a grant under the Job Training and Economic Development Demonstration Grant Program shall be a community-based provider.

56 Ill. Adm. Code 2660.40 Administrative Requirements

a) Audits – The Department reserves the right to conduct specific audits at any time during normal working hours of funds expended under Department grants.

b) Monitoring – The Department will ensure that periodic on– site grant monitoring visits are conducted by the Department during the course of the grant period. The Department shall verify that the Grantee's financial management system is structured to provide accurate, current, and complete disclosure of grant expenditures and that all expenditures are in accordance with all provisions, terms, and conditions contained in the grant agreement with the Department. The Department shall also verify that participant files are maintained and contain documentation sufficient to demonstrate that individuals receiving training were, at the time the training was provided, low wage workers, recently hired disadvantaged persons, or unemployed disadvantaged persons.

c) Reporting – The Grantee shall submit the following reports to the Department:

1. within 45 days after the end of each quarter, a written description of achievements as compared to the planned scope of the work;

2. within 45 days after each quarter, a summary of grant expenditures as compared to quarterly planned expenditures; and

3. within 60 days after the end of the grant period, a final written evaluative report summarizing grant achievements, accompanied by all deliverable products as specified in the grant agreement.

The Department reserves the right to withhold any future year funding for non– compliance with these provisions.

d) Grant Disbursements – Disbursement of grant funds from the Department will be made in accordance with a schedule negotiated with the Grantee and included in the grant agreement. Such agreements shall provide for disbursement of all grant funds prior to the end of the fiscal year of appropriation, subject to a determination by the Department that satisfactory progress is being made by the Grantee to implement grant activities.

e) Grant Close-out – The Grantee shall be responsible for completing the grant close-out package which shall be provided by the Department and identifies the financial status of these grant funds. The Grantee, upon submission of the close-out package, or within 45 days after the expiration of the grant, whichever is first, shall refund to the Department any balance of funds which were unexpended or unobligated at the end of the grant period. In addition, the Grantee shall repay the Department for any funds determined by the Department to have been spent in violation of the grant agreement. If the grant should terminate for any reason, the close-out package shall be due within 45 days after the date of termination.

f) Record Retention – Grantees shall retain all records for a period of five years from the expiration date of the grant, or three years after the final resolution of a grant related audit, whichever is later.

56 Ill. Adm. Code 2660.110 Program Goal

Establish or expand partnerships between community-based providers and employers to train existing low skill, low wage employees and newly hired disadvantaged persons to meet the skill needs of local industry and increase the earnings of the workers.

56 Ill. Adm. Code 2660.120 Application Procedures

a) Initial Application and Awards

Contingent upon the availability of funds, the Department shall initially issue a Request for Proposal (RFP) to interested community-based providers. The Department shall advertise the availability of the RFP and maintain a bidders list of community-based providers for this purpose. The Department shall review all applications submitted in accordance with RFP instructions and make all grant awards on a competitive basis. The RFP shall include but is not limited to:

1. a description of the purpose of the grant program.

2. a discussion of activities and costs eligible for reimbursement.

3. a format for preparation of grant applications including:

A) a description of the community-based provider;

B) a description of the partnership agreement with local businesses;

C) a narrative description of the proposed training program (including the targeted industries and occupations, the curriculum, and the role of local employers in the delivery of training);

D) a description of the local employers' role in assessing skill needs, curriculum development, the provision of training and placement of program completers;

E) the specific activities and costs proposed for grant reimbursement;

F) projected outcomes from grant activities including a description of deliverable products, the number of low wage and recently hired disadvantaged persons to be trained and the likely effect training will have on their future earnings;

G) a description of the qualifications of key personnel to be assigned to the project;

H) a requested budget; and

I) supporting budget justification.

4. a schedule for the submittal, review, and selection of grant applicants for funding.

b) Continuation Grants

Pursuant to 20 ILCS 605/46.19j(f), and contingent upon availability of funds, the Department may negotiate continuation grants for projects that were originally competitively procured and performed successfully. An application shall include but not be limited to:

1. a description of the purpose of the grant program.

2. a discussion of activities and costs eligible for reimbursement.

3. a format for preparation of grant applications, including:

A) a description of the community-based provider;

B) a description of the partnership agreement with local businesses;

C) a narrative description of the proposed training program (including the targeted industries and occupations, the curriculum, and the role of local employers in the delivery of training);

D) a description of the local employers' role in assessing skill needs, curriculum development, the provision of training and placement of program completers;

E) the specific activities and costs proposed for grant reimbursement;

F) projected outcomes from grant activities, including a description of deliverable products and the number of low wage and recently hired disadvantaged persons to be trained and the likely effect training will have on their future earnings;

G) a description of the qualifications of key personnel to be assigned to the project;

H) a requested budget;

I) supporting budget justification;

J) a detailed comparison of previous years' projected outcomes with actual performance; and

K) a narrative description of the accomplishments under the projects to be continued.

4. a schedule for the submittal and review of applications, and selection of grant applicants for funding.

History

• Source: Amended at 24 Ill. Reg. 2648, effective February 4, 2000

56 Ill. Adm. Code 2660.130 Allowable Activities

Grantees may undertake all reasonable and necessary activities required to:

a) develop training curricula specific to the skill needs of specific employers appropriate for low skilled, low wage employees and recently hired disadvantaged persons;

b) provide industry linked skill training to low wage employees and recently hired disadvantaged persons; and

c) work cooperatively with local employers to evaluate and refine training programs for recently hired disadvantaged persons and/or existing low wage workers that will assist the targeted industries meet skill shortages.

56 Ill. Adm. Code 2660.140 Allowable Costs

Allowable grant costs include:

a) expenses to design training curricula and related materials;

b) expenses to provide industry linked skill training to low wage employees and recently hired disadvantaged persons (e.g., instructor costs and curriculum materials);

c) expenses for the ongoing evaluation and refinement of the curricula and related materials;

d) expenses for ongoing coordination of the Training Partners; and

e) expenses incurred to meet grant administration requirements.

56 Ill. Adm. Code 2660.150 Employer Role

The work plan must provide for:

a) involvement of local employers in identifying the specific skill needs;

b) involvement of local employers in planning the curricula;

c) use of instructional materials directly used by the employer in the targeted industry;

d) the employer to directly assist in the training activities (e.g., participate as instructors or use employer equipment and technology); and

e) retention and promotion of workers, including recently hired disadvantaged persons, after receipt of training through the program.

56 Ill. Adm. Code 2660.160 Participant Eligibility

Eligible participants for training under this program include:

a) existing low wage employees in the targeted industry; and

b) disadvantaged persons recently hired into jobs in the target industry.

56 Ill. Adm. Code 2660.170 Employer Eligibility

Employers with less than 250 full-time workers may participate in the Industry Linked Training for Low Wage Workers program.

56 Ill. Adm. Code 2660.180 Grant Selection Criteria

The Department shall consider the following criteria in making funding decisions:

a) the performance of meeting the goals of the previous years' grant, including the level of success in achieving employment, wage, and retention goals, shall be the primary consideration in contract rewards and subsequent funding levels;

b) the experience of the community-based provider serving low wage, low skilled workers and disadvantaged persons, including welfare recipients;

c) the level of participation of local employers in the Training Partnership and proposed work plan;

d) the amount of matching funds (either cash or in-kind) provided by the local employers;

e) the likelihood that training will result in increased earnings for program participants;

f) the qualifications of personnel assigned to the proposed project;

g) the quality of the proposed curricula and related materials; and

h) reasonableness of the proposed costs in relation to the number of low wage workers and disadvantaged persons to be trained.

History

• Source: Amended at 24 Ill. Reg. 2648, effective February 4, 2000

56 Ill. Adm. Code 2660.210 Program Goal

Establish or expand partnerships between community-based providers, economic development organizations, and local employers to develop training programs for unemployed disadvantaged persons to meet the skill needs of local industry.

56 Ill. Adm. Code 2660.220 Application Procedures

a) Initial Applications and Awards

Contingent upon the availability of funds, the Department shall initially issue a Request for Proposal (RFP) to interested community-based providers. The Department shall advertise the availability of the RFP and maintain a bidders list of community-based providers for this purpose. The Department shall review all applications submitted in accordance with RFP instructions and make all grant awards on a competitive basis. The RFP shall include but is not limited to:

1. a description of the grant program.

2. a discussion of activities and costs eligible for reimbursement.

3. a format for preparation of grant applications including:

A) a description of the community-based provider;

B) a description of the partnership agreement with local businesses and economic development organizations;

C) a narrative description of the proposed industry linked program to be developed including identification of targeted industries and occupations;

D) the specific activities and costs proposed for grant reimbursement;

E) projected outcomes from grant activities including a description of deliverable products, the number of participants to be placed in employment, and the average wage at placement;

F) a description of the qualifications of personnel to be assigned to the project;

G) a requested budget; and

H) supporting budget justification.

4. a schedule for the submittal, review, and selection of grant applicants for funding.

b) Continuation Grants

Pursuant to 20 ILCS 605/46.19j(f), and contingent upon availability of funds, the Department may negotiate continuation grants for projects that were originally competitively procured and performed successfully. An application shall include but not be limited to:

1. a description of the purpose of the grant program.

2. a discussion of activities and costs eligible for reimbursement.

3. a format for preparation of grant applications, including:

A) a description of the community-based provider;

B) a description of the partnership agreement with local businesses;

C) a narrative description of the proposed training program (including the targeted industries and occupations, the curriculum, and the role of local employers in the delivery of training);

D) the specific activities and costs proposed for grant reimbursement;

E) projected outcomes from grant activities, including a description of deliverable products and the number of low wage and recently hired disadvantaged persons to be trained and the likely effect training will have on their future earnings;

F) a description of the qualifications of key personnel to be assigned to the project;

G) a requested budget;

H) supporting budget justification;

I) a detailed comparison of previous years' projected outcomes with actual performance; and

J) a narrative description of the accomplishments under the projects to be continued.

4. a schedule for the submittal and review of applications, and selection of grant applicants for funding.

History

• Source: Amended at 24 Ill. Reg. 2648, effective February 4, 2000

56 Ill. Adm. Code 2660.230 Allowable Activities

Grantees may undertake all reasonable and necessary activities required to:

a) assess the employment barriers of local residents who are unemployed disadvantaged persons;

b) work cooperatively with local economic development organizations to identify the unmet skill needs of one or more local industries;

c) work cooperatively with local employers from those industries to design and deliver training programs for disadvantaged persons that will assist the targeted industries in meeting skill shortages; and

d) placement of program completers into jobs in the targeted industries.

56 Ill. Adm. Code 2660.240 Allowable Costs

Allowable grant costs include:

a) expenses for the design and implementation of a needs assessment to determine specific skill shortages being experienced by one or more local industries;

b) expenses for the design and implementation of a needs assessment to determine the education and training needs of disadvantaged persons relative to the skill needs of local industries;

c) expenses for the design of curricula and related materials for training programs designed for disadvantaged persons to prepare them to meet identified skill labor shortages;

d) expenses for the delivery of the industry linked training to unemployed persons and placement of program completers into jobs in the targeted industries;

e) expenses for ongoing coordination of the Training Partners; and

f) expenses incurred to meet grant administration requirements.

56 Ill. Adm. Code 2660.250 Employer Role

The curriculum and training plan must provide for:

a) involvement of local employers in identifying the specific skill needs;

b) involvement of local employers in planning the curricula;

c) use of instructional materials directly used by the employer in the targeted industry;

d) the employer to directly assist in the training activities (e.g., participate as instructors or use employer equipment and technology); and

e) placement of trainees who successfully complete training into jobs in the targeted industries.

56 Ill. Adm. Code 2660.260 Participant Eligibility

Eligible participants for training under this program include unemployed disadvantaged persons.

56 Ill. Adm. Code 2660.270 Grant Selection Criteria

The Department shall consider the following criteria in making funding decisions:

a) the performance of meeting the goals of the previous years' grant, including the level of success in achieving employment, wage, and retention goals, shall be the primary consideration in contract rewards and subsequent funding levels;

b) experience of the community-based provider serving disadvantaged persons, including welfare recipient;

c) level of participation of local employers in the Training Partnership and proposed work plan;

d) likelihood of placement of disadvantaged persons in the specific target occupations within the targeted industries and the average wage at placement;

e) qualifications of personnel assigned to the proposed project;

f) technical quality of the proposed work plan; and

g) reasonableness of the proposed costs.

History

• Source: Amended at 24 Ill. Reg. 2648, effective February 4, 2000

Chapter III Department of Commerce and Economic Opportunity

Part 2665 Welfare-to-Work Block Grant Program

56 Ill. Adm. Code 2665.10 Legislative Base

a) On August 22, 1996, the President signed the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA), a comprehensive welfare reform bill, under which the Temporary Assistance to Needy Families (TANF) program was established to supersede the Aid to Families with Dependent Children (AFDC) welfare program, the Job Opportunities and Basic Skills (JOBS) Training program and the Emergency Assistance (EA) program. The TANF program at Section 401(a) of the Social Security Act established the following objectives:

1. provide assistance to needy families so that children may be cared for in their own homes or in the homes of relatives;

2. end the dependence of needy parents on government benefits by promoting job preparation, work, and marriage;

3. prevent and reduce the incidence of out-of-wedlock pregnancies and establish annual numerical goals for preventing and reducing the incidence of these pregnancies; and

4. encourage the formation and maintenance of two-parent families.

b) On August 5, 1997, the President signed the Balanced Budget Act of 1997. This legislation amended certain TANF provisions of the Social Security Act and authorized the Secretary of Labor to provide Welfare-to-Work (WtW) grants to states and local communities for transitional employment assistance to move the hard-to-employ TANF welfare recipients into unsubsidized jobs and economic self-sufficiency.

56 Ill. Adm. Code 2665.20 Definitions

The definitions specified in the U.S. Department of Labor Interim Rules on Welfare-to-Work (Federal Register, 11/18/97, 20 CFR 645) are applicable.

AFDC means Aid to Families with Dependent Children.

Authorized to Work in the United States means participation in programs and activities that are limited to United States citizens, lawfully admitted permanent resident aliens, lawfully admitted refugees and parolees, and other persons authorized by the Attorney General to work in the United States.

Chief Elected Official (CEO) means:

the chief elected official of the sole unit of general local government in the service delivery area;

the individual or individuals selected by the chief elected officials of all units of general local government in such area as their authorized representative; or

in the case of a service delivery area designated under section 101(a)(4)(A)(iii) of the Job Training Partnership Act, the representative of the chief elected official for such area (as defined in section 4(4)(C) of the Job Training Partnership Act).

Department means the Illinois Department of Commerce and Community Affairs (DCCA).

DHS means the Illinois Department of Human Services.

DPA means the Illinois Department of Public Aid.

Exceeded TANF Duration Limit means an individual who would otherwise be eligible to receive TANF assistance but is no longer receiving such assistance because the individual has reached the federal or State limit on receipt of assistance.

GED means a certificate of General Equivalency Degree.

HHS means the United States Department of Health and Human Services.

IETC means Illinois Employment and Training Center.

Job Training Partnership Act (JTPA) means Public Law 97-300, as amended, 29 USC 1501, et seq.

Limited Education means an individual who has not completed secondary school or obtained a GED degree, and has reading or mathematics skills at or below grade level 8.9.

Long-term TANF Recipient means an individual who has received assistance under the TANF program or its predecessor, AFDC, for at least 30 months (whether or not consecutive).

Non-custodial Parent means a person who meets each of the following requirements:

is a non-custodial parent of a minor child;

the minor child's custodial parent, or the minor child, is a TANF recipient; and

meets the Welfare-to-Work criteria.

Pending TANF Termination means the individual will, within 12 months, become ineligible for TANF assistance by reason of a durational limit on such assistance, without regard to any exemption that may apply to the individual under Section 408(a)(7)(C) of the federal Interim Final Rule.

Poor Work History means having worked no more than 13 consecutive weeks in unsubsidized full-time employment in the prior 12 calendar months.

Private Industry Council (PIC) means the council established pursuant to Section 102 of the Job Training Partnership Act (29 USC 1512, December 31, 1982).

Resident of Service Delivery Area (SDA) means participants must be residents of the SDA's jurisdiction.

Service Delivery Area (SDA) means an area comprised of one or more units of general local government designated by the Governor pursuant to Section 101(a)(4) of the Job Training Partnership Act.

Temporary Assistance for Needy Families (TANF) means a program established under the Personal Responsibility and Work Opportunity Reconciliation Act of 1996, Public Law 104-193.

USDOL means the United States Department of Labor.

Welfare-to-Work Administrative Agency means the legal entity (e.g., governmental, educational, or community-based organization) selected by the JTPA Private Industry Council to serve as grant recipient for Welfare-to-Work funds.

Welfare-to-Work (WtW) Block Grant Program means the Welfare-to-Work grant provisions of Title IV, Part A of the Social Security Act, as amended by the Balanced Budget Act of 1997.

56 Ill. Adm. Code 2665.30 Allocation of Funds

Pursuant to the requirements of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996, as amended by the Balanced Budget Act of 1997, the following formula will be used by the Department of Commerce and Community Affairs to allocate 85 percent of the funds allotted to the State under the Welfare-to-Work Block Grant Program. Allocations shall be made on the basis of Service Delivery Areas (SDAs) designated under the Federal Job Training Partnership Act (JTPA).

a) Preliminary Allocation: A preliminary allocation shall be made for all JTPA SDAs using the following criteria and weights:

1. Excess Poverty: 50% shall be allocated in proportion to the number by which the population of the SDA with an income that is less than the poverty line exceeds 7.5% of the total population of the SDA, relative to such number of all SDAs in the State with an excess.

2. Long Term Recipients: 50% shall be allocated in proportion to the number of individuals residing in the SDA who have been welfare recipients under the Temporary Assistance to Needy Families program (TANF) and/or the predecessor program, Aid to Families with Dependent Children (AFDC), for at least 30 months relative to such individuals residing in the State.

b) Final Allocation: Pursuant to the requirements of the Federal Balanced Budget Act of 1997, in the event that the preliminary allocation for an SDA is less than $100,000, such preliminary allocations shall be excluded from the final allocation and reduce the total amount of funds allocated by substate formula. These funds shall be added to the remaining 15% of the grant funds for projects that appear likely to help long-term recipients of TANF assistance enter unsubsidized employment.

56 Ill. Adm. Code 2665.40 Allowable Programs and Activities

a) The following are the authorized programs and associated activities for the Illinois Welfare-to-Work Block Grant Program.

1. Job Search/Job Readiness Program includes:

A) job search, which means a structured search for a job, including counseling, job seeking skills training, and information obtained individually or in a group setting; and

B) job readiness assistance, which consists of classroom or group activities designed to help an individual obtain and maintain employment. Under TANF, job readiness services and job search activities contain a combined service limit of four consecutive weeks, or six weeks total in a 12 month period.

2. Job Placement Services Program involves the direct placement of the participant in an unsubsidized position. Allowable Activities include:

A) unsubsidized private sector employment, which means employment in the private sector not financed from federal or State funds; and

B) unsubsidized public sector employment, which means employment in the public sector not financed from federal or State funds for Welfare-to-Work purposes.

3. Work Testing Program, which is no more than a 30-day fully subsidized trial period during which the employer can observe the WtW participant in a work setting, and the participant can test his/her job readiness skills while receiving support services and counseling. The employer is expected to hire the client upon completion. Work Testing may be repeated if necessary but participants are limited to a total of six months subsidized employment during participation in this program. Allowable Activities include:

A) subsidized private sector employment, which means employment in the private sector partially or fully supported by federal or State funds, limited to six months in length; and

B) subsidized public sector employment, which means employment in the public sector partially or fully supported by federal or State funds, limited to six months in length.

4. Community Service Program involves unpaid service at a public or private, not-for-profit work site. Allowable Activities include:

A) community service programs, which are unpaid work assignments with public or private, not-for-profit employers, organizations and governmental agencies; and

B) providing child care services, which means provision of child care services for an individual participating in a community service program.

5. Paid Work Experience Program involves paid, subsidized service at a public or private, not-for-profit worksite, limited to six months in length.

6. On-The-Job Training Program (OJT), which is training at a private or public sector worksite provided to a participant who has been referred to and hired by the employer. OJT occurs while the participant is engaged in productive work that provides knowledge and skills essential to the full and adequate performance of the job. OJT may be sequenced with, or accompanied by, other types of training such as classroom training or literacy training. OJT placements are limited to six months in length, unless participation is less than 500 hours in duration.

7. Post Employment Educational Program includes, but is not limited to, basic educational skills training, occupational skills training, or English as a second language training. Allowable activities include:

A) vocational education training, which means classroom or other group training activities whose purpose is to increase or develop the vocational skills of a participant;

B) job skills training directly related to employment, which means individual, classroom, or other group training activities developed to help employed participants remain on the job or enable them to upgrade existing skills;

C) education directly related to employment for individuals with no high school diploma or GED, which means educational activities developed to help employed participants, who lack a high school diploma or GED, retain a job; and

D) satisfactory school attendance for individuals with no high school diploma or GED, which means satisfactory school attendance, as determined by the SDA in cooperation with the local school system.

8. Post Employment Job Retention Services Program, which means any post-employment services that are not educational in nature, including:

A) work regimen acclamation, which means the process of getting a participant to understand what work he/she is to perform; who will provide instructions and work orders; the starting, break, meal and stopping times; when his/her first and subsequent paychecks will be received; procedures for leaving the work area for personal, telephone or other purposes; and other work rules not provided by the employer;

B) stress coping, which means the application of remedies to remove or ease the personal stress experienced by participants in their work environment. This stress may be brought on by interactions with others while working, or by the participant's changed role as a parent, partner, or friend, or by the humbling experience of following orders of a boss or being hazed by other workers, or by a personal attitude brought to the workplace by the participant or another worker;

C) job loss intervention, which means interceding actions of arbitration and remediation with either or both the participant and employer at a time when the participant is at risk of losing or leaving his/her job or when the process of employment departure is occurring, or providing support and articulation of the learning embedded in the experience at a time immediately following a job loss occurrence;

D) personal support, which means the delivery of supportive services needed to remove or ameliorate barriers to continued employment of the participants. This group of actions ensures that there is no gap in service delivery to overcome personal barriers; that is, participant access to the service is not restricted, the service is the most appropriate resolution and service delivery is timely, as needed; and

E) job enhancement, which means activating the delivery of services, both supportive and educational, needed to solidify continued employment of the participant in his/her job and start the building of a foundation of advancement. This activity includes the acquisition of tools for the participant to become more proficient in his/her work or gain acceptance by his/her peers; the acquisition of skills needed to enhance work performance; and the acquisition of additional skills, knowledge and abilities for promotional opportunities.

9. Support Services Program, which means any support activities necessary to allow the participant to obtain or retain employment that are not provided for through the Illinois Department of Human Services, including:

A) child care, which means client services to ensure that dependent children are properly cared for during the period of time client is in training or at work;

B) transportation, which means services provided to a client to permit his/her participation in training or work by ensuring he/she has the ability to make the trip from his/her residence to the training/employment site and child care site if necessary, and back. Assistance may include the cost of public transportation or mileage reimbursement;

C) other supportive services, which means services that are necessary and made available to participants eligible for training under this Act, but who cannot afford to pay for such services, to enable them to participate in a program under this Act and to aid in their retention in a job gained through participation;

D) financial counseling, which means financial counseling services provided to clients to enable them to participate in a training program under this Act or to retain employment gained through such participation;

E) personal counseling, which means personal counseling services provided to clients to enable them to participate in a training program under this Act or to retain employment gained through such participation;

F) rent assistance, which means assistance provided to participants to maintain or obtain adequate shelter for themselves and their families while they are receiving employment, training or other supportive service; and

G) substance abuse treatment, which means treatment for drug and alcohol abuse to the extent that such services are not medical and not otherwise available to the participant, such as, services performed by those not in the medical profession, including counselors, technicians, social workers, and psychologists, and services not provided in a hospital or clinic, including 24 hour care programs. Substance abuse treatment may be considered non-medical.

b) No Welfare-to-Work Administrative Agency or sub-contractor may itself operate a program serving WtW clients solely to provide job readiness, placement or post-employment services.

56 Ill. Adm. Code 2665.50 Plan Development and Approval

a) In order to receive an allocation as described in Section 2665.30 of this Part, each Welfare-to-Work Administrative Agency shall submit a Welfare-to-Work plan to the Department that includes the following content:

1. The plan shall include a description of the program design, including the following information:

A) The plan shall include a description of the local targeting strategies to reach hard-to-employ TANF recipients eligible under the Welfare-to-Work Block Grant program and to assure that appropriate activities and services are provided to help these participants achieve self-sufficiency.

B) The plan shall include a description of local strategies regarding:

i) planned employment activities;

ii) planned use of contracts with public and private providers of job readiness, placement and post-employment services;

iii) planned use of job vouchers for placement, readiness, and post-employment services; and

iv) planned provision of job retention, and/or support services, if not otherwise available to the individual participants receiving Welfare-to-Work services.

C) The plan shall include a description of local policies and procedures that will govern implementation of allowable activities, including the procedures used to procure the contracts described in subsection 2665.50(a)(1)(B)(ii) of this Section, and how Welfare-to-Work funds will be used to provide necessary support services described in subsection 2665.50(a)(1)(B)(iv).

D) The plan shall include a listing of performance goals and outcomes, expressed in measurable, quantifiable terms, that the local program intends to achieve.

E) The plan shall include a description of how the local program will be implemented by the PIC, including the roles and responsibilities of the local entities responsible for program administration and the program's implementation target dates.

F) The plan shall include a description of the approach, including process and timing, used to obtain and take into account consultation and coordination with substate entities such as public, private and nonprofit organizations in the development of the SDA Welfare-to-Work plan. The plan shall include either a summary description of the comments received, along with the names of the individuals or entities who commented, or copies of the actual comments received as an attachment to the plan.

G) The plan shall include a description of the coordination efforts that the local DHS office and the Welfare-to-Work Administrative Agency will undertake and the role these local agencies will play in providing assessment and case management to qualified participants, regarding:

i) identification and referral of participants; and

ii) assessment and case management.

H) The plan shall include coordination arrangements with DPA to identify and refer non-custodial parents meeting the WtW criteria.

I) The plan shall include a description of strategies to prevent duplication of services and promote coordination among the Welfare-to-Work program, the local TANF program, JTPA, the local Illinois Employment & Training Centers and other employment and training programs throughout the Service Delivery Area.

J) The plan shall include a description of strategies to promote and encourage coordination with the Illinois Department of Transportation, transit operators and other transportation providers to help ensure that the transportation needs of those moving from welfare to work are met.

K) The plan shall include a description of strategies to promote and encourage coordination with the Illinois Housing Development Authority; public and assisted housing providers and agencies; other community based organizations; public and private health, mental health and service agencies; and vocational rehabilitation and related agencies.

2. The plan shall include budget information regarding the expenditure of program funds, quarterly planned expenditures and planned carry-forward, including the following information:

A) The plan shall include a list of funds available by cost category as defined in 20 CFR 645.220, 645.225, 645.230, 645.235, including the original allocation, carry-in funds (if any), cost category transfers and planned carry-forward of funds not expected to be spent during the current federal fiscal year.

B) Pursuant to 20 CFR 645.240 and 645.245, the plan shall include a listing of quarterly planned expenditures by cost category, including:

i) administrative costs as defined in 20 CFR 645.235(b);

ii) support services as defined in 20 CFR 645.220(e);

iii) data processing expenditures as defined in 20 CFR 645.235(c)(3); and

iv) programmatic activities.

b) Pursuant to the requirements of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996, as amended by the Balanced Budget Act of 1997, the following assurances must be provided for local plan approval:

1. The plan must conform to the requirements of the TANF Act.

2. The plan must conform to the U.S. Department of Labor Interim Rules on Welfare-to-Work (Federal Register, 11/18/97, 20 CFR 645).

3. The plan must demonstrate local coordination with activities provided through TANF (section 403(a)(5)(A)(vii)(II) of the Act).

c) Each Welfare-to-Work Administrative Agency shall submit a co-enrollment plan showing planned enrollments (if any) into programs designed to serve different subsets of the welfare population, or used concurrently or sequentially in order to provide a series of services to individuals with specific needs. It shall further define the appropriate reasons for dual enrollment of individuals in more than one of the following programs: Illinois Job Advantage, Work First, TANF Welfare-to-Work ("85%" funds formula allocated to the Administrative Agency), TANF Welfare-to-Work ("15%" State set-aside funds), Job Training Partnership Act, and DHS Job Placement Contracts.

1. Where a WtW Administrative Agency has one or more subcontractors that enroll WtW clients to provide services, the WtW Administrative Agency shall collect co-enrollment schedules prepared by each subcontractor if these clients are also enrolled in another of these programs.

2. Where a WtW Administrative Agency enrolls and provides WtW services itself, the WtW Administrative Agency shall develop a co-enrollment plan of services for welfare recipients enrolled under WtW who are also enrolled in another of the programs listed in this Section.

3. If neither a WtW Administrative Agency nor its subcontractors enroll their WtW clients in another of the programs listed in this Section, only a Welfare-to-Work Client Service Declaration form is required.

56 Ill. Adm. Code 2665.60 Eligibility Requirements

a) Persons eligible to receive services under the Welfare-to-Work program must meet the eligibility requirements of subsection 2665.60(a)(1) or (a)(2) of this Section.

1. Participants under the Long-term Targeted TANF Recipients Program must be:

A) authorized to work in the United States,

B) a resident of the SDA in which served,

C) a long-term TANF recipient, or pending TANF termination due to a durational limit, or exceeding a TANF duration limit, and

D) either:

i) have two of the following three characteristics: limited education, requires substance abuse treatment for employment, poor work history, or

ii) be a non-custodial parent of a minor child of a TANF recipient whose custodial parent meets one of the criteria in subsection (a)(1)(C). The non-custodial parent only needs to meet the criteria in subsection (a)(1)(A), (a)(1)(B) and (a)(1)(D) above as long as the custodial parent meets the other criteria.

2. Participants under the Long-term Dependency Characteristics Program must be:

A) authorized to work in the United States,

B) a resident of the SDA in which served,

C) have one or more long-term dependency characteristics, as defined in subsection (a)(1)(D) above, and

D) either:

i) is a TANF recipient, or

ii) is a non-custodial parent of a minor child of a TANF recipient, or

iii) exceeded a TANF duration limit.

b) SDAs are responsible for ensuring that participants served with WtW funds meet federal eligibility criteria. Procedures to accurately determine and appropriately document eligibility must include:

1. arrangements with the TANF agency to ensure that the determination is based on information current at the time of eligibility determination about whether an individual is receiving TANF assistance, the length of receipt of such assistance, and when an individual may become ineligible for assistance due to reaching a duration limit on assistance;

2. determination of barriers to employment and long-term welfare dependency characteristics that may be based on information collected by the SDA or by the TANF agency no more than six months prior to eligibility determination;

3. arrangements with the TANF agency to identify the non-custodial parents of TANF recipients who may be eligible for the program; and

4. arrangements with the TANF agency to determine whether an individual who is not receiving TANF would be eligible to receive assistance if not for the fact that the individual had reached a duration limit on the receipt of assistance.

c) Once an individual begins receiving WtW services, the SDA is not required to redetermine eligibility.

56 Ill. Adm. Code 2665.70 Cost Limitations

Pursuant to the requirements of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996, as amended by the Balanced Budget Act of 1997, the following cost limitations shall apply:

a) At least 70 percent of the WtW funds allotted to or awarded to a Welfare-to-Work Administrative Agency must be spent to benefit hard-to-employ individuals, as described in Section 2665.60(a)(1) of this Part.

b) Not more than 30% of the WtW funds allotted to or awarded to a Welfare-to-Work Administrative Agency may be spent to assist individuals with long-term welfare dependency characteristics, as described in Section 2665.60(a)(2) of this Part.

c) If less than 30% of the funds are spent to assist individuals with long-term welfare dependency characteristics, the remaining funds shall be spent to benefit hard-to-employ individuals pursuant to subsection (a) of this Section.

d) The limitation of expenditures for administrative purposes will in no case be more than 15% of the grant award.

56 Ill. Adm. Code 2665.80 Performance Management

The Department shall evaluate the overall ability of each Welfare-to-Work Administrative Agency to implement the local WtW plan described at Section 2665.50 and shall use the following performance measures to judge the success of local programs:

a) Unsubsidized Employment Rate (UER). The UER is defined as the percent of time, measured in months, that WtW participants meet the work participation requirement of TANF due to unsubsidized employment.

b) Substantial Earnings Rate (SER). The SER shall be defined as the percent of WtW participants who achieve a level of earnings due to unsubsidized employment equal to three times their TANF cash assistance payment, as a percent of all WtW participants.

c) Cost Per Placement (C/P). The C/P shall be measured as the total WtW grant expenditures divided by the number of qualifying job placements (i.e., placement in an unsubsidized job of at least 100 hours scheduled work per month).

d) PIC-Work Participant Rate (PIC-WPR). The PIC-WPR is the sum of months eligible WtW participants are enrolled in TANF work activities (i.e., activities that count toward meeting the State TANF work participation rate) divided by the sum of months all WtW participants are enrolled in the program.

56 Ill. Adm. Code 2665.90 Reporting and Recordkeeping Requirements

The Interim Final Rule for the Welfare-to-Work Block Grant Program, issued by USDOL, provides in Section 645.240 for a reporting procedure in which there is shared responsibility at the federal and State levels. States will report financial information directly to USDOL for the WtW programs. Participant information shall be reported to DHS, which will submit this information, along with other TANF data, to HHS. To support federal reporting requirements, Welfare-to-Work Administrative Agencies must collect information from WtW participants and report this information on a monthly basis into the Department's Management Information System. Information to be collected shall include:

a) basic identifying information;

b) demographic characteristics;

c) educational status;

d) barriers to employment;

e) work history;

f) labor force status;

g) status information regarding receipt of TANF benefits;

h) support service needs;

i) participation in WtW activities; and

j) grant expenditures.

Part 2670 Veterans' Employment Act Program

56 Ill. Adm. Code 2670.10 Definitions

"Community Non-Profit Agency or Organization" means a local agency or organization which is registered as a non-profit corporation with the Secretary of State and/or has been granted non-profit status by the United States Internal Revenue Service.

"Department" means the Illinois Department of Commerce and Economic Opportunity.

"Director" means the Director of the Illinois Department of Commerce and Economic Opportunity.

"Matching Funds" means cash expenditures, commodities, supplies, equipment, rents or leases calculated at fair market value. Volunteer services may be used as matching funds equal to the value of the services of paid employees.

"Veteran" means any honorably discharged veteran of the United States Armed Forces.

56 Ill. Adm. Code 2670.20 Designation of Multi-Purpose Service Centers

a) The Director shall designate multi-purpose service centers to provide job training, counseling, and placement services in the designated areas on the basis of applications from interested community non-profit agencies or organizations.

b) Applications must be submitted to the Director on forms provided by the Department. These forms will be available to interested parties no later than April 1 of each year. Forms may be obtained by writing or calling the Department. Completed forms must be delivered in person to the Department or post-marked no later than May 15 of each year. Applicants chosen to be designated as multi-purpose service centers will be notified in writing by August 1. Applicants not chosen will also be notified in writing by August 1.

c) The Director shall make the designations based on a thorough review of all applications submitted. The application forms will contain the information necessary to evaluate the criteria listed in this subsection. Each applicant must document designation as a non-profit organization by the Secretary of State and/or the Internal Revenue Service to be an eligible applicant. Eligible applicants will be judged relative to all other applicants received. All criteria will be weighted equally. The evaluation criteria are:

1. The extent to which the applicant has experience providing social services.

2. The overall quality of the program that the applicant proposes to deliver the required services. This will be judged by comparing the narrative program descriptions of each applicant. This narrative must include such information as location of the service center, estimated number of veterans to be served, services to be delivered and means of delivery.

3. The extent to which the applicant demonstrates the availability of local resources to assist in implementing and continuing the program. This will be judged by the amount of resources, cash and in-kind, budgeted by the applicant to supplement the funds requested under the Veterans' Employment Act. This information will be required in the proposed budget section of the application form.

d) Designation will be valid for one year only. Designated centers will be required to re-apply each year in accordance with subsections (a), (b), and (c) of this Section.

56 Ill. Adm. Code 2670.30 Target Groups

The multi-purpose service centers must make services available to all eligible veterans. All recipients must be honorably discharged veterans of the United States Armed Forces.

56 Ill. Adm. Code 2670.40 Program Funding

a) The Director will enter into a grant agreement with each of the community non-profit agencies or organizations designated to serve as a multi-purpose service center. These agreements will identify the parties and enumerate all of the rights and responsibilities of each party exactly as stated in Section 2670.50 of this Part. The term of the agreement will be that of the State fiscal year, July 1 to June 30.

b) Funds will be provided by the Department from those monies appropriated by the General Assembly for this purpose. Program operations must begin within thirty days after the signing of the agreement.

c) Each agreement will enumerate the scope of the services required to be provided by the multi-purpose service center. The agreement must also describe in detail how each service will be delivered.

d) Each local agency is required by the Act to provide matching funds of not less than 5% of the contract amount [330 ILCS 25/7(b)].

e) To the extent possible, supervisory, technical and administrative positions relating to the local program shall be filled by veterans [330 ILCS 25/7(b)].

56 Ill. Adm. Code 2670.50 Responsibilities and Reporting Requirements

a) Once the Director and each designated community non-profit agency or organization have agreed upon the amount necessary to operate the multi-purpose service center and signed the grant agreement, the Director will make available ten percent (10%) of that amount to start up and begin operations. Subsequent to that, the local agency will submit to the Director at the end of the month a complete accounting of all expenses incurred in that month. The Department will reimburse budgeted expenses as incurred.

b) Allowable start-up costs will be those for: personal and fringe benefits; travel; office equipment and supplies; office rent; postage; telephone; printing; and contractual expenses for professional services. Procurement of supplies and equipment with State funds must be done in accordance with the State statutes and the rules of the Department of Central Management Services. Unspent State funds shall be maintained in accounts covered under Federal Deposit Insurance Corporation or Federal Savings and Loan Insurance Corporation agreements.

c) Travel expenses will be reimbursed in accordance with the latest Department of Central Management Services Travel Regulations (80 Ill. Adm. Code 2800).

d) The grantee shall keep records which detail the grantee's expenditure summaries submitted pursuant to subsection (a). All financial records must be kept according to the Accounting Standards of the Financial Accounting Standards Board of the American Institute of Certified Public Accountants, 1211 Avenue of the Americas, New York, NY 10036 (June 1984), and no subsequent dates or editions are operative. An annual audit of grant funds shall be conducted by the Department. All grantee records which reflect the actual activities conducted and the actual costs and expenses incurred by the grantees will be subject to an audit at any time by the Department's internal auditor.

e) Each local agency will also submit an annual report to the Director following completion of the fiscal year, June 30. This report shall include evaluations of the effectiveness of the job training, placement and service programs to veterans including the number of persons served by the various service programs, and estimates of the cost effectiveness of the various components of the center. This report must be submitted no later than July 31 of each year. [330 ILCS 25/7(b)]

56 Ill. Adm. Code 2670.60 Rural Outreach Initiative

a) Applicants proposing to serve areas outside of Cook County shall include, as a part of their applications, a plan for a Rural Outreach Initiative. This Plan should specify the means by which the applicant proposes to insure the delivery of services to veterans in rural areas who would not otherwise have access to the program.

b) Each Rural Initiative Plan will be evaluated by the Department to assure that it is sufficient to meet the need of the rural areas involved. The criteria consist of:

1. Whether the plan includes an analysis of the population and problems (e.g., number of veterans, unemployment rate, particular circumstances such as plant closings, etc.) involved in the area.

2. Whether the proposed budget can realistically result in the delivery of the services described in the plan.

Chapter IV Department of Employment Security

Subchapter a General Provisions

Part 2712 General Application

56 Ill. Adm. Code 2712.1 Use of Facsimile Machines

Notwithstanding any other provisions of this Chapter to the contrary, any document that is a response to or protest of a statement or notice that has been issued by the Department or the Director to which there are protest or appeal rights may be filed by facsimile transmission sent to the designated Department address. The date imprinted on the document by the Department's telefax machine shall have the same effect as the U.S. Postal Service's postmark. The individual or entity filing a document by telefax transmission bears the risk that the transmission will not be successful. The date imprinted on the transmission confirmation document by the sender's telefax machine may be presented as evidence of successful transmission and filing of the document.

History

• Source: Amended at 43 Ill. Reg. 6372, effective May 14, 2019

56 Ill. Adm. Code 2712.10 Department's Chicago Central Office Address

a) The mailing address of the Department's Chicago central office is:

Illinois Department of Employment Security

115 South LaSalle Street, Floor LL2

Chicago, Illinois 60603

b) Unless stated otherwise in communications from the Department, the mailing address for any unit, division, or subdivision of the Department is to the Department in care of the specific unit, division, or subdivision at the Department's Chicago central office address.

1. EXAMPLE: Pursuant to 56 Ill. Adm. Code 2725.55, an employer seeks to obtain from the Department a form referred to in 56 Ill. Adm. Code 2760.120. A blank copy of the form is available on the Department's website (ides.illinois.gov). However, the form may also be obtained by contacting the Department's Revenue Division. The mailing address for the Department's Revenue Division is:

Illinois Department of Employment Security

c/o Revenue Division

115 South LaSalle Street, Floor LL2

Chicago, Illinois 60603

2. EXAMPLE: The Department sends an employer a Statement of Benefit Charges (form BEN-118) for a particular quarter. The BEN-118 informs the employer that if it seeks to file an Application for Revision of the Statement of Benefit Charges, the employer is to send the Application to the Department's Regional Office at the address stated on the BEN-118. The Regional Office is not located at the Department's Chicago central office. In this case, the employer should not send the Application to the Department's Chicago central office. Instead, the employer should send the Application to the Department's Regional Office at the address stated on the Statement of Benefit Charges.

3. EXAMPLE: An individual has filed a claim for unemployment insurance benefits and has been denied benefits by a determination from which the individual has filed an appeal. The individual's appeal is scheduled for a hearing by the Department's Appeals Division. Under 56 Ill. Adm. Code 2720.210, the individual may inspect the Appeals Division's file. If the individual seeks to contact the Department's Appeals Division in order to arrange an inspection of the file, the individual may contact the Appeals Division at:

Illinois Department of Employment Security

c/o Appeals Division

115 South LaSalle Street, Floor LL2

Chicago, Illinois 60603

History

• Source: Added at 49 Ill. Reg. 11121, effective August 20, 2025

Chapter IV Department of Employment Security

Subchapter a General Provisions

Part 2712 General Application

56 Ill. Adm. Code 2712.100 Ides Board of Review Reporter (repealed)

History

• Source: Repealed at 43 Ill. Reg. 6372, effective May 14, 2019

56 Ill. Adm. Code 2712.105 Digest of Adjudication Precedents

a) The Department of Employment Security publishes as an abridged reporter a compilation of selected Board of Review decisions, court orders and published appellate court decisions in the Digest of Adjudication Precedents (the Digest). It is available as part of a larger publication known as the Illinois Unemployment Insurance Law Handbook (the Handbook).

b) Availability of the Handbook

Copies of the Handbook shall be available free of charge at the Department's website https://ides.illinois.gov.

c) Any individual desiring to submit a decision or order for inclusion in the Digest may do so by submitting a copy of that decision or order and the individual's rationale for the inclusion to the Department of Employment Security, in care of the Office of Legal Counsel, at the address stated in Section 2712.10.

d) To be considered for inclusion in the Digest, a decision must fulfill any one of the following criteria:

1. The decision resolves an issue not already included in the Digest;

2. The decision modifies, creates an exception to, overrules, reverses, extends or changes a ruling previously included in the Digest;

3. The decision presents a fact pattern likely to repeat itself in future cases; or

4. The decision provides a statement of applicable facts and states a general principle of law that is readily applicable to the daily work of an Adjudicator, Referee or the Board of Review.

History

• Source: Amended at 49 Ill. Reg. 11121, effective August 20, 2025

Chapter IV Department of Employment Security

Subchapter a General Provisions

Part 2712 General Application

56 Ill. Adm. Code 2712.201 Definitions

All other terms used in this Part shall have the meaning set forth in the Unemployment Insurance Act [820 ILCS 405] (Act).

"Small employer" is any employing unit, as defined in Section 204 of the Act [820 ILCS 405/204], that reported wages paid to fewer than 20 individuals, whether part time or full time, for each of any two of the four calendar quarters preceding the quarter in which its application for legal assistance is made.

"Tax case" will mean an appeal brought pursuant to 56 Ill. Adm. Code 2725.

"Valid claim or defense" is one which, to the best of the provider or attorney's knowledge, information and belief formed after reasonable inquiry, within the necessary time constraints, is well grounded in fact and is warranted by existing law, is not interposed for any improper purpose (i.e., for the purpose of harassment or delay) and, if proven by a preponderance of the legally competent evidence of record at a hearing on that issue, would require the proponent of the claim or defense to prevail.

History

• Source: Amended at 33 Ill. Reg. 9617, effective July 1, 2009

56 Ill. Adm. Code 2712.202 Agreement to Hold the Department of Employment Security and Its Employees Harmless

By participating in this legal services program, individuals and small employers acknowledge that the Department of Employment Security and its employees are not responsible for the quality of the legal services that are provided and that their sole remedy for any alleged malpractice shall be an action against the legal services provider or attorney involved in the matter.

History

• Source: Added at 13 Ill. Reg. 795, effective January 4, 1989

56 Ill. Adm. Code 2712.203 Eligibility Requirements for Legal Services for Individuals

a) If funding is available for the service, individuals whose claims are in dispute before either a claims adjudicator or a referee can qualify for legal services under this Part to pursue their appeals to the referee, the Director, the Director's representatives or the Board of Review if they can present a valid claim or defense.

EXAMPLE: An individual quits his job in Chicago to relocate in California where he can pursue his dream of becoming an internationally renowned surfer. The claims adjudicator holds that he quit his job without good cause attributable to his employer. The individual admits that he quit his job solely to pursue his surfing goal but wishes to appeal the claims adjudicator's determination because he needs his unemployment benefits to finance his ambitions. This individual would not qualify for legal services under this Part because he has presented no legal justification under existing precedent for his appeal.

b) Whether a claim or defense is valid will be determined by the attorney assigned to the case by the legal service provider. If the individual disagrees with the judgment of the attorney assigned to the matter by the legal service provider, the individual may pursue the internal review process established by the legal service provider. If the internal review process of the legal service provider still results in a decision that the individual does not have a " valid" claim or if the individual decides to forego the legal service provider's internal review process, he or she can hire a private attorney who may then be eligible for reimbursement pursuant to Section 2712.207(b).

c) Application for legal services under this Part must be made at least three working days prior to the date of a scheduled hearing before the referee. Failure to make application for services prior to three working days before the hearing shall disqualify the individual from receiving these services if the attorney assigned by the legal service provider finds that the reason that the individual failed to apply for the services prior to the three day period would not constitute good cause for a continuance under 56 Ill. Adm. Code 2720.240.

1. EXAMPLE 1: On the date of his hearing, the individual appears at the office of the legal services provider and requests an attorney to represent him at his hearing later in the day. If the attorney assigned to his case finds that the reason that this individual failed to seek legal assistance prior to this time would constitute good cause for a continuance under 56 Ill. Adm. Code 2720.240, then, if the claimant meets the other criteria for eligibility for this program, the attorney will agree to represent this individual.

2. EXAMPLE 2: On the date of her hearing before the referee, the individual appears at the office of the legal services provider and requests an attorney to appear on her behalf at the scheduled hearing that day. If the individual's reason for failing to seek legal assistance prior to this time would not constitute good cause for a continuance under 56 Ill. Adm. Code 2720.240 in the judgment of the assigned attorney, then the attorney will deny the individual the requested representation at the referee hearing. However, if the individual is otherwise eligible for the program, the fact that she was denied assistance under this subsection at the hearing before the referee would not preclude the individual from seeking assistance in preparing her appeal to the Board of Review if the referee rules against her after her hearing.

d) Even if individuals do not qualify for legal services under this Section because they do not have a valid claim or defense, they shall be entitled to a maximum of one-half hour of legal advice regarding their unemployment insurance claim from the attorney assigned to the matter by the legal services provider.

History

• Source: Amended at 43 Ill. Reg. 6372, effective May 14, 2019

56 Ill. Adm. Code 2712.205 Eligibility Requirements for Legal Services for Small Employers

a) Except for any unpaid contributions, penalties or interest which are the subject of the appeal for which the legal services are requested, a small employer requesting services under this program must not be delinquent in the payment of any monies due the Director under this Act.

b) The small employer must present a valid claim or defense to the action for which the legal services are sought. Whether a claim or defense is valid will be determined by the attorney assigned to the case by the legal service provider. If the small employer disagrees with the judgment of the attorney assigned to the matter by the legal service provider, it may pursue the internal review process established by the legal service provider. If the internal review process of the legal service provider still results in a decision that the small employer does not have a " valid" claim or if the small employer decides to forego the legal service provider's internal review process, it can hire a private attorney who may then be eligible for reimbursement pursuant to Section 2712.207(b).

c) Application for legal services under this Part must be made at least three working days prior to the date of a scheduled hearing pursuant to 56 Ill. Adm. Code 2725 or before the referee under 56 Ill. Adm. Code 2720. Failure to make application for services prior to three working days before the hearing shall disqualify the small employer from receiving such services if the attorney assigned by the legal service provider finds that the reason that the small employer failed to apply for such services prior to such 3 day period would not constitute good cause for a continuance under 56 Ill. Adm. Code 2720.240. See examples following Section 2712.203(c).

d) To be eligible for legal services at a hearing, the small employer must be a "party", as defined in 56 Ill. Adm. Code 2720.1 or must be the appellant to an adverse decision, determination, order or ruling under 56 Ill. Adm. Code 2725 or the issue for which the legal services are being sought must be whether the small employer is a "party" as defined in 56 Ill. Adm. Code 2720.1.

e) Even if the small employer does not qualify for legal services under this Section because it does not have a valid claim or defense, it shall be entitled to a maximum of one-half hour of legal advice regarding its unemployment insurance claim from the attorney assigned to the matter by the legal services provider.

History

• Source: Amended at 17 Ill. Reg. 3194, effective March 2, 1993

56 Ill. Adm. Code 2712.207 Attorney Eligibility for Requirements

a) The Director of the Department of Employment Security will contract separately for individuals and small employers with one or more legal service providers who will then be responsible to either hire staff attorneys or for assembling a referral panel of attorneys for providing the legal services pursuant to Section 802 of the Act [820 ILCS 405/802]. Except as provided in subsection (b), the Director shall make no payments for legal services under this Part to anyone other than the legal service providers.

b) If any individual or small employer is denied legal services by a legal service provider because that individual's or small employer's claim or defense was determined not to be valid and that individual or small employer then hires a private attorney and prevails on that claim or defense, the individual or small employer shall be entitled to reimbursement for the services of the private attorney in an amount not to exceed the maximum fee set forth in Section 2712.210.

c) All attorneys participating in this program, whether as staff attorneys or referral panelists for a legal services provider or a private attorney must be licensed by the State of Illinois and must carry or must be insured for at least $100,000 in malpractice insurance.

d) Any legal service provider under this Section must agree to maintain a toll-free number so that claimants and small employers can consult a plan attorney to determine their possible eligibility for the program.

History

• Source: Amended at 33 Ill. Reg. 9617, effective July 1, 2009

56 Ill. Adm. Code 2712.210 Maximum Fees Allowed

Where the individual or small employer has failed to present a "colorable claim":

a) The maximum hourly rate for private attorneys paid for under this program shall be $50.

b) The maximum number of billable hours per referee appeal shall be six; the maximum number of billable hours per Board of Review appeal shall also be six. A maximum of ten billable hours shall be allowed per tax case.

History

• Source: Added at 13 Ill. Reg. 795, effective January 4, 1989

Part 2714 Interstate and Federal Cooperation

56 Ill. Adm. Code 2714.10 Definitions

All other terms used in this Part shall have the meaning set forth in Sections 200 through 247 of the Unemployment Insurance Act, unless the context clearly requires otherwise.

"Act" means the Unemployment Insurance Act [820 ILCS 405].

"Agent State" means any state in which an individual files a claim for benefits from another state.

"Agency" means any officer, board, commission or other authority charged with the administration of the unemployment insurance law of a participating jurisdiction.

"Benefits" means the compensation payable to an individual, with respect to his or her unemployment, under the unemployment compensation law of any state.

"Interested Jurisdiction" means any participating jurisdiction to which an election submitted under this Part is sent for its approval; and "interested agency" means the agency of a participating jurisdiction.

"Interstate Benefit Payment Plan" shall have the meaning set forth in Section 409(J) of the Act.

"Interstate Claimant" means an individual who claims benefits under the unemployment insurance law of one or more liable states through the facilities of an agent state. The term "interstate claimant" shall not include any individual who customarily commutes from a residence in an agent state to work in a liable state. However, if such an individual requests to be considered an interstate claimant, the request shall be granted by Illinois as a liable state.

"Jurisdiction" means any state of the United States, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Canada or, with respect to the federal government, any federal unemployment insurance program.

"Liable State" means any state against which an individual files, through another state, a claim for benefits.

"Participating Jurisdiction" means a jurisdiction whose administrative agency has subscribed to the Interstate Reciprocal Coverage Arrangement, which implements Section 3304(a)(9)(A) of the Federal Unemployment Tax Act (26 USC 3304(a)(9)(A)) and is authorized by 820 ILCS 405/2700A and B, and whose adherence to the Arrangement has not terminated.

"Services Customarily Performed by an Individual in More Than One Jurisdiction" means services performed in more than one jurisdiction during a reasonable period, if the nature of the services gives reasonable assurance that they will continue to be performed in more than one jurisdiction or if the services are required or expected to be performed in more than one jurisdiction under the election.

"State" shall have the meaning set forth in Section 409(J)(3) of the Act.

"Week of Unemployment" includes any week of unemployment as defined in the law of the liable state from which benefits with respect to that week are claimed.

History

• Source: Amended at 35 Ill. Reg. 6108, effective March 25, 2011

56 Ill. Adm. Code 2714.200 Application

This Subpart shall govern the Department of Employment Security in its administrative cooperation with other States subscribing to the Interstate Benefit Payment Plan.

56 Ill. Adm. Code 2714.205 Registration for Work

a) Each interstate claimant shall be registered for work through any public employment office in the agent State when and as required by the law, regulations, rules or procedures of the agent State.

b) Each agent State shall duly report to the liable State whether each interstate claimant meets the registration for work requirements of that agent State, as determined in accordance with the law of the agent State. Illinois, as an agent State, shall determine the registration for work requirements in accordance with the provisions of 56 Ill. Adm. Code 2865.100(a)(1).

History

• Source: Amended at 43 Ill. Reg. 6379, effective May 14, 2019

56 Ill. Adm. Code 2714.210 Benefit Rights of Interstate Claimants

a) If a claimant files a claim against any State, and it is determined by such State that the claimant has available benefit credits from the State, then claims shall be filed only against such State as long as such benefits credits are available. Thereafter, the claimant may file claims against any other State in which there are available benefit credits.

b) For the purposes of this Subpart, benefit credits shall be deemed to be unavailable whenever benefits have been exhausted, terminated, or postponed for an indefinite period or for the entire period in which benefits would otherwise be payable, or whenever benefits are affected by the application of a seasonal restriction.

56 Ill. Adm. Code 2714.215 Claim for Benefits

Claims for benefits or waiting week credit shall be filed in accordance with the liable state's requirements for interstate claims taking. When Illinois is the liable state, initial interstate claims and continued claims must be filed via the internet or telephone. The laws applicable to intrastate claims and certifications shall apply to interstate claims and weeks when Illinois is the liable state.

History

• Source: Amended at 35 Ill. Reg. 6108, effective March 25, 2011

56 Ill. Adm. Code 2714.220 Determination of Claims

The agent state shall have no responsibility and authority in connection with the determination of interstate claims nor to the investigation and reporting of relevant facts.

History

• Source: Amended at 35 Ill. Reg. 6108, effective March 25, 2011

56 Ill. Adm. Code 2714.225 Appeal Procedures

a) The agent State shall afford all reasonable cooperation in the taking of evidence and holding of hearings in connection with appealed interstate benefit claims.

b) With respect to the time limits for taking an appeal, an appeal made by an interstate claimant shall be deemed to have been made and communicated to Illinois as a liable State on the date it is received by any officer of the agent State in accordance with the laws of such agent State. Illinois, as an agent State, shall accept any appeal filed by an interstate claimant at any local office in accordance with the provisions of 56 Ill. Adm. Code 2720.200.

c) Except where contrary to the provisions of this Part, the provisions of 56 Ill. Adm. Code 2720 shall be applicable where Illinois is the liable State.

56 Ill. Adm. Code 2714.300 Application

The Subpart shall govern the Department of Employment Security in its administrative cooperation with other States subscribing to the Interstate Reciprocal Coverage Arrangement, hereinafter referred to as "the Arrangement."

56 Ill. Adm. Code 2714.305 Submission and Approval of Coverage Elections Under the Interstate Reciprocal Coverage Arrangement

a) Any employing unit may file an election, on a form provided by the Department, to cover under the law of a single participating jurisdiction all of the services performed for the employing unit by any individual who customarily works for the employing unit in more than one participating jurisdiction. That election may be filed, with respect to an individual, with Illinois as the elected jurisdiction if:

1. The employer is otherwise liable in Illinois; and

2. One or more of the following conditions exist:

A) Any part of the individual's services are performed in Illinois; or

B) The individual has his or her residence in Illinois; or

C) The employing unit maintains a place of business [820 ILCS 405/2700A] in Illinois and the individual does not reside in or perform services in another jurisdiction where the employer is liable; and

3. The form referenced in subsection (a) is filed as provided in this Subpart; and

4. All other interested jurisdictions have approved of the election as provided in this Subpart; and

5. All affected workers have approved of the election as provided in Section 2714.315.

b) The agency of the elected jurisdiction (thus selected and determined) shall initially approve or disapprove the election (Illinois will approve if the requirements of Section 2714.305(a) are met):

1. If the agency approves the election, it shall forward a copy of that approval to the agency of each participating jurisdiction specified on the election, under whose unemployment insurance law the individual or individuals in question might, in the absence of the election, be covered. Each interested agency shall approve or disapprove the election as promptly as practicable and shall notify the agency of the elected jurisdiction accordingly.

2. If its law so requires, an interested agency may, before taking such action, require from the electing employing unit satisfactory evidence that the affected employees have been notified of, and have acquiesced in, the election. The acquiescence is required in Illinois pursuant to Section 2714.315(a).

c) If the agency of the elected jurisdiction, or the agency of any interested jurisdiction, disapproves the election, the disapproving agency shall notify the elected jurisdiction and the electing employing unit of its action and of its reasons therefor.

d) An election shall take effect as to the elected jurisdiction only if approved by its agency and by one or more interested agencies. An election thus approved shall take effect, as to any interested agency, only if it has been approved by that agency.

e) If an election is approved only in part, or is disapproved by some agencies, the electing employing unit may withdraw its election within 10 days after being notified of that action.

History

• Source: Amended at 43 Ill. Reg. 6379, effective May 14, 2019

56 Ill. Adm. Code 2714.310 Effective Periods of Election

a) Commencement:

1. An election approved under this Subpart shall become effective at the beginning of the calendar quarter in which the election is submitted, unless the election as approved specifies the beginning of a different calendar quarter;

2. If the electing unit requests an earlier effective date than the beginning of the calendar quarter in which the election is submitted, the earlier date shall be approved as to those interested jurisdictions in which the employer had no liability to pay contributions for the earlier period in question and to no others.

b) Termination:

1. The application of an election to an individual under this Subpart shall terminate if the agency of the elected jurisdiction finds that the nature of the services customarily performed by the individual for the electing unit has changed, so that they are no longer customarily performed in more than one participating jurisdiction. The termination shall be effective as to the close of the calendar quarter in which notice of such finding is mailed to all parties affected;

2. Except as provided in subsection (b)(1), each election approved shall remain in effect through the close of the calendar year in which the election is initially submitted and approved, and thereafter until the close of the calendar quarter of any subsequent year in which the employing unit gives written notice of its termination to all effected agencies.

3. Whenever an election under this Subpart ceases to apply to any individual under subsections (b)(1) or (b)(2), the electing employing unit shall notify the affected individual accordingly.

56 Ill. Adm. Code 2714.315 Reports and Notices by the Electing Units

a) The electing unit shall promptly notify each individual affected by its approved election and shall furnish the elected agency a copy of the form provided by the Department signed by each such affected individual.

b) Whenever an individual covered by an election under this Subpart is separated from his or her employment, the electing unit shall again inform the individual, immediately, as to the jurisdiction under whose unemployment compensation law his or her services have been covered. If, at the time of separation, the individual is not located in the elected jurisdiction, the electing unit shall notify that individual as to the procedure for filing interstate benefit claims.

c) The electing unit shall immediately report to the elected jurisdiction any change that occurs in the conditions of employment pertinent to its election, such as when an individual's services for the employer cease to be performed in more than one participating jurisdiction or when a change in work assigned to an individual requires him or her to perform services in a new participating jurisdiction outside Illinois.

History

• Source: Amended at 43 Ill. Reg. 6379, effective May 14, 2019

Part 2720 Claims, Adjudication, Appeals and Hearings

56 Ill. Adm. Code 2720.1 Definitions

All other terms used in this Part shall have the meaning set forth in definitions, Sections 200 through 247 of the Unemployment Insurance Act [820 ILCS 405], unless the context requires otherwise.

"Act" means the Unemployment Insurance Act [820 ILCS 405].

"Adjudicator" means the person authorized to make findings, determinations or recoupment decisions relating to a claimant's eligibility for unemployment insurance benefits.

"Appeal" means the process of Department or judicial review of a finding, determination or decision.

"Appellant" means a party who appeals a Department finding, determination or decision.

"Appellee" means a party to a finding, determination or decision appealed by the appellant.

"Board" means the Board of Review of the Department of Employment Security.

"Call Center" is the modern day equivalent of the local office where claimants and employing units can contact the Department for the resolution of issues involving claims for unemployment insurance benefits.

"Certification" means an individual's attestation to facts regarding his or her eligibility for benefits for a particular period. The Department may provide for certification in person, by telephone, by mail, or through the internet. In many instances, depending upon the context, the terms "certification" and "certification form" and "claim certification" or the like should be considered synonymous.

"Certification Day" means the day of the week designated for a telephone or internet filer to certify for benefits.

"Certification Detail Screen" means the record maintained by the Department of the claimant's responses to questions asked during a completed telephone or internet certification, and the date of the claimant's call or internet access to the Department's system with respect to that completed certification.

"Claims Series" means a week or series of consecutive weeks for which benefit or waiting week credit is granted.

"Claimant" means a person who applies for benefits under the Act.

"Claimant Identification Number" means the unique personal identification number the Department assigns to a claimant. The Department will use the Claimant Identification Number instead of the claimant's Social Security Number on all material it sends to the claimant.

"CMS" means the Illinois Department of Central Management Services.

"Customary Occupation" means the work in which the individual was last engaged or the occupation for which he or she is best qualified by training, experience, and education.

"Decision" means the statement made by a Referee, the Director or the Board of Review with respect to any appeal from a finding or determination relating to rights or obligations under the Act, or a statement by an Adjudicator that an employing unit's protest is insufficient.

"Department" means the Illinois Department of Employment Security.

"Determination" means an Adjudicator's statement of whether or not a claimant is eligible for benefits or waiting week credit, and the dollar amount of such benefits for each week with respect to which a claim is made [820 ILCS 405/702].

"Director's Representative" means an employee of the Department designated by the Director of Employment Security to conduct hearings and to recommend decisions to the Director.

"Electronic Data Transmission" is a means by which the Director provides an electronic transfer of the Notice of Claim to Last Employing Unit and Last Employer or other Interested Party to the data center of the Illinois Department of Central Management Services where the transmission can be retrieved by the employing unit (see Section 2720.7).

"Employing Unit" shall have the meaning ascribed in Section 204 of the Act.

"Filing Date" means the date a document was mailed to or received by the Department, whichever is earlier.

"Finding" means a statement by an Adjudicator of the amount of wages for insured work paid to a claimant during each quarter in the claimant's base period by each employer [820 ILCS 405/701].

"Full-time Work" is the number of hours a class of workers would customarily work if the employing unit had all the work it could handle without working overtime. Except when the contrary is provided by a collective bargaining agreement or company policy, full-time work is customarily 40 hours per week. For example, 37.5 hours per week is full-time work for Illinois State employees because it is so provided by State personnel policy.

"Initial Claim" means an application for benefits that, meeting all monetary eligibility requirements, commences a claim series.

"Internet Filer" means a claimant who uses the internet to certify.

"Local Office" means the office of the Department servicing claimants who live in a specific geographical area.

"Mail Filer" means a claimant who, although he or she may use the telephone or internet, is permitted to certify by mail.

"Monetary Eligibility" means a claimant's eligibility for a weekly benefit amount of unemployment insurance and the amount of dependency allowance, if any, based on the amount of qualifying wages paid.

"Nonmonetary Eligibility" means that the claimant has established monetary eligibility and has not been found ineligible or subject to disqualification under the Act from receiving unemployment insurance benefits.

"Part-time Work" means services not normally required for the customary schedule of full-time hours or days prevailing in the establishment in which the services are performed, or services performed by a person who, owing to his or her personal circumstances or the nature of the work he or she is qualified to perform, does not customarily work the schedule of full-time hours or days prevailing in the establishment in which he or she is employed [820 ILCS 405/407]. Generally, part-time work will be less than 40 hours per week except when company policy or a collective bargaining agreement provides for a lesser number of hours per week as full-time work. In these cases, part-time work shall be work less than the number of full-time hours set by the collective bargaining agreement or company policy.

"Part-total Employment" means part-time work with an employing unit other than one's regular employing unit.

EXAMPLE: The claimant is laid off by Company A, his or her regular employing unit, as defined in this Section, and accepts temporary, part-time work with Company B, an employing unit other than his or her regular employing unit. The part-time work with Company B constitutes "part-total employment".

"Partial Employment" means part-time work with one's regular employing unit.

"Party" means, with respect to issues of nonmonetary eligibility, the claimant and any employing unit that files a timely and sufficient protest pursuant to Section 2720.130. Only a party under Section 702 of the Act may appeal a nonmonetary determination or decision of the Department regarding eligibility for benefits. With respect to findings under Section 701 of the Act, "party" means the claimant and any employer whose base period wages are in question. With respect to the issues of sufficiency and timeliness of a protest pursuant to Section 2720.130, "party" means only the employing unit that files the protest.

"Personal Identification Number" or "PIN" means a number that enables the claimant to access the Telephone Certification System. Valid use of a PIN serves as the claimant's signature.

"Protest" means the Department form Employer Notice of Possible Ineligibility, or a letter in lieu thereof, that alleges the claimant is not entitled to unemployment insurance benefits.

"Referee" means the administrative law judge assigned to conduct hearings on appealed Adjudicator findings, determinations or recoupment decisions and to make decisions on the matters appealed.

"Regular Employing Unit" is either the employing unit for which an individual expects to continue working and to work full time if business warrants it, or any employing unit for which the individual worked full time for 9 consecutive weeks during the preceding 52 weeks.

"Service Area" means a geographical area served by a local office.

"Services" means not only work actually performed, but the entire employer-employee relationship. Any attachment to an employing unit for which wages are payable constitutes a service for that employing unit.

"Telephone Certification System" or "TCS" means a system implemented by the Department that enables a claimant to certify for benefits or obtain information by touch-tone telephone.

"Telephone Filer" means a claimant who has established a PIN and uses the Telephone Certification System to certify.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.3 "week" in Relation to "benefit Year"

A week shall be deemed to be within the benefit year which includes the ending date of such week.

Example: The individual's benefit year ends on Monday April 1, 1985. He establishes a new benefit year claim, effective April 2, 1985. If this individual files a continued claim for the week ending April 6, 1985, that week will be deemed to be in the benefit year beginning April 2, 1985.

History

• Source: Added at 11 Ill. Reg. 14338, effective August 20, 1987

56 Ill. Adm. Code 2720.5 Service of Notices, Decisions, Orders

a) Except as provided in subsections (b) and (e), a notice, decision or order shall be served on every party, either by:

1. Personal service;

2. Mailing in an envelope, sealed and properly addressed to the last known address of the party, with the correct amount of postage prepaid; or

3. If agreed to by the party, posting on a secure website accessible to the person or entity and sending notice of the posting to the last known e-mail address of the person or entity.

b) When an agreement is made between the Department and the employing unit (or its authorized agent) and the necessary identifying information is available, the Notice of Claim to Last Employing Unit and Last Employer or other Interested Party shall be sent to the employing unit (or its authorized agent) by means of an electronic data transmission rather than by mailing a document to the employing unit.

c) A person may designate an agent to receive his or her notices and decisions by filing the name and address of the agent with the Department. In these cases, notice to the agent so designated is notice to the person. A person's designation of the agent shall remain in effect until the Department receives a notice that the agency relationship no longer exists.

d) Notwithstanding the appointment of an agent in accordance with subsection (c), the Notice of Claim to Last Employing Unit and Last Employer or other Interested Party (see Section 2720.130) shall be sent to the employing unit identified by the claimant at the time he or she files his or her claim for benefits.

e) CARES Act

1. Notwithstanding any other provision of this Part, for notice of any document or correspondence related to the federal Pandemic Unemployment Assistance (PUA) program established by section 2102 of the CARES Act (Public Law 116-136), as amended, the Department will serve each notice on the claimant in lieu of mailing a paper copy through the U.S. Mail by:

A) posting an electronic version of the notice in the claimant's account; and

B) sending an email to the email address that has been provided on the account.

2. If the claimant either fails to provide his/her email address or requests to receive notices only through the U.S. mail, the Department will serve the notice on the claimant through U.S. Mail sent to the claimant's last known address.

3. Emails to the claimant will notify him or her that a notice has been posted to the account and will not contain any Personal Identifying Information (PII) and may not be responded to by email.

History

• Source: Amended at 44 Ill. Reg. 14672, effective August 27, 2020

56 Ill. Adm. Code 2720.7 Application for Electronic Data Transmission

a) In lieu of receiving its Notice of Claim to Last Employing Unit and Last Employer or other Interested Party as a paper document sent through the U.S. Postal Service, an employing unit (or its authorized agent) may apply to have the document sent to it through electronic data transmission.

b) The Director shall approve the application if the employing unit (or its authorized agent) agrees to:

1. At its own expense, on a daily basis, retrieve its electronically transmitted data from the data center of CMS, designated by the Director;

2. Accept the date shown on the Department's records as conclusive evidence of the date that the electronically transmitted data was sent to the data center;

3. Demonstrate to the Director that the volume of claims filed against it justifies the cost to the Department of putting the employing unit on the electronic data transmission system.

c) The Director must also find that the employing unit's (or its authorized agent's) electronic data processing equipment is compatible with that used by the Director.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.10 Computation of Time

a) The calendar day on which any notice, decision or order is mailed or electronically transmitted by the Department shall be excluded in computing time.

b) The calendar day on which notice is due from a party or from an employing unit that is seeking to become a party (see Section 2720.130(a)) or action is required by a party or by an employing unit that is seeking to become a party shall be included in the computation of time.

c) If the last day a document may be filed by a party or by an employing unit that is seeking to become a party is a day on which the Department facility is closed, the due date is extended to the end of the next day the facility is open.

d) The date on the document shall be rebuttable evidence that it was mailed on that date; a postmark placed on the envelope by the U.S. Postal Service shall be conclusive evidence of the date of mailing; when a Notice of Claim to Last Employing Unit and Last Employer or other Interested Party is electronically transmitted to an employing unit (or its authorized agent), the date of transmission shown on the Department's records shall be conclusive evidence of the date of service of the Notice.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.11 Methods of Payment

a) For purposes of this Section, "benefits" includes payments to a claimant pursuant to the Act; trade readjustment allowances and alternative trade adjustment assistance payable pursuant to the Trade Act of 1974, as amended (19 U.S.C. 2101 et seq.); disaster unemployment assistance payable pursuant to the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended (42 U.S.C. 5121 et seq.); and any other payments the Department may make with respect to unemployment.

b) Except as otherwise provided in subsections (c) and (d), the Department will pay benefits to a claimant by crediting the benefits to a financial institution account that the Department will establish for the claimant and against which the claimant may electronically draw funds through the use of a debit card. The issuance of a debit card pursuant to this Section does not entitle a claimant to draw funds unless:

1. the claimant has activated the card in accordance with the instructions of the financial institution with which the account was established; and

2. the account has a positive balance. The claimant's use of a card pursuant to this Section shall be subject to the terms of the cardholder agreement provided by the financial institution with which the claimant's account has been established. The Department may make adjustments to an account established pursuant to this Section when necessary to correct credit or debit entries made in error.

c) Notwithstanding subsection (b), the Department will pay benefits to a claimant by direct deposit into a financial institution account designated by the claimant if the designation is in effect at the time the benefit payment is processed. A designation made pursuant to this subsection shall be made on a Direct Deposit Authorization Form provided by the Department and shall subject the claimant to the terms and conditions set forth on the form. The Department may make adjustments to an account designated pursuant to this Section when necessary to correct credit or debit entries made in error.

d) Notwithstanding subsection (b), if the financial institution contracted by the Department to make benefit payments to claimants does not issue debit cards, then the payment of benefits will be by way of direct deposit under subsection (c) (which is the preferred method of payment of benefits) or else by issuance of paper checks to claimants. If a claimant had been receiving benefit payments by way of a debit card issued by a financial institution that is no longer the financial institution contracted with the Department to make benefit payments and if that claimant has not notified the Department of an election as to how to receive benefit payments, then benefit payments will be made to that claimant by way of paper checks.

History

• Source: Amended at 46 Ill. Reg. 5664, effective March 24, 2022

56 Ill. Adm. Code 2720.15 Disqualification of Adjudicator, Referee, or Board of Review

a) No Adjudicator or Referee or member of the Board of Review shall participate in any manner in any investigation or proceeding under the Act if he has a financial or other direct personal interest in the outcome of the proceeding or investigation. Personal interest includes family, social or professional relationships, or general bias or prejudice which would tend to affect the ability of the Adjudicator, Referee or Board member to remain fair and impartial.

b) A party seeking disqualification must file a written request to disqualify with the person whose disqualification is sought prior to the commencement of the investigation or proceeding. The request to disqualify must contain specific facts which indicate a financial or other direct personal interest in the outcome of the proceeding or investigation.

c) The person whose disqualification is sought will issue his decision on the request prior to the investigation or proceeding. If the request is denied, the reasons for the denial must be set forth in writing and the Adjudicator, Referee or Board of Review will proceed with the investigation or proceeding. The request and the reasons for the denial will be part of the record in any appeal.

56 Ill. Adm. Code 2720.20 Attorney Representation of Claimants

a) Attorneys for claimants must file an Attorney Appearance and Authorization for Representation form signed by the claimant and his or her attorney. This form must be filed with the Department prior to a hearing before an Adjudicator or Referee, or prior to the decision of an Adjudicator, Referee, or Board of Review, whichever occurs first after the attorney begins his or her representation of the claimant.

b) Absent prior approval by the Board of Review under subsection (c), an attorney representing a claimant may not charge or receive more than:

1. 15% of the amount of the weekly benefits in a claim series received by the claimant after the claimant hires the attorney; or

2. $150 per hour, whichever is greater.

c) If an attorney believes that the fee arrived at pursuant to subsection (b) is inadequate, the attorney may file a request with the Board of Review setting forth the facts supporting the attorney's claim for additional fees. The requests shall include the attorney's certification that the claimant was served with a copy of the request. The Board of Review shall grant or deny the request in whole or in part based on whether the complexity of the case, the result obtained, the expertise required and the time expended in rendering legal services warrant a fee in excess of that allowable under subsection (b).

d) A claimant wishing to comment on or object to a request for additional fees under subsection (c) shall do so in writing to the Board of Review within 10 days after the request is served on him or her. All decisions regarding requests for additional fees shall articulate the reasons for the grant or denial of the request and shall be final administrative decisions. Nothing in this Section shall be construed as prohibiting an attorney from collecting the sum allowable under subsection (b) prior to the decision of the Board of Review.

e) A claimant or employer may authorize an attorney or his or her designated agent to review the Department file regarding the claimant or employer for the purpose of determining whether to represent the claimant or employer in proceedings before the Department. The authorization shall be in writing and may be delivered to the Department office applicable to the particular claimant's or employer's case. Upon delivery of the authorization to the applicable Department office, the attorney or his or her designated agent may review the file without filing an appearance form or becoming the claimant's or employer's counsel of record.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.25 Form of Papers Filed

a) Each form provided by the Department that specifies the information to be provided shall be completed in full as indicated. Every other document prepared by claimants, parties, or their representatives shall bear the name of the claimant, either the Social Security or Claimant Identification Number of the claimant, the name and address of the employer, the name, address, and telephone number of the person filing the document, and, if a person has received notice of appeal, the docket number of that appeal.

b) The omission of necessary information described in subsection (a) may lead to substantial delay in the review process of the document and could prevent any consideration of the document or its contents. In instances in which information cannot be obtained by other means, the Department shall immediately return the document with a description of the needed information to the person who filed it. If the document with all required information is returned within 10 days after the date the Department mailed it back to the person, the document shall be considered filed on the date the Department originally received it.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.30 Correction of Technical Errors

a) Subject to the provisions of this Section, the Department shall, on its own motion or the motion of a party, correct any technical error in any Finding, Determination or Decision necessary to effectuate the intent of the originating authority by issuing a corrected Finding, Determination or Decision. Production of new evidence shall not be a technical error under the provisions of this Section.

EXAMPLE: The Referee issues a Decision, that states the facts and applicable law. The text of the Decision indicates that benefits will be allowed. However, the conclusion of the Decision states that benefits are denied. Either on its own motion or the motion of a party, the Department shall correct this Decision so that the conclusion follows from the facts and the law as set out in the text of the Decision.

b) Any corrected Decision shall set forth the matter being corrected in a different type font than the original text.

c) No corrected Finding, Determination or Decision shall be issued when:

1. The issue in question has been appealed to a higher authority;

2. More than 13 weeks have passed since the end of the benefit year affected by the finding, or more than a year has passed since the last day of the week for which the Determination was made; or

3. More than 30 days have passed since the date of mailing of the Decision of the Referee or the Board of Review.

d) When the Department denies a motion of a party to issue a corrected Finding, Determination, or Decision, the motion shall be considered an appeal to the original Finding, Determination or Decision to the next higher level of review within the Department. The motion does not stay the period for filing an appeal to the circuit court.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.35 A Claimant's "last Known Address"

Notwithstanding any provision to the contrary, a claimant's "last known address", as that term is used in the Act, is the last address provided to the Department by the claimant as provided in this Section. The address provided by a claimant on his or her most recent unemployment insurance claim application is the claimant's last known address until the claimant informs the Department of a change of address by telephone or in person at any local office, or through the internet at the Department's website, www.ides.illinois.gov. The telephone number for submitting a change of address can be found on the Department's website. Noting a change of address on an appeal or other correspondence is not sufficient to change one's "last known address".

History

• Source: Added at 43 Ill. Reg. 1523, effective January 15, 2019

56 Ill. Adm. Code 2720.40 Eligibility for Pandemic Emergency Unemployment Compensation with a Higher Weekly Benefit Amount

a) With respect to weeks beginning on or after December 27, 2020, an individual who is otherwise eligible to receive Pandemic Emergency Unemployment Compensation (PEUC) pursuant to Section 206(c)(1) of the federal Continued Assistance Act (PL 116-260) but for the federal requirement that such individual must have first exhausted the individual's entitlement to "regular" benefits (not including Extended Benefits) under the Act or the Unemployment Insurance Act of another state, shall continue to receive PEUC benefits in lieu of payment of regular benefits on a subsequent benefit year if:

1. the individual has remaining entitlement to PEUC benefits for a benefit year;

2. the individual's weekly benefit amount (not including any dependent allowance) for a subsequent, new benefit year is at least $25 less than the weekly benefit amount (not including any dependent allowance) that the individual is eligible to receive in PEUC; and

3. the benefit year on which the individual's PEUC is based expired after December 27, 2020.

Example: The individual exhausts his entitlement to regular benefits on December 26, 2020 and files for PEUC, effective December 27, 2020 and is eligible for a PEUC weekly benefit amount of $450 per week. His first benefit year ends on January 4, 2021. He files a subsequent benefit year claim, effective the week beginning January 3, 2021. His weekly benefit amount on the new claim is $51 per week. This individual will remain on PEUC until he exhausts his PEUC benefits or until the program ends because his weekly benefit amount on the new benefit year claim is at least $25 less than the weekly benefit amount that he is eligible to receive in PEUC and the benefit year on his prior claim expired after December 27, 2020.

b) Pursuant to the federal flexibility and option provided for payments of PEUC benefits in the federal Continued Assistance Act (PL 116-260), whenever subsection (a) above applies, the new benefit year will be established but payment on such claim will be deferred until the individual exhausts his/her prior PEUC entitlement or it is otherwise no longer available.

c) Such subsequent payments for regular benefits on the new benefit year shall not be made for weeks with respect to which the individual has been or will be paid PEUC.

Example: The individual in the previous example will be paid PEUC until he exhausts his PEUC benefits or the program ends. If eligible, he will then be paid regular benefits for any subsequent weeks remaining in the subsequent benefit year at the weekly benefit amount applicable for the subsequent benefit year.

History

• Source: Added at 45 Ill. Reg. 7134, effective May 27, 2021

56 Ill. Adm. Code 2720.100 Filing a Claim

a) Each employer shall deliver the What Every Worker Should Know About Unemployment Insurance form to each worker separated from employment for an expected duration of 7 or more days. The form shall be delivered to the worker at the time of separation or, if delivery is impracticable, it shall be mailed, within 5 days after the date of the separation, to the worker's last known address. The forms shall be available for downloading from the Department's website. Every employer subject to the provisions of the Unemployment Insurance Act (including every employing unit that has elected, with the approval of the Director, to become an employer subject to the Act) shall post and maintain the notices as may be furnished by the Director. These printed notices shall be posted in conspicuous places in all of the establishments of the employer and shall be easily accessible for examination by the worker. These notices can also be downloaded from the Department's website.

b) Unless a claimant is otherwise instructed by the Department and except as otherwise provided in subsection (e), an initial claim for unemployment insurance benefits may be filed in person at any local office or over the telephone or on the internet at the Department's website. Subject to Section 2720.25, when filing a claim, the claimant, when requested, shall provide the following to the local office:

1. A valid Social Security card or other evidence of his or her Social Security number, such as a W-2 form;

2. Any other form of positive identification such as a driver's license, state photo ID card or payroll check stub showing his or her name, address and date of birth;

3. For each employing unit for whom the claimant worked during the past 2 years:

A) The employing unit's name and address;

B) Dates of service;

C) Reasons for the claimant's separation:

i) If the employing unit is the federal government, Standard Form 8 and Personnel Action Form 50, or any other documents, such as a Form W-2 or check stub, that show he or she has worked for the federal government; or

ii) If the employing unit is the military, Separation Form DD-214;

4. The Social Security number, name and birthdate of each of the claimant's dependent children;

5. Social Security number, if any, of the claimant's spouse and information about the spouse's employment during the last 2 years if the claimant is claiming the spouse as a dependent;

6. Information about other income, such as pensions, workers' compensation, payment for services, irrespective of whether the claimant regards the services as employment, or other unemployment insurance benefits that the claimant has received or will receive after the termination of his or her employment.

c) The Department will accept and process any claim filed. When the claimant files his or her claim, the claimant will be informed of the requirements for receiving unemployment insurance benefits, including the requirement that the claimant be able to work, available for work and actively seeking work.

d) Within a reasonable time after the claimant files his or her claim (customarily within 7 days), the claimant will be provided with a finding showing whether he or she has monetary eligibility and, if so, the amount of benefits.

e) The Department shall require a claimant to file in person at a local office if there is a significant discrepancy between information that the claimant provides while attempting to file a claim via the internet and information contained in Department records or other government records the Department may utilize.

EXAMPLE: An individual named Smith attempts to file an unemployment insurance claim via the internet and, as part of the internet claims process, enters his Social Security number. However, Department records indicate a previous claim was filed by someone other than Smith, using the same Social Security number that Smith has provided. Smith will have to file his claim in person in a local office to clear up the discrepancy.

f) Once a claimant establishes a "valid" claim (one on which the claimant is monetarily eligible for benefits), that claim cannot be withdrawn. The local office is under no obligation to advise an individual when to file his or her claim so as to qualify for the optimum benefit amount.

EXAMPLE: An individual files a valid claim effective June 6, 2010. He later learns that, if he had waited until after July 1, 2010 to file his claim, he would have been entitled to a higher weekly benefit amount. The individual cannot withdraw the claim that he established effective June 6 to obtain a higher weekly benefit amount.

History

• Source: Amended at 43 Ill. Reg. 1523, effective January 15, 2019

56 Ill. Adm. Code 2720.101 Filing, Registering and Reporting by Mail Under Special Circumstances

a) The application of this Section is limited to individuals who fall within the following general categories who have no access to a telephone or the internet and who meet the requirements set forth in subsection (c):

1. Persons residing in any area or community where no transportation is readily or cheaply available, where no local office exists and where itinerant service is not furnished;

2. Persons working less than full time and residing in any area or community where itinerant service is furnished but who are employed at the time itinerant service is available to them;

3. Persons in the armed forces of the United States;

4. Persons whose physical condition prevents filing, registering and reporting in person;

5. Persons in full time employment under circumstances in which that reporting, registering or filing in person would be inconsistent with the purposes of the Act;

6. Persons claiming benefits with respect to a week of partial employment, defined as a calendar week of less than full time work with respect to which wages payable to an individual are less than his or her weekly benefit amount and are earned from his or her regular employing unit.

b) Except when otherwise specified in Rules by the Director, the requirements of Section 500(A) of the Act, with respect to the persons described in subsection (a), are waived.

c) General Provisions

1. Notwithstanding the provisions of any other Section of 56 Ill. Adm. Code: Chapter IV, any unemployed individual in any of the categories of subsection (a) shall, under those circumstances and subject to those conditions set forth in this Section, be permitted to file a claim for benefits by mail and register for work mail. The permission shall be granted only in cases when all of the following circumstances and conditions exist:

A) A request by the individual or his or her authorized agent orally or in writing has been made;

B) The individual has furnished such information as the Claims Adjudicator may require to determine the propriety of the request;

C) The Claims Adjudicator has found that failure to grant permission would be inconsistent with the purposes of the Act.

2. The Claims Adjudicator shall have the right to withdraw permission with respect to any week if he or she finds that reporting in person would not be inconsistent with the purposes of the Act.

d) Effects of Filing by Mail

1. Filing, registering and reporting by mail in accordance with the provisions of this Section shall have the same effect as filing, registering, and reporting in person at an unemployment office.

2. When permission to file by mail has been granted, the date of the request for permission (as evidenced by the postmark if the request is by mail) shall be considered as the date of claim; provided, however, that backdating for good cause shall be granted to the same extent that it is granted to persons who file claims in person. (See Sections 2720.105(b) and 2720.120.)

3. Except with respect to the necessity for appearing in person at an unemployment office, all provisions of 56 Ill. Adm. Code: Chapter IV, applicable to filing, registering, and reporting in person shall be applicable to filing, registering, and reporting by mail in accordance with this Section.

4. The Department may, when accepting mail filings, conduct interviews with the applicants by telephone or in person to review the written submissions.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.105 Time for Filing an Initial Claim for Benefits

a) An initial claim for benefits should be filed no later than the end of the first week in which the claimant is separated from work. If it is filed later than the week the claimant became separated from work and backdating is not requested, the claim shall begin in the week in which it was filed.

b) If an initial claim is filed later than the end of the first week after the separation, but less than one year thereafter, at the claimant's request the Department will backdate the claim to the appropriate date and determine eligibility for that period if:

1. the claimant shows:

A) The individual's unawareness of his or her rights under the Act;

B) Failure of either the employing unit or the Department to discharge its responsibilities or obligations under the Act or the rules;

C) Any act of any employing unit in coercing, warning or instructing the individual not to pursue his or her benefit rights; or

D) Other circumstances beyond the claimant's control; and

2. The claimant shows he or she filed the claim within 14 days after the reasons for the failure to file no longer existed.

c) A claim with respect to a single week of total or part-total unemployment immediately preceded by a week of partial employment, shall be dated as of the first day of the week of total or part-total unemployment, if the claim is filed within the time limits for filing the claim with respect to the week of partial unemployment (see Section 2720.106).

d) If a claim is filed by any person who is not unemployed at the time of filing, theclaim shall be dated as of the first day of the next following week for which the individual is unemployed. It shall be the obligation of the individual to inform the Department when he or she does become unemployed.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.106 Dating of Claims for Weeks of Partial Unemployment

a) An individual who files a claim for a week of partial unemployment shall present valid evidence for the week, if the evidence has been furnished to him or her by the employing unit.

1. The failure of the individual to present valid evidence shall not be a ground for denial of benefits or waiting period credit with respect to the week.

2. If an individual fails to present valid evidence for the week, and it is not otherwise available, the Department shall request the employing unit to furnish evidence in accordance with the provisions of Section 2720.107.

b) A claim for a week of partial unemployment shall be dated as of the first day of that week if the individual files the claim within five weeks after the end of the calendar week in which he or she received valid evidence for the week of partial unemployment. A claim with respect to a week of partial unemployment may be filed by mail if the individual has previously filed a valid claim or if the individual had previously filed an invalid claim but the issue is under appeal for the current benefit year.

c) A claim for a week of partial unemployment, filed after the end of the period allowed in subsection (b) for good cause such as the inability to file within the five week period due to work schedule, illness or other circumstances beyond the claimant's control, may be dated as of the first day of that week, if it is filed at the first available opportunity, but not later than eight weeks after the end of the five week period.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.107 Employing Unit Reports for Partial Unemployment

a) Valid evidence as used in this Section and Section 2720.106 means a pay stub, pay envelope or voucher for the week showing:

1. The worker's name;

2. His or her Social Security number;

3. The ending date of the calendar week;

4. The wages earned by the worker during the week;

5. The employing unit's name;

6. A statement that the earnings were for a week of less than full time work, due to lack of work;

7. The signature (actual or facsimile) of a person authorized by the employing unit to sign the forms, or other positive identification of the authority supplying the valid evidence; and

8. The date on which the valid evidence was issued.

b) Requirement to Furnish Worker with Valid Evidence

1. Not later than the payday for the period covered by the valid evidence, if so requested by the worker, the employing unit shall deliver the valid evidence to a worker for each calendar week during which the worker worked less than full time because of lack of work and earned less than his or her weekly benefit amount.

2. The employing unit shall deliver to the requesting claimant the valid evidence, whether or not the employing unit has received a Notice of Claim.

c) If the employing unit fails to provide the requested information to the individual, an employing unit shall respond to the Department's request for valid evidence for the individual specified in the request by showing the individual's earnings and whether the individual worked less than full time because of lack of work and earned less than his or her weekly benefit amount in each calendar week covered by the request. The response shall be mailed to the address specified in the request, within 5 business days after receipt of the request. Failure of an employing unit to provide valid evidence when requested will result in the payment of benefits based on the individual's explanation of his or her earnings for the weeks in question.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.108 Alternative "base Period"

a) Section 237 of the Act provides a definition of the term "base period". That Section also provides that, when an individual does not qualify for the maximum weekly benefit amount provided under Section 401 of the Act because he or she had insufficient wages during his or her base period as a result of being unemployed and when he or she was awarded temporary total disability during the period under any workers' compensation or occupational diseases Act, he or she shall be entitled to have his or her weekly benefit amount computed using an alternative base period, as described in Section 401.

b) For the purpose of determining the applicability of the alternative base period described in Section 237 of the Act, "awarded" temporary total disability shall not be limited to awards made by the Illinois Workers' Compensation Commission or similar agencies in other states but shall include settlements and voluntary payments by employing units or their insurers.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.110 Required Second Visit to Local Office (repealed)

History

• Source: Repealed at 17 Ill. Reg. 17937, effective October 4, 1993

56 Ill. Adm. Code 2720.112 Telephone or Internet Certification

a) Except as provided in subsection (c), each claimant shall be a telephone or internet filer.

b) On his or her certification day, a telephone or internet filer shall call a designated telephone number and enter his or her PIN or log onto the Department's website, as applicable, as directed and respond to the questions concerning his or her claim for the prior two weeks. If a telephone or internet filer misses his or her assigned certification day, he or she may call or certify online on Thursday or Friday of that week, or on his or her assigned day or Thursday or Friday of the next week.

c) A mail filer will be sent a copy of the questions concerning his or her claim for the prior two weeks and shall respond in accordance with the provisions of Section 2720.115(a); provided, a claimant cannot file by mail unless he or she requests to do so and furnishes information the Claims Adjudicator may require to determine:

1. He or she speaks neither English nor Spanish;

2. He or she is hearing impaired; or

3. He or she has no reasonable access to a touch-tone telephone or internet. In determining whether a claimant has reasonable access to a touch-tone telephone or to the internet, consideration shall be given, but not necessarily limited to, the following factors: the claimant's known physical or mental limitations, the claimant's concerns for his or her safety, and the overall level of effort required to access a touch-tone telephone or the internet; an occasional inconvenience or mere preference does not mean a claimant has no reasonable access to a touch-tone telephone or the internet.

A) EXAMPLE: A telephone filer, who has no telephone in his apartment, but has used touch-tone telephones in the lobby of his building and elsewhere in his neighborhood to certify, requests to become a mail filer. His reason is that sometimes he must wait a few minutes for someone to get off the telephone, so he would prefer to be a mail filer. An occasional inconvenience or mere preference does not mean he has no reasonable access to a touch-tone telephone. He cannot be a mail filer.

B) EXAMPLE: An individual who has been a telephone filer fails to certify and more than two weeks have passed since his certification day. This raises a late reporting issue for the weeks under review, to be resolved by applying the provisions of Section 2720.120(b). Irrespective of how that issue is resolved, if it is found that the claimant no longer has reasonable access to a touch-tone telephone, then, for future weeks, the claimant may certify by mail.

d) A mail filer may become a telephone or internet filer by simply using those media.

e) A date shown (or absence of a date) on the Certification Detail Screen shall be rebuttable evidence that a telephone or internet filer certified (or failed to certify) on that date. If a telephone or internet filer attempts to certify more than two weeks after his or her certification day, this will result in a delay in the processing of benefit payments and raise a late reporting issue, to be resolved by the application of Section 2720.120(b).

f) All provisions of this or any other Part that are not inconsistent with the provisions of this Section, shall remain in effect.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.115 Continuing Eligibility Requirements

a) After the claimant has filed his or her initial claim, the claimant must certify as to his or her continuing eligibility. Even if the claimant has been denied benefits, he or she must continue to certify and maintain his or her work search record, and meet other eligibility requirements of the Act, for each week for which he or she expects payment upon reversal of that denial. The claimant shall certify as a telephone or internet filer pursuant to Section 2720.112 unless he or she qualifies as a mail filer pursuant to Section 2720.112(c). If the claimant is a mail filer, the Department will mail the claimant a form called Claim Certification (BIS-653) every two weeks or will send the claimant a Notice explaining why the Claim Certification was not sent, but only if this is the claimant's first certification following the filing of his or her initial claim or if the claimant had certified for the prior two week period. The claimant must complete the Claim Certification and file it at the local office, either by mail or in person, on the Date To Mail indicated on the form (see Section 2720.120). If the claimant is a mail filer and does not receive a Claim Certification within 20 days after filing his or her initial claim or after he or she received the claimant last Claim Certification, the claimant must notify the local office and obtain a Claim Certification.

b) If at any time the Department has reason to investigate the claimant's continuing eligibility, the Department will so inform the claimant in writing. The claimant must cooperate with the investigation by appearing at the time and place instructed by the Department on the Notice of Claims Adjudicator's Interview, with all information he or she has regarding any question that has been raised. Failure to cooperate will result in a Finding, Determination or Decision being issued without further information from the claimant.

c) A claimant certifying for benefits under this Section as a telephone, internet or mail filer shall maintain a work search record for each week he or she is claiming benefits.

1. The work search record shall include the names and addresses of the employing units contacted, as well as the names of specific persons contacted, if possible; the dates and methods of the contacts; the type of work sought, including wages and hours requested or desired; and the results of the contacts.

2. The claimant shall provide his or her work search record to the Department upon the Department's written request. The Department shall only request the claimant's work search record with regard to a week in which: an employing unit makes a sufficient protest regarding the claimant's work search for the week and requests the opportunity to review the claimant's work search record for that week; an employing unit requests to review the record for a week, on the condition that the request is made during that week; or the Department otherwise has information that would provide the basis for a review of the work search or the Department conducts a random work search audit of his or her claim. When the claimant provides a work search record, an employing unit, or the attorney or agent of the employing unit or the claimant, may review the record pursuant to subsection (e). When an employing unit requests to review the record for a week, the Department shall not request the claimant to provide his or her work search record if the primary purpose of the employing unit's request is to harass the claimant.

3. A claimant's failure to provide his or her work search record as requested may result in a determination or decision being issued that the claimant did not conduct an active work search.

d) Where an employing unit makes a timely and sufficient protest regarding work search pursuant to Section 2720.130, and benefits are allowed, a copy of the Adjudicator's Determination regarding the adequacy of the work search will be sent to the protesting employing unit (customarily within 20 days after receipt of the protest).

e) If the employing unit or claimant, or the attorney or agent of the employing unit or the claimant, wishes to review or obtain copies of other documents in the file for the purpose of pursuing the employing unit's or claimant's rights under the Act, he or she may do so in the local office, where it shall be made available upon reasonable notice. To review or obtain a copy of a hearing transcript, see Section 2720.320.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.120 Time for Filing Claim Certification for Continued Benefits

Subject to the provisions of Section 2720.112:

a) The completed Claim Certification should be filed on the certification day as indicated on the form UI Finding. Failure to file the completed Claim Certification on the scheduled certification day will result in a delay in the processing of benefit payments.

b) If the Claim Certification is filed more than two weeks late but less than one year late, the Department will process it if the claimant shows:

1. The individual's unawareness of his or her rights under the Act;

2. Failure of either the employing unit or the Department to discharge its responsibilities or obligations under the Act or the rules;

3. Any act of any employing unit in coercing, warning or instructing the individual not to pursue his or her benefit rights; or

4. Other circumstances beyond the individual's control if the claimant shows he or she filed his or her claim within 14 days after the reasons for the failure to file no longer existed.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.125 Work Search Requirements for Regular Unemployment Insurance Benefits (repealed)

History

• Source: Repealed at 14 Ill. Reg. 18489, effective November 5, 1990

56 Ill. Adm. Code 2720.126 Availability for Part Time Work Only (repealed)

History

• Source: Repealed at 14 Ill. Reg. 18489, effective November 5, 1990

56 Ill. Adm. Code 2720.127 Director's Approval of Training (repealed)

History

• Source: Repealed at 14 Ill. Reg. 18489, effective November 5, 1990

56 Ill. Adm. Code 2720.128 Active Search for Work: Attendance at Training Courses (repealed)

History

• Source: Repealed at 14 Ill. Reg. 18489, effective November 5, 1990

56 Ill. Adm. Code 2720.129 Regular Attendance in Approved Training (repealed)

History

• Source: Repealed at 14 Ill. Reg. 18489, effective November 5, 1990

56 Ill. Adm. Code 2720.130 Employing Unit Protest of Benefit Payment

a) A protest ("Notice Of Possible Ineligibility" or a letter in lieu of that notice) raises questions of eligibility, entitles an employing unit to receive an Adjudicator's Determination regarding questions of eligibility raised and, if timely and sufficient as set out in this Section, provides party status and appeal rights of the Determination relating to the protest.

1. The employing unit shall file, either by mail or by hand delivery, the protest within 10 calendar days after the date of notice shown on the Notice of Claim to Last Employing Unit and Last Employer or Other Interested Party form (see Section 2720.10 for the computation of time). The protest shall be addressed, if mailed, or hand delivered to the Director at the local office designated on the form received by the employing unit. If the employing unit mails or hand delivers the protest to an address other than the address designated on the form received by the employing unit, timeliness of the notice shall be measured from the date of receipt at the proper address instead of the postmark date or the hand delivery date, as the case may be.

2. The protest should include the names, addresses and telephone numbers of persons having knowledge of the facts and circumstances supporting the allegation whom the employing unit designates for the Department to contact for further information. The protest must meet the sufficiency requirements of subsection (d).

b) Because, during a claim series, acts or circumstances may occur that could result in ineligibility, an employing unit's protest with respect to those acts or circumstances will be deemed timely (irrespective of the 10 day time limit set forth in subsection (a)) and will, if also sufficient, provide party status; except, if the employing unit protests that, under Section 500C of the Act, the individual was not able to work, available for work or actively seeking work, then that part of the employing unit's protest will not be deemed timely and will not provide status for any week prior to the week in which it was received by the Department. Whether or not protest is deemed timely or an employing unit is provided party status, ineligibility is determined from the week in which the acts or circumstances occurred.

1. EXAMPLE: The employing unit from which the individual was separated does not respond within 10 days after the date of mailing of the Notice of Claim to Last Employer, Last Employing Unit or other Interested Party. Later, during the claim series, the employing unit offers the individual suitable work that he refuses without good cause. The employing unit then protests, alleging that the individual should be ineligible under Section 603 of the Act (refusal of work). This protest shall be deemed timely beginning with the week in which the refusal of work occurred.

2. EXAMPLE: During the third week of the claim series, the school district that employed the individual as a teacher during the last academic term offers him a contract to teach again in the next academic term. During the seventh week of the claims series, the school district protests that the individual should be ineligible under Section 612 of the Act. This protest shall be deemed timely as of the date that it is determined that the contract was offered to the individual.

3. EXAMPLE: The individual has been receiving benefits for 14 weeks. In the 15th week, his former employer hears that the individual may have been incapacitated by an injury beginning in week 6 of the claim series. The employer protests that the individual should be ineligible for benefits under Section 500C of the Act beginning with week 6 of the claim series. While the Department will investigate this individual's eligibility for benefits beginning with week 6, the employer will only be a party to the determination of eligibility beginning with the week in which the employer notifies the Department of its allegation of possible ineligibility.

c) When an employer alleges that an individual who was initially an unemployed individual but was later not unemployed under Section 239 of the Act because the individual returned to work for the employer and continued to claim benefits, a protest shall be considered timely if filed within 45 days after the date the Department mails the employer a Statement of Benefit Charges (BEN-118) that includes a period in which the employer alleges that the individual claimed benefits while he was employed by the employer.

d) As long as the employing unit gives a reason or reasons for the allegation and the reason is directly related to the issue raised and is not a general conclusion of law, the allegation shall be considered sufficient. A protest under this Section is sufficient only if limited to one claimant, except as otherwise provided in subsection (d)(3), and only if it:

1. Alleges on the protest that the claimant is not eligible for benefits or waiting week credit by providing material reasons or facts in support of the allegation, other than a conclusion of law, which would support the claimant being held ineligible for benefits; or

A) EXAMPLE: Sufficient – Employing Unit's Protest Alleges:

i) The claimant is not able to and available for work because she is in school.

ii) The claimant is not able to and available for work because he has no child care during working hours.

iii) The claimant is not able to and available for work because he has removed himself to an area of substantially less favorable work opportunities.

iv) The claimant is not able to and available for work because she is seeking part-time work.

v) The claimant is not able to and available for work because he is in an occupation for which there is no demand in the labor market area.

B) EXAMPLE: Not Sufficient – Employing Unit's Protest Alleges:

i) The claimant is not actively seeking work (general conclusion of law).

ii) The claimant is not available for work (no reason given for allegation).

iii) The claimant is not able to and available for work because he was discharged from his last job (reason given is not related to the issue raised);

2. Alleges that the claimant is not eligible for benefits because, in connection with any separation or layoff, the claimant has been or will be paid vacation pay, vacation pay allowance, or pay in lieu of vacation, in which event, the employing unit must designate, on the protest, within 10 calendar days after notification of the filing of the claim, or within 10 calendar days after the date the vacation pay is paid or payable, the period to which that pay is allocated. It is not necessary that a protest be filed for each individual vacation payment. No designation is necessary for disqualification purposes for vacation payments made during an announced period of shutdown for the purpose of inventory, vacation, or both; or

3. Alleges that the claimant is not eligible for benefits because he is unemployed due to his involvement in a labor dispute, and the employing unit, within 5 days after the start of the period of the work stoppage due to a labor dispute, provides the Department with the name and Social Security number of each worker involved in the dispute. This list of workers shall be filed with the Department's Labor Dispute section. Upon receipt of the list, the Department will mail a Labor Dispute Questionnaire to the employing unit and the union or representative of the employees involved in the labor dispute. The employing unit, union, and/or employee representative must respond to the questionnaire within 10 days. If the questionnaire is not received within 10 days, the Department will issue a decision based on the information contained in the record at that time. The filing of the list will constitute an allegation of possible ineligibility under the labor dispute provision (Section 604 of the Act) only and shall not be construed as an allegation of possible ineligibility under any other provisions of the Act.

e) In instances in which the Department decides that the protest has not met the sufficiency requirements of subsection (d)(1), the Department shall immediately provide the employing unit with a notice, including a description of the needed information. If the protest with all required information is refiled within 10 days after the date the Department mailed the notice to the employing unit, the protest shall be considered filed on the date the Department originally received it. In no event shall the employing unit have the right to correct an insufficient protest regarding the same claim more than once. In the event that a protest does not meet the sufficiency requirements of subsection (d)(1) after being refiled pursuant to this subsection, the Adjudicator shall determine the protest to be insufficient. A Decision that a protest is insufficient may be appealed pursuant to Section 2720.200.

f) Academic Personnel

1. For any weeks beginning March 15, 2020 and ending January 2, 2021, an educational institution or educational service agency, collectively referred to as an "academic employer", will be considered to have filed a timely and sufficient protest and to have established employer party status as to allegations of claimants' ineligibility under Section 612 of the Act, provided the academic employer files with the Department an "Academic Personnel Reporting Form for Professional Employees – June 2020", within three weeks after receipt of the form, that alleges the individuals named on the form:

A) performed services for it in an instructional, research, or principal administrative capacity during the first of those academic years or terms or prior to the vacation period or holiday recess;

B) were employed by the academic employer as of March 1, 2020; and

C) have a contract or a reasonable assurance, as defined in 56 Ill. Adm. Code 2915.1, that the individuals listed on the form will perform services in the second of those academic years or terms, or at the conclusion of the vacation period or holiday recess.

2. The Academic Personnel Reporting Form for Professional Employees – June 2020 shall be filed by submitting it to DES.AcademicPersonnel @Illinois.gov through the Illinois File Transfer Utility Tool at https://filet.illinois.gov/filet/pimupload.asp. The filing of the Academic Personnel Reporting Form for Professional Employees – June 2020 will constitute the academic employer's allegation of ineligibility under the academic personnel provision (Section 612 of the Act) as to only the individuals whose information appears on the form and shall not be construed as an allegation of possible ineligibility under any other provisions of the Act.

History

• Source: Amended at 44 Ill. Reg. 17647, effective October 23, 2020

56 Ill. Adm. Code 2720.132 Required Notice by an Employer of Separation for Alleged Felony or Theft Connected with the Work

a) Whenever an employer discharges an individual for an alleged felony or theft in connection with his or her work, the employer shall notify the Department of the separation.

b) The notification required by subsection (a) shall include the name of the individual discharged, his or her social security number, the name of the employer, its mailing address, its Illinois Employer Account Number, and the date of separation.

c) If the notification required by subsection (a) meets the sufficiency requirements of Section 602B of the Act and is mailed or faxed to the Department within at least 10 days after the date that the individual files his or her next claim for benefits, then the employer shall be a party to the Department's determination of eligibility under Section 602B of the Act.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.135 Adjudicator Investigation

a) If any question arises concerning the claimant's monetary or nonmonetary eligibility, the claimant will be notified in writing. The Adjudicator will inform the claimant of the precise factual question relating to his eligibility, the Sections of the law involved, and the source of the information that raised the question.

b) An Adjudicator will investigate all allegations in the employer's protest. He or she will contact the employer, claimant and, if possible, any other source that either party identifies to resolve the protest, provided that the Department will not contact witnesses identified by the claimant or the employer without notifying the claimant or the employer's designated contact person (see Section 2720.130(a)(2)), as appropriate. The claimant will be given an opportunity to provide the Adjudicator with any statements or other evidence to refute or explain the allegations and establish his or her rights to benefits.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.140 Adjudicator Determination

a) The Adjudicator's Determination will set forth, in writing, its factual and legal basis. The Department will mail a copy of the Adjudicator's Determination to all parties (see Section 2720.1). For an employing unit that is not entitled to party status under Section 702 of the Act, the Department will mail to the nonparty employing unit:

1. A copy of the Determination regarding the claimant's eligibility for benefits as information only if the employing unit's protest is untimely pursuant to Section 2720.130, or if the claimant is disqualified under a separation issue (Sections 601, 602 and 603 of the Act) and the employing unit from which the separation occurred filed no protest;

2. A copy of the Determination that the employing unit's protest is insufficient pursuant to Section 2720.130, from which the employing unit may make an appeal, after affording the employing unit an opportunity to submit a sufficient protest in accordance with Section 2720.130.

b) When the employing unit files a sufficient protest alleging that the claimant is not able to perform work, unavailable to accept work, or not actively seeking work, the Adjudicator's Determination shall be limited to the claim period set forth in the protest (or the date of the initial claim if the protest is timely pursuant to Section 2720.130) and not beyond the last week for which the claimant has certified for benefits at the time of the Adjudicator's Determination.

1. If the Adjudicator determines that the claimant is ineligible, the Adjudicator will send his or her written Determination to the claimant and protesting employing unit and continue to investigate the claimant's ability, availability, or work search, as appropriate, for each week for which the claimant files a Claim Certification. The claimant will not receive benefits for any subsequent weeks until and unless an Adjudicator determines that the condition alleged to cause the disqualification no longer exists or that the claimant is actively seeking work, as appropriate; in that case, the Adjudicator's written Determination that the claimant is eligible from a specific date will be sent to the claimant and the protesting employing unit.

2. Once an Adjudicator determines the claimant eligible, the Adjudicator will provide the employing unit with no further Determinations on the claimant's ability, availability, or work search for a subsequent period unless the employer files a sufficient protest for a subsequent period (see Section 2720.130) or the Adjudicator has other reason to investigate the claimant's ability, availability, or work search.

3. If the determination of eligibility is appealed, reversed and benefits denied, parties to the appeal will receive a subsequent determination setting forth the date on which the claimant became able to work, available for work, or began actively seeking work, as appropriate.

c) When an employing unit files an untimely but otherwise sufficient protest alleging that the claimant was discharged for committing a felony or theft in connection with his or her work, the Adjudicator will make and issue a Determination under Section 602A of the Act (discharge for misconduct), though the employing unit shall not be a party to that Determination.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.145 Payment of Unemployment Insurance Benefits for Initial Claims

a) If no question is raised concerning a claimant's eligibility to receive benefits, the Department will begin promptly to pay benefits to the claimant following the claimant's first certification. If the claimant does not receive his or her benefits within 15 days after the date of his or her first certification form, he or she must contact the local office or call center no later than the Friday of the second week following the week that he or she first certified to prevent further delay in the payment of benefits.

b) If a question is raised concerning claimant's eligibility to receive benefits, the Adjudicator will promptly investigate the matter pursuant to Section 2720.135. (Customarily, the investigation will be completed within 20 days.)

1. If the Adjudicator finds the claimant is eligible for benefits, the claimant will receive benefits. However, the employer may seek reversal of the Adjudicator's determination by appealing that determination (see Section 2720.200). If the claimant is subsequently determined to be ineligible, benefits received may be recouped or recovered.

2. If the Adjudicator finds the claimant is not eligible for benefits, the claimant will not receive benefits. However, the claimant may seek reversal of the Adjudicator's determination by appealing that determination (see Section 2720.200). If the claimant is subsequently determined to be eligible, all benefits due will be paid.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.150 Applying for Unemployment Insurance Benefits Under Extension Programs

From time to time, various unemployment insurance programs that pay benefits beyond 26 weeks, such as Extended Benefits under Section 409 or 409.1 of the Act, or Federal Supplemental Compensation, may be in effect. When such a program becomes effective, the Department will notify the claimant in writing of:

a) the requirements to receive benefits under that program; and

b) where and when to file a claim for benefits under that program.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.155 Non-Resident Application for Benefits

a) A claimant who has worked in Illinois but lives outside Illinois may apply for benefits by filing a claim at the unemployment insurance office in the state or territory in which he or she resides. As soon as the individual becomes unemployed, he or she should report to the nearest unemployment insurance office and follow the procedures as directed by that office.

b) A claimant who has worked in Illinois but lives outside Illinois may, at his or her option, file his or her claim in Illinois.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.160 Reconsidered Findings or Determination

a) Upon the written request of a party or the receipt of new information relating to the original issues, and subject to the time limits set forth in this Section, an adjudicator shall reconsider an original finding or determination.

1. In the case of a finding, an adjudicator shall reconsider his or her finding within 13 weeks after the close of the claimant's benefit year;

2. In the case of a determination that does not involve the issue as to whether or not the claimant misstated his or her earnings for the week, or whether or not the claimant has been paid wages as a result of a back pay award made by any governmental department or pursuant to arbitration proceedings, or as a result of a payment of wages wrongfully withheld by an employing unit, an adjudicator shall reconsider his or her determination within one year after the last day of the week for which the determination was made;

3. In the case of a determination that involves the issue as to whether or not the claimant has been paid wages as a result of a back pay award made by any governmental department or pursuant to arbitration proceedings, or as a result of a payment of wages wrongfully withheld by an employing unit, an adjudicator shall reconsider his or her determination within three years after the last day of the week for which the determination was made;

4. In the case of a determination that involves the issue as to whether the claimant misstated earnings for any week beginning on or after March 15, 2020, an adjudicator shall reconsider his or her determination within five years after the last day of the week for which the determination was made [820 ILCS 405/703];

5. A finding or determination shall not be reconsidered subsequent to the filing of an appeal under Section 2720.200, except when the issue is newly discovered as to whether or not the claimant misstated his or her earnings, or unless the matter is remanded to the adjudicator by a Referee, the Board of Review or a court.

b) A reconsidered finding or determination shall relate only to the issues and period of time set forth in the original finding or determination.

c) The adjudicator shall investigate the original records and facts and document a report of a reconsidered investigation that includes the new information and shall:

1. Affirm the original finding or determination if the new facts are not sufficient to modify or reverse the original finding or determination and, unless otherwise instructed by the party, process an appeal to the Referee on behalf of the requesting party, in accordance with Section 2720.200, in which case the appeal shall be considered an appeal to the original finding or determination; or

2. Modify or reverse the original finding or determination if the new facts require a different result, and issue a reconsidered finding or determination to the parties vacating and replacing the original finding or determination and affording full appeal rights under Section 2720.200 as to the reconsidered finding or determination.

History

• Source: Amended at 48 Ill. Reg. 9592, effective June 20, 2024

56 Ill. Adm. Code 2720.200 Filing of Appeal

a) Any party may appeal an Adjudicator's determination or finding. An appeal shall be filed by digital upload, in person, by mail, or by fax, preferably to the location stated on the determination or finding, or to any local office. No appeal may be filed by email.

b) The appeal must be filed within 30 days after the Adjudicator's determination or finding was mailed or delivered or electronically transmitted to the parties (see Section 2720.10).

c) No special form is necessary to file an appeal to the Referee. The appeal must comply with the following requirements:

1. The appeal must be in writing, dated and signed by the person or entity appealing or the representative of that person or entity ; and

2. The appeal must be limited to one claimant and contain the name and either the Social Security Number or Claimant Identification Number of the claimant.

d) An appeal of a labor dispute determination to a Director's Representative under Section 604 of the Act and Section 2720.275 may be filed by any party to a determination or an agent representing all members of the affected class of workers by listing either the Social Security or Claimant Identification Numbers of the employees on the appeal.

e) At the request of any appellant, a Department representative will assist the appellant in filing the appeal.

f) The Department will promptly schedule a hearing before a Referee and, except as provided in Section 2720.201, mail notice of the hearing as provided in Section 2720.205. (Customarily, notice of hearing will be mailed within 15 days after the filing of the appeal.)

History

• Source: Amended at 49 Ill. Reg. 11127, effective August 20, 2025

Chapter IV Department of Employment Security

Subchapter a General Provisions

Part 2720 Claims, Adjudication, Appeals and Hearings

56 Ill. Adm. Code 2720.201 Application for Electronic Data Transmission of Notice of Hearing

a) In lieu of receiving its notice of hearing as a paper document sent through the United States mail, an employing unit (or its authorized agent) may apply to have such document sent to it through electronic data transmission.

b) The Director shall approve such application if the employing unit (or its authorized agent) agrees to:

1. At its own expense, on a daily basis, retrieve its electronically transmitted data from the data center of the Illinois Department of Central Management Services, designated by the Director;

2. Accept the date shown on the agency's records as conclusive evidence of the date that the electronically transmitted data was sent to the data center of the Illinois Department of Central Management Services;

3. Demonstrate to the Director that the volume of hearings at which it has party status justifies the cost to the agency of putting the employing unit (or its authorized agent) on the electronic data transmission system.

c) The Director must also find that the employing unit's (or its authorized agent's) electronic data processing equipment is compatible with that used by the Director.

History

• Source: Added at 18 Ill. Reg. 16340, effective October 24, 1994

56 Ill. Adm. Code 2720.205 Notice of Hearing

a) Written notice of the time, date and place of the hearing shall be mailed to the parties at least 10 days before the date of the hearing.

b) The notice will identify the parties and the Findings or Determination being appealed and will inform the parties of the issues upon which the appeal is based.

c) In the event that a claimant appeals an Adjudicator's Determination regarding a separation issue (Sections 601, 602 and 603 of the Act), and when the employing unit from which the separation occurred is not a party, the employing unit will receive notice of hearing that it may attend as a nonparty and present such facts and evidence as it may possess.

d) No hearing, or part of a hearing, shall be conducted on an issue to which the parties have not been given notice pursuant to subsections (a) and (b) unless the notice is waived by all parties either in writing or on the record.

e) Unless notice is waived under subsection (d), if, during or after the hearing, the Referee determines that the facts require a Decision under a Section of the Act different from the Section specified in the notice given under subsections (a) and (b), or that the notice does not accurately describe the question at issue, then the Referee shall immediately terminate the hearing, if applicable, issue no Decision on the merits for the Section or questions for which proper notice was not given, and shall either:

1. Remand the unresolved issues back to the Claims Adjudicator for a Finding or Determination on the correct issues if facts or issues are introduced that were not previously presented to the Claims Adjudicator; or

EXAMPLE: The Referee is examining the claimant with respect to the reason for separation from work. During the course of the hearing, the claimant indicates that he may not be able to work. Under the circumstances, the Referee shall remand the case to the Claims Adjudicator for a Determination under Section 500 of the Act.

2. Cause new notices containing the correct issues to be mailed to the parties when the facts remain the same as presented to the Claims Adjudicator but the incorrect issue was identified.

EXAMPLE: Based solely on the testimony of the claimant, the Claims Adjudicator determines that the claimant was discharged from his last job. After hearing testimony from the parties, the Referee decides that the separation was caused by the claimant's voluntary resignation. Here, if the parties refuse to waive notice, the Referee shall cause new notices containing the correct issue to be mailed to the parties.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.207 Untimely Appeals

a) Whenever it shall appear to the Referee that the appeal was not filed in a timely manner as provided in the Act and no issue relating to timeliness is raised in the letter of appeal, the Referee shall issue his or her decision dismissing the appeal without holding a hearing on the matter. The Referee shall expedite the processing of cases to which this subsection applies.

b) If a timely appeal is filed with the Board of Review of a decision issued pursuant to subsection (a), the Board of Review shall immediately remand the matter to the Referee for a hearing on the question of the timeliness of the appeal.

History

• Source: Added at 33 Ill. Reg. 9623, effective August 1, 2009

56 Ill. Adm. Code 2720.210 Preparation for the Hearing

a) Each party shall appear at the hearing before the Referee with witnesses or documents it believes to be necessary to establish or refute allegations set forth in the appeal.

b) The Department shall provide to a party requiring a foreign language interpreter, at the Department's expense, an interpreter able and willing to translate verbatim from the witness's language into English and vice versa. The Referee will administer an interpreter's oath to any interpreter.

c) Upon timely request to the Referee assigned to the case, or the Referee's supervisor, prior to the beginning of an in-person hearing, a party may inspect the file during the Department's regular business hours at the office of the Referee assigned to the case. The Department will maintain a written record of the date and name of any person inspecting the file. In the case of a telephone hearing, a file may be inspected at the local office where the claim was filed or at the Department's Chicago central office, whose address is found in 56 Ill. Adm. Code 2712.10, if the request is made at least 2 working days prior to the hearing; when the request is timely made, the Department will provide the party making the request with an opportunity to inspect the file at least 24 hours prior to the hearing.

History

• Source: Amended at 49 Ill. Reg. 11127, effective August 20, 2025

Chapter IV Department of Employment Security

Subchapter a General Provisions

Part 2720 Claims, Adjudication, Appeals and Hearings

56 Ill. Adm. Code 2720.215 Format of Hearings

a) Except as otherwise provided in subsection (b), hearings shall be conducted by telephone.

b) A witness or party may appear in-person, upon the Referee's motion, or upon the request of the witness or party for good cause shown, when the request is received by the Referee prior to the date of the hearing. When a referee schedules an in-person appearance on his or her own motion, the witness or party may appear by telephone, upon the witness' or party's request, when the request is received by the Referee prior to the date of the hearing, unless the witness is required to appear in person pursuant to this subsection. A witness or party shall be required to appear in-person if the Referee finds that an in-person appearance is necessary for the furnishing of interpretive services to a party who is hearing or speech impaired, or due to the volume or complexity of the evidence. If the Referee denies or requires the in-person appearance of a witness or party, the reasons for doing so shall be stated on the record.

c) A party appearing by telephone shall submit to the Referee and any opponent any documents that it intends to introduce at the hearing in time to ensure receipt of the documents before the date of the scheduled hearing. The documents may be submitted to the Referee by mail or fax at the address or fax number listed on the Notice of Hearing. Documents may not be submitted to a Referee by e-mail transmission. Documents submitted to a Referee by e-mail transmission will not be considered. If a party is appearing by telephone in a matter that has been remanded by either the Board of Review or the Circuit Court and the opposing party was represented by an attorney before the body that ordered the matter remanded, copies of those documents must be served on the attorney for the opposing party. If the Referee finds that any document introduced or referenced in the course of the hearing was not received, the Referee shall continue the hearing until that document is received or proceed with the hearing with or without the admission of the document. If the Referee proceeds with the scheduled hearing, the reasons for admitting or not admitting the document shall be stated on the record.

d) This Section shall not apply to appeals of decisions relating to the amount of wages found in a claimant's base period; those cases will be governed by 56 Ill. Adm. Code 2725.200.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.220 Ex Parte (one Party Only) Communications

In any contested matter involving more than one party, the Referee shall not communicate, directly or indirectly, in connection with any issue of fact, with any interested person or party except on notice and opportunity for all parties to participate. [5 ILCS 100/10-60] If the Referee receives any such ex parte (with one party only) communication, including any documents, he or she shall inform the other parties of the substance of any such oral communication and provide copies of any such written communication or documents as soon as practicable after the communication. The other party shall be given an opportunity to respond either to any ex parte communication in writing or on the record. The e-mail address listed on a Notice of Hearing shall be used only to request to appear at a hearing in-person in accordance with Section 2720.215(b), provide contact information in advance of the hearing, request a continuance in accordance with Section 2720.240, or request a reopening in accordance with Section 2720.255. If their e-mail address is available, the other party opponent, if any, should be copied on any e-mails sent to the e-mail address listed on the Notice of Hearing. The Department's e-mail system is not secure and so social security numbers must not be included in e-mails to the e-mail address listed on the Hearing Notice (the Claimant ID or docket number should be used instead).

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.225 Subpoenas

a) A party may request the Referee to issue a subpoena to compel the attendance of a witness or the production of documents. The request shall be made either in writing or on the record. The Request for Subpoena shall:

1. Identify the witness or documents sought;

2. State the facts that will be proven by each witness and each document sought.

b) The Referee shall grant or deny the request either on the record or in writing. If the Referee grants the Request for Subpoena, he shall if necessary, reschedule the hearing for a specific date. The Referee shall deny the Request for Subpoena only if he finds that the evidence sought is immaterial, irrelevant or cumulative. If the Referee denies the Request for Subpoena, he shall proceed to conduct the hearing. The specific reasons for the denial shall be part of the record on appeal.

c) If a party, or any person or organization within the control of a party, fails to obey a subpoena of a Referee, the Referee shall treat the evidence required by the subpoena but not produced as establishing the truth of the position of the party who subpoenaed the documents. If a nonparty fails to obey a subpoena, the party seeking enforcement of the subpoena, or its attorney, shall prepare an application to the circuit court of the county in which the hearing is pending requesting enforcement of the subpoena pursuant to Section 1002 of the Act and shall present the application to the Referee. If the Referee is satisfied that the subpoena was properly served and that the application is in proper form, the Referee shall sign the application. The party seeking enforcement of the subpoena, or its attorney, may then file and prosecute the application to the Circuit Court.

d) At the request of the party seeking enforcement of the subpoena to the Circuit Court, all proceedings affected by the subpoena evidence shall be stayed pending judicial resolution of the enforcement issue.

History

• Source: Amended at 11 Ill. Reg. 14338, effective August 20, 1987

56 Ill. Adm. Code 2720.227 Depositions

a) The Referee or the Director's Representative if the issue is Section 604 before whom an eligibility issue is pending shall order the taking of the deposition, specifying the subject matter to be covered, of a person other than the appellant, under oral examination or written questions for use as evidence at the hearing, provided:

1. It appears to the Referee that the deposition of the person is necessary for the preservation of relevant testimony because of the substantial possibility it would be unavailable at the time of the hearing (such as when a witness has a scheduled vacation, out of town business trip or job interview set for the date of the hearing); and

2. The request is made on motion by a party who gives notice of the motion to all other parties to the issue.

b) The taking of depositions shall be in accordance with the provisions for taking depositions in civil cases (IL Sup. Ct. Rules 203 through 217), and the order for the taking of a deposition may provide that any designated books, papers, documents or tangible objects, not privileged, be produced at the same time and place.

c) Any other parties to the issue shall have the right to confront and cross-examine any witness whose deposition is taken. The other parties may waive these rights in writing, filed with the Referee.

d) Depositions shall be taken in the county of residence or employment of the witness, as specified in Rule 203 of the Illinois Supreme Court, unless the witness waives these rights in writing.

e) No deposition shall be allowed in any proceeding under Section 800 or 801 of the Act, except as provided herein.

f) Failure to obey an order for deposition shall result in the same sanctions as provided in Section 2720.225 for failure to comply with a subpoena.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.230 Consolidation or Severance of Proceedings

a) The Referee shall, on his own motion or request of a party, consolidate hearings if he finds that the hearings involve a common question of law or fact, that consolidation will expedite the hearings, and that no right of any party will be prejudiced.

b) Prior to consolidation, all parties shall be given notice of the motion to consolidate in writing or on the record and shall be given an opportunity to be heard on the motion in writing or on the record.

c) The Referee shall sever cases previously consolidated if he finds that the conditions in subsection (a) have not been satisfied.

56 Ill. Adm. Code 2720.235 Withdrawal of Appeal

The appellant may voluntarily withdraw his appeal by signed written statement filed with the Referee or by oral statement on the record at any time before the Referee's decision is issued. All parties will receive written notice of the withdrawal.

56 Ill. Adm. Code 2720.240 Continuances

a) The Referee to whom the appeal was assigned, or a hearings supervisor if the Referee is not available, shall grant a continuance requested by a party only for "exceptional reasons". The request must be made in person, by telephone, or in writing by mail, fax or e-mail. The request must be received prior to the conclusion of the hearing. A request for continuance received after the conclusion of the hearing will be treated as a request for reopening in accordance with Section 2720.255. "Exceptional reasons" are limited to:

1. Compassionate Grounds:

A) Medical reasons that prevent the individual from appearing if the Referee is provided with proper documentation or proof of those reasons, including but not limited to a previously scheduled medical appointment; or

B) Medical emergency or death in the family;

2. Unforeseen circumstances such as accident, flood, fire, civil disorder, public utility emergency, military necessity, or other insuperable interference;

3. A demand by a party to obtain legal representation or to inspect the case file, provided that it is shown at the time of the request that due diligence was exerted to obtain that representation or to inspect the file;

4. The claimant is employed, is scheduled for an employment interview, or is participating in a training program approved for him or her by the Director under the provisions of Section 500C5 of the Act at the time of the hearing and cannot reasonably appear at the hearing either in person or by telephone;

5. When a party's attorney has a conflict in his or her schedule because he or she has an appointment with a client, a court appearance or comparable matter scheduled for the same time as the hearing before the Referee and the attorney cannot reasonably appear at the hearing before the Referee and cannot reasonably find a substitute counsel;

EXAMPLE: A continuance is requested because a party's attorney has a conflict in his schedule because he has a court appearance scheduled for the same time as the hearing before the Referee. The court appearance is for a routine matter, such as an agreed motion or a status call, which could be handled by another member of the attorney's firm. Such a conflict will not constitute good cause for a continuance. It will be incumbent on the attorney to reschedule his court appearance or obtain substitute counsel to appear in his stead before the Referee.

6. The employer's representative or witness is unable to appear either in person or by telephone due to a plant shutdown for vacation, inventory or holiday that is provided for by a collective bargaining agreement or the employer's custom and the Referee is provided with documentation of that contract agreement or custom;

7. A party is unable to attend the hearing either in person or by telephone due to a conflicting legal or regulatory requirement, including but not limited to jury duty; or

8. When, at the same time as the hearing before the Referee, a party's representative is scheduled to participate in another hearing before a Referee or Director's representative and no other reasonable accommodation can be made, on the condition that the representative notifies the Department of the conflict no later than five working days after issuance of the hearing notice that should have made the conflict patently evident.

b) In the event that a continuance is granted, the hearing will be set for the earliest available time and date, but, absent exceptional reasons, no more than seven days after the scheduled hearing. The Department will inform the parties of the date, time and place of the continued hearing either orally or in writing.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.245 Conduct of Hearing

a) The Referee will control the hearing, will be confined to the factual and/or legal issues on appeal, and will ensure that the parties have a full opportunity to present all evidence and testimony regarding those issues.

b) Following examination of each witness by the Referee, that witness may be questioned and cross-examined by any other party and further questioned by the Referee, if necessary, to ensure clarity and completeness of the issues and of the record. The Referee shall ensure that the parties have full opportunity to present all evidence and testimony regarding the factual and/or legal issues on appeal.

c) If any person becomes abusive or disruptive so that a full and fair hearing cannot be conducted, the Referee shall exclude the person from the hearing. The Referee will then continue the hearing without the participation of the excluded individual, and will render a decision based on the evidence in the record.

d) The Director shall prohibit any individual from representing a party in a proceeding under this Part if the Director finds that the individual is or has been guilty of violating the standards in Rule 8.4 of the Illinois Rules of Professional Conduct, Article 8 of the Rules of the Illinois Supreme Court or has intentionally disregarded the provisions of the Act or rules promulgated under the Act, or the written instructions of the Board of Review. The prohibition shall be in writing and shall be applicable for a period not to exceed 120 days from the date the decision is mailed to the party. The individual may appeal the Director's Decision under the Administrative Review Law [735 ILCS 5/Art. III].

e) Unless agreed to by all parties in writing or on the record, no bifurcated (split) hearings shall be held.

EXAMPLE: The appellant appears at the scheduled hearing, and his testimony is taken by the referee; the appellee fails to appear but later requests and is granted a reopened hearing. At the reopened hearing, only the appellee appears. This situation shall not constitute a bifurcated hearing.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.250 Rules of Evidence

a) Technical rules of evidence do not apply to hearings before Referees. Unobjected to hearsay statements may be considered and given their natural probative value. However, the decision of the Referee will be based on the preponderance of the credible, legally competent evidence in the record.

b) Except for evidence or testimony that would be cumulative or irrelevant to the issue or issues on appeal, the Referee will not, on his or her own initiative, refuse to admit evidence or testimony.

EXAMPLE: During a hearing, the claimant testifies to something that is considered hearsay under the rules of evidence. If the employer does not object, the Referee should allow the claimant to continue his or her testimony uninterrupted. The Referee should then question the employer about the claimant's testimony and then weigh the credibility of both sides.

c) The Referee may, but need not, rule on any objection to the introduction of evidence or testimony, and the Referee will ensure that all objections are duly noted and made part of the record. If the Referee sustains an objection to the introduction of evidence, the Referee will allow the proponent to make an offer of proof in the form of a brief explanation of what the evidence or testimony would show. The Referee may require that an offer of proof be presented in a condensed form to avoid needless repetition and undue length of the hearing record. Any evidence excluded by the Referee will, nevertheless, be placed in the record so that the question of its admissibility may be considered by the Board of Review or a reviewing court.

EXAMPLE 1: During a hearing, the claimant testifies to something that would be considered hearsay under the rules of evidence. The employer's attorney objects on the basis of hearsay. At this point, the Referee can either note the objection but allow the claimant to continue with testimony or rule on the admissibility of the claimant's testimony. If the Referee rules on the employer's objection, and finds the testimony inadmissible, the Referee should allow the claimant to explain what the testimony would show to preserve the claimant's right to appeal the issue.

EXAMPLE 2: During a hearing, the employer attempts to introduce a written statement from a witness who is not present. In the statement, the witness writes that that he observed the claimant violate a rule of the employer. The claimant's attorney objects to the introduction of the written statement as hearsay. The Referee decides to sustain the objection and exclude the written statement. At this point, the Referee should mark the written statement as an exhibit, indicate that the exhibit is not in evidence, and place it into the record.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.255 Failure of Party to Appear at the Scheduled Hearing

a) Failure of the appellant to appear at the hearing at the time the hearing is scheduled before the Referee will result in a dismissal of the appeal. If the hearing is scheduled to be conducted by telephone or the appellant has been allowed or required to appear by telephone, failure of the appellant to inform the Referee of the telephone number at which he or she can be reached at that time or to answer the telephone at that number will also result in dismissal of the appeal.

b) Failure of the appellee to appear at the hearing at the time the hearing is scheduled or, if a hearing is scheduled to be conducted by telephone or the appellee has been allowed or required to appear by telephone, failure of the appellee to inform the Referee of the telephone number where he or she can be reached at that time, or to answer the telephone at that number, will cause the Referee to issue a decision based on the evidence introduced by the appellant at the hearing and the evidence in the record.

c) Failure of any witness to appear at the hearing at the time that the hearing is scheduled or, if the hearing is scheduled to be conducted by telephone or the witness has been allowed or required to appear by telephone, a party's failure to inform the Referee of the telephone number at which the Referee can, at the time of the hearing, reach the witness, or the witness' failure to answer the telephone at the number given to the Referee by the party seeking the witness' testimony, shall cause the Referee to conduct the hearing with those parties and witnesses who appeared in person or were available by telephone and to make his or her decision based on the available testimony and evidence in the record.

d) If any party or witness shall refuse to consent to the tape recording of the hearing by the Referee or refuse to take the oath or affirmation when requested by the Referee, the participation of that individual in the hearing shall be terminated and the hearing shall be conducted as if the individual failed to appear.

e) If a party fails to appear and an adverse decision is rendered, that party may, by letter or on the record, request rehearing of the appeal from the Referee or from his or her supervisor, provided that party has not filed an appeal to the Board of Review pursuant to Section 2720.300. In the event that such an appeal to the Board of Review has been filed, the rehearing request will be denied. The following procedure shall be used:

1. Requests to rehear the appeal must be filed no later than 10 days after the hearing or the date the party first knew or should have known of the scheduled hearing, whichever is later, but in no event beyond the time for filing a timely appeal to the Board of Review pursuant to Section 2720.300(a); e.g., the appellant does not attend a hearing because he or she claims not to have received notice of the hearing, he or she does, however, receive a decision that his or her appeal has been dismissed for failing to appear at the hearing, his or her request for rehearing must be filed within 10 days after this decision because, as a result of the dismissal of his or her appeal, he or she should have known that he or she missed the scheduled hearing. The requests must state the facts showing that failure to appear at the scheduled hearing was either due to not having received timely notice of the hearing or for an "exceptional reason" as set forth in Section 2720.240 and that either a request for continuance under that Section was improperly denied or the failure to make the request for a continuance was caused by reasons outside of the control of the party and by circumstances that could not have been foreseen and avoided. Upon a party's request, the party shall be treated as not having appeared at the hearing before the Referee and a rehearing shall be granted if, in making the request, the party shows that, at the time of the hearing, the party's Representative was participating in another hearing before a Referee or Director's representative, the conflict was not patently evident prior to the scheduled start of the party's hearing, and no other reasonable accommodation could be made; except with respect to the facts required to be shown, the request must be consistent with all other provisions of this subsection (e).

2. Based on the statements in the request and the facts of the record:

A) If the request meets the requirements of subsection (e)(1), a hearing shall be scheduled with notice to all parties (see Section 2720.205); or

B) If the request fails to meet the requirements of subsection (e)(1), the request shall be denied and a written decision setting forth the reasons for the denial shall be issued. In these cases, if an adverse decision on the merits was issued, a timely appeal to the denial of a timely request for rehearing shall also constitute a timely appeal on the merits of the matter.

3. At the start of the hearing, any party may present its objections to the request. The Referee will consider all objections and responses and supporting evidence, if any, and will grant or deny the request for a rehearing at that time based on the preponderance of the evidence. If the Referee denies the request, he or she will terminate the proceedings. If the Referee grants the request, he or she will proceed to conduct a hearing on the merits.

4. If there is an objection to the request, the Referee's ruling will be on the record, and will state the reasons for the ruling that grants or denies the request. All denials of requests for rehearing shall be in writing.

5. If the party disagrees with the denial of the request for rehearing, he or she must appeal the denial within the time and in the manner set forth in Section 2720.300.

6. A decision to grant a rehearing is not immediately subject to appeal but may be raised by the aggrieved party if an appeal is filed to the decision on the merits of the matter.

EXAMPLE: A decision is made to grant a rehearing to an appellant. After the rehearing, a decision is made in favor of the appellant. The appellee may appeal this decision to the Board of Review. In his appeal to the Board of Review, the appellee (now the appellant) may request that the Board of Review rule on the propriety of the granting of the rehearing before it goes to the merits of the matter.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.265 The Record

A complete record will be kept of all proceedings before the Referee. The record will consist of a digital recording and/or tape recording of testimony of the parties and their witnesses, and the digital and/or paper copy of all documents introduced into evidence, all notices, written motions or requests, decisions, findings of fact, and reports of investigations by the Adjudicator, Referee or Board of Review relating to the factual and/or legal issues on appeal.

History

• Source: Amended at 21 Ill. Reg. 9441, effective July 7, 1997

56 Ill. Adm. Code 2720.270 Referee's Decision

The Referee's Decision will include findings of fact and conclusions of law, separately stated and based on the preponderance of the credible, legally competent evidence in the record. The Department will mail a written copy of the Department's Decision to the parties (see Section 2720.1) and to nonparty employers pursuant to Section 2720.205(c). (Customarily, a decision will be mailed within 45 days after the date of filing of the appeal.)

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.275 Labor Dispute Appeals

a) Appeals from an Adjudicator's Determination regarding eligibility under Section 604 of the Act relating to unemployment due to a labor dispute shall be heard by the Director or a Director's Representative.

b) All procedural provisions of Subpart C, except for requests for rehearings, shall be applicable to the labor dispute proceedings.

c) After the completion of a hearing regarding any matter under the provisions of Section 604 of the Act, the Director's Representative shall issue a written report to the Director containing a Recommended Decision stating a factual and legal basis for it. A copy of the report and Recommended Decision shall be mailed to all parties and their designated representatives.

d) Within 10 days after the mailing of the report and Recommended Decision, any party may file written objections to it with the Director's Representative. After receipt of the report and Recommend Decision and objections or if no objections are filed within the time provided, the Director shall make a Decision affirming, modifying, or setting aside the Recommended Decision or remanding the proceedings with instructions.

History

• Source: Added at 11 Ill. Reg. 14338, effective August 20, 1987

56 Ill. Adm. Code 2720.277 Prehearing Conference in Labor Dispute Appeal

a) In any case arising under the provisions of Section 604 of the Act, the Director or the Director's Representative shall hold a prehearing conference if it will expedite the hearing.

b) All parties shall be given notice of the prehearing conference, and the following items shall be considered at the conference:

1. Simplification of the issues;

2. The possibility of obtaining admissions of fact and documents that will avoid unnecessary proof at the hearing;

3. The limitation on the number of witnesses or the scope of their testimony.

c) After the conference, the Director or the Director's Representative shall issue an agreed order or stipulation either in writing or on the record that recites any action taken at the prehearing conference and identifies theissues for hearing that were not disposed of at the conference. The order or stipulations shall be made part of the record.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.300 Filing of Appeal

a) Any party may appeal a Referee's Decision. An appeal shall be filed by digital upload, in person, by fax, or by mail, preferably to the location stated on the Referee's Decision, or to any local office. No appeal may be filed by email. The appeal must be filed within 30 days after the Referee's Decision has been mailed or delivered or electronically transmitted to the parties.

b) No special form is necessary to file an appeal to the Board of Review. The appeal should:

1. Be in writing, dated and signed by the person or entity appealing or the representative of that person or entity;

2. Contain the docket number of the Referee's Decision, the name and either the Social Security Number or Claimant Identification Number of the claimant;

3. Set forth the parts of the Referee's Decision with which the appealing party disagrees and the specific reasons for that disagreement.

c) Any person or entity may request help to write an appeal from a Department representative. Timely filing of an appeal at a local office will be deemed timely filing of an appeal.

History

• Source: Amended at 49 Ill. Reg. 11127, effective August 20, 2025

Chapter IV Department of Employment Security

Subchapter a General Provisions

Part 2720 Claims, Adjudication, Appeals and Hearings

56 Ill. Adm. Code 2720.305 Notice of Appeal

Written notice of the Appeal to the Board of Review will be mailed to the parties or their duly designated representatives and to nonparty employers in accordance with the provisions of Section 2720.205(c). Each notice of appeal will state the issues involved in the appeal, the date of filing of the appeal, and the appellant's right to apply for a Notice of Right to Sue as provided in Section 2720.345.

History

• Source: Amended at 11 Ill. Reg. 18671, effective October 29, 1987

56 Ill. Adm. Code 2720.310 Request for Oral Argument

The Board of Review shall decide a case on the record as defined in Section 2720.265 without oral argument or shall grant oral argument where it is necessary or appropriate for a full and fair disposition of the appeal, as follows:

a) Upon filing an appeal to the Board of Review, or, if the requesting party is the appellee, within 7 days after mailing of the Notice of Appeal, a party may request in writing that the Board hear oral argument. The requesting party must certify in writing that he or she has served a copy of his or her request for oral argument to all other parties.

b) Thereafter, the Board will promptly grant or deny the request (customarily within 30 days after the request). If the request is denied, the Board will issue its decision based on the record. Its decision will also contain the reasons for the denial of the request. If the request is granted, the Board will inform the parties in writing and will order such hearing as is necessary for a full and fair disposition of the appeal.

c) Request for Oral Argument by an appellee must contain the Board of Review Docket Number assigned to the matter, as set forth in the Notice of Appeal.

History

• Source: Amended at 33 Ill. Reg. 9623, effective August 1, 2009

56 Ill. Adm. Code 2720.315 Submission of Written Argument or Request to Submit Additional Evidence

a) A party may inspect or request a transcript of the hearing or a copy of the file as provided in this subsection. The appellant shall have 15 days after the appeal is filed to request a transcript of the hearing or a copy of the file. The appellee shall have 7 days after the mailing of the Notice of Appeal to request a transcript of the hearing or a copy of the file. In the event only a transcript is initially sought and obtained, a later request for a copy of the file must be made within 7 days after the date the transcript is mailed or made available for inspection. The Board of Review shall make the file available to the parties during the Department's regular business hours.

b) A party may file a written argument to the Board of Review as provided in this subsection. The Board of Review shall not consider any written argument, response, or reply unless the submitting party has certified that it served a copy of the written argument on the opposing party.1) If a request for inspection of a transcript or a copy of the file has been timely made, the parties shall have 10 days after the date that the transcript or file is mailed or made available for inspection, whichever is later, to file a written argument to the Board of Review. The submitting party shall certify that it served a copy of the written argument on the opposing party.

2. If a request for an inspection or a transcript of the hearing or a copy of the file has not been timely made, the appellant shall have 15 days after the appeal has been filed and the appellee shall have 7 days after the date of mailing of the Notice of Appeal to file a written argument with the Board of Review. The submitting party shall certify that it served a copy of the written argument on the opposing party.

3. If the opposing party wishes to file a response, it must file with the Board and serve on the submitting party any response within 7 days after the submitting party's written argument was mailed to the opposing party.

4. If the submitting party wishes to file a reply, it must file with the Board and serve on the opposing party any reply within 5 days after the opposing party's response was mailed to the submitting party.

c) The Board of Review will consider requests to submit additional evidence submitted by the appellant within 15 days after the date an appeal is filed or by the appellee within 7 days after the date of mailing of the Notice of Appeal. In the event a transcript or copy of the file is sought, the request to submit additional evidence shall be filed no later than 10 days after the date the transcript or copy of the file is mailed or made available for inspection, whichever is later. The requesting party shall certify that it served a copy of its request on the opposing party.

1. A request to submit additional evidence must include:

A) A summary of the evidence to be introduced; and

B) An explanation showing that the requesting party, for reasons not its fault and outside its control, was unable to introduce the evidence at the hearing before the Referee.

2. If the party that filed a request to submit additional evidence, or its witness, failed to appear at a scheduled hearing, the Board shall not consider that party's request to submit additional evidence unless that party can show that:

A) it did not receive timely notice of the hearing;

B) its failure to appear at the hearing was due to circumstances beyond its control; or

C) that it requested a continuance before the conclusion of the hearing, that was denied.

3. If the opposing party desires to file a response, it must file with the Board and serve on the requesting party any written response within 7 days after the request to submit additional evidence was mailed to the opposing party.

4. If the requesting party desires to file a reply, it must file with the Board and serve on the opposing party any written reply within 5 days after the opposing party's response was mailed to the requesting party.

5. A ruling by the Board of Review to deny a request to submit additional evidence will be announced in its decision. If the Board of Review grants the request, the parties will be notified in the Board of Review's decision or by separate written correspondence, which shall specify the time, place and manner in which the evidence is to be submitted. The Board of Review shall include a finding of facts and reasons for the grant or denial.

d) At the request of the party and for good cause shown, the Board will grant a reasonable extension of time within which to submit a written argument or request to submit additional evidence. No extension shall be for less than 7 days nor more than 30 days.

e) All notices, written arguments, requests to submit additional evidence, responses and replies must contain the Board of Review Docket number assigned to the matter, as set forth in the Notice of Appeal (see Section 2720.25).

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.320 Access to Record

Upon reasonable notice, either written or oral, to the Board of Review, a party may inspect the file during normal business hours at the office of the Board. A party may also obtain a copy of the record at the party's own expense at the cost of $.25 per page.

History

• Source: Amended at 11 Ill. Reg. 18671, effective October 29, 1987

56 Ill. Adm. Code 2720.325 Withdrawal of Appeal

The appellant may voluntarily withdraw his appeal by signed written statement filed with the Board of Review at any time before the Board's decision is issued. All parties will receive notice of the withdrawal.

56 Ill. Adm. Code 2720.330 Consolidation or Severance of Appeals

a) The Board shall, on its own motion or at the request of any party, consolidate appeals if it finds that the appeals involve common questions of law or facts, that consolidations will expedite the disposition of the appeals, and that no rights of any party will be prejudiced.

b) Prior to consolidation, all parties shall be given notice of the motion to consolidate in writing or on the record and shall be given an opportunity to be heard on the motion in writing or on the record.

c) The Board shall sever cases previously consolidated if it finds that the conditions in subsection (a) have not been satisfied.

56 Ill. Adm. Code 2720.335 Decision of the Board of Review

The decision of the Board of Review will set forth, in writing, the factual and legal basis for its decision. The Board of Review shall cause a written copy of its decision to be mailed to the parties under Section 2720.1, and/or their representatives under Section 2720.5(c), and to nonparty employers (see Section 2720.205(c)) within the time limits specified in Section 803 of the Act.

History

• Source: Amended at 43 Ill. Reg. 6385, effective May 14, 2019

56 Ill. Adm. Code 2720.340 Extensions of Time in Which to Issue a Board of Review Decision

Section 803 of the Act requires that the Board of Review shall issue its Decision within 120 days of the date of filing of the appeal to the Board. However, an extension of up to 30 days shall be granted upon the written request of a party, addressed to the Board of Review, if the party states that the additional time is necessary for the submission of its written argument or in order to submit additional evidence. Notice of Approval of an Extension shall be given to the other party or to the non-party employer by the Board of Review.

History

• Source: Added at 11 Ill. Reg. 14338, effective August 20, 1987

56 Ill. Adm. Code 2720.345 Issuance of Notice of Right to Sue

a) If at the expiration of 120 days from the date of the filing of the appeal or after the expiration of an extension issued pursuant to Section 2720.340, whichever is later, the Board of Review has failed to issue its Decision, the appellant may file a written request, by certified mail, return receipt requested, for a Notice of Right to Sue.

b) Upon receipt of a request for a Notice of Right to Sue, the Board of Review shall either issue a Notice of Right to Sue, shall issue its Decision, or take no action.

c) If the Board of Review neither issues a Notice of Right to Sue nor its Decision within 14 days of the date of filing of the request for a Notice of Right to Sue, the Decision of the Referee shall be final and the appellant shall have a right to seek judicial review under the Administrative Review provisions in Article III of the Code of Civil Procedure. Any Decision of the Board of Review issued after the expiration of this 14 day period shall be null and void.

d) If the Board of Review issues a Notice of Right to Sue, the party to whom it is issued shall have 35 days from the date of mailing of the Notice in which to commence an action for judicial review. If the Board of Review fails to issue a Decision or a Notice of Right to Sue, the appellant shall have 35 days from the day following the 14th day after it filed its request for a Notice of Right to Sue in which to commence an action for judicial review.

History

• Source: Added at 11 Ill. Reg. 14338, effective August 20, 1987

Part 2725 Administrative Hearings and Appeals

56 Ill. Adm. Code 2725.1 Definitions

All other terms used in this Part shall have the meaning set forth in definitions, Sections 200 through 247 of the Unemployment Insurance Act [820 ILCS 405/200 through 247].

"Act" means the Unemployment Insurance Act [820 ILCS 405].

"Adjudicator" means the person authorized to make findings, reconsidered findings, determinations, reconsidered determinations or decisions relating to the Act.

"Agency" means the Department of Employment Security.

"Application" means an Application for Revision of Statement of Benefit Charges or Application for Review of Rate Determination.

"Claim" means a Claim for Adjustment or Refund.

"Claimant" means a person who applies for benefits under the Act.

"Determination" means an Adjudicator's statement of whether or not a claimant is eligible for benefits or waiting week credit, and the dollar amount of such benefits for each week with respect to which a claim is made. (See 820 ILCS 405/702.)

"Director" means the Director of Employment Security.

"Director's Representative" means the administrative law judge designated by the Director to conduct hearings and recommend decisions to the Director.

"Filing Date" means the date a document was mailed to or received by the Agency, whichever is earlier.

"Finding" means a statement by an Adjudicator of the amount of wages for insured work paid to a claimant during each quarter in the claimant's base period by each employer [820 ILCS 405/701].

"Local Office" means the office of the Agency serving claimants who live in a specific geographical area.

"Petition" means a Protest and Petition for Hearing.

History

• Source: Amended at 35 Ill. Reg. 6129, effective March 25, 2011

56 Ill. Adm. Code 2725.3 Burden of Proof

In all proceedings under this Part the party on whom the Act places the burden of proof must establish its position by a preponderance of the evidence. An application for relief under this Part will be granted when a party proves its allegations by a preponderance of the evidence.

56 Ill. Adm. Code 2725.5 Designation of Agents

Any employing unit may designate an agent to receive any documents by filing the name and address of such agent with the Agency or by changing its designated address to be in care of its agent. In such cases, notice to the designated agent is notice to the employing unit. Notwithstanding the foregoing, such documents sent to an employing unit shall be adequate notice under this Subpart.

56 Ill. Adm. Code 2725.10 Computation of Time

a) For purposes of any notice, decision, ruling or order that is mailed or delivered by personal service by the Department, the calendar day on which any notice, decision, ruling or order is mailed or delivered by personal service by the Department shall be excluded in computing time. For purposes of any notice, decision, ruling or order that is posted electronically as provided in Section 2725.40, the date treated as the date of mailing for purposes of electronic notices shall be excluded in computing time.

b) The calendar day on which notice is due or action is required by a party shall be included in the computation of time.

c) If the last day a response is due to be filed is a day on which the Agency is closed, the due date is extended to the end of the next day on which the Agency is open.

d) The date on the document shall be rebuttable evidence that it was mailed or delivered on that date. A postmark placed on the envelope by the United States Postal Service shall be conclusive evidence of the date of mailing. An Agency notation showing the date of receipt shall be conclusive evidence of the date of personal service, or of an undated, unpostmarked document which is mailed. A return receipt signed and dated by an Agency employee shall be conclusive evidence of the date of receipt. For purposes of documents posted electronically as provided in Section 2725.40, notice shall be deemed to have been served as provided in Section 2725.40(e).

History

• Source: Amended at 43 Ill. Reg. 6434, effective May 14, 2019

56 Ill. Adm. Code 2725.11 Use of Private Messenger Services

For purposes of Section 2725.10, any date recorded or marked by a designated delivery service, recognized as such by the Internal Revenue Service (IRS) pursuant to 26 USC 7502(f), shall be treated as the postmark placed on an envelope by the United States Postal Service. IRS Notice 2004-83 (modifying Notice 2002-62), effective January 1, 2005, provides the list of designated delivery services and is subject to further revision by the IRS. Should there be additional or superseding IRS notices, procedures or other documents that are promulgated in the future, this Section will be amended accordingly. Until such time as this Section is amended, only those recognized designated delivery services in IRS Notice 2004-83 (modifying Notice 2002-62), effective January 1, 2005, shall be acceptable.

EXAMPLE: The employer is required to file its quarterly wage report for the first quarter of 2009 by April 30, 2009. On April 30, 2009, ABC Messenger Service records that it has received the wage report from the employer for delivery to the Agency. On May 1, 2009, ABC Messenger Service delivers the wage report to the Agency. A penalty will be assessed against this employer unless the IRS officially recognizes ABC Messenger Service as a designated delivery service at the time.

History

• Source: Added at 33 Ill. Reg. 9641, effective July 1, 2009

56 Ill. Adm. Code 2725.15 Disqualification of Agency Employee

a) No Agency employee shall participate in any manner in any investigation or proceeding under the Act if such individual has a financial or other direct personal interest in the proceeding or investigation. Personal interest includes family, social or professional relationship or general bias or prejudice which would tend to affect the ability of the Agency employee to remain fair and impartial.

b) A person seeking such disqualification of an Agency employee must file a written request prior to the investigation or proceeding to disqualify the individual whose removal is sought. The request to disqualify must contain specific facts which indicate a financial or direct personal interest defined in subsection (a), or specific facts which indicate prejudice on the part of the person whose disqualification is sought.

c) The Agency employee whose disqualification is sought will respond to the request prior to the investigation or proceeding orally on the record or in writing. Further proceedings in the matter will be stayed until a decision on disqualification is rendered. If the request is granted, the Agency will reassign the matter. If the request is denied, the reasons for the denial shall be set forth in writing or on the record and the Agency employee will proceed with the investigation or proceeding. The request and reasons for the denial shall be part of the record on appeal.

56 Ill. Adm. Code 2725.20 Request for Clarification

Any employer may request clarification of information contained on a "Statement of Benefit Charges" (Ben-118), a Statement of Amount Due (Ben-118R)," Contribution Rate Determination " or "Notice of Determination and Assessment and Demand for Payment" by contacting the Department of Employment Security, Division of Revenue, at the address or telephone number listed on such applicable form. However, such response by the Revenue Division shall be for informational and clarification purposes only and not binding on either the employer or the Agency.

History

• Source: Amended at 43 Ill. Reg. 6434, effective May 14, 2019

56 Ill. Adm. Code 2725.25 Form of Papers Filed

a) Each Application, Protest, Petition or Claim shall bear the name, address and account number of the employing unit and, when the employment or unemployment status of the individual or claimant is at issue, the name and Social Security account number or claimant ID number of the individual or claimant, along with the name, address and telephone number of the person filing the document.

b) All subsequent papers shall bear the docket number, if applicable, of the matter, along with the name, address and telephone number of the individual filing the document.

History

• Source: Amended at 43 Ill. Reg. 6434, effective May 14, 2019

56 Ill. Adm. Code 2725.30 An Employer's "last Known Address"

a) Notwithstanding any provision to the contrary, and except as provided in subsection (b) and Section 2725.40, an employing unit's "last known address" or "last known place of business or residence", as those terms are used in the Act, is the last address provided to the Department by the employing unit.

EXAMPLE: On September 1, 2016, the Director mails an annual contribution rate notice to Employer A at the last address provided to the Department by Employer A. For purposes of Section 1509 of the Act, the annual contribution rate notice mailed on September 1, 2016 is mailed to Employer A's last known address.

b) The Department receives manual and electronic address correction notices from the United States Postal Service (USPS) to update employing unit addresses maintained in Department records when mail is sent to the last address provided by the employing unit but is undeliverable as addressed. Except as provided in this Section, when the Department receives notification from USPS that the employing unit's address is different from the last address provided to the Department by the employing unit, the new address provided by USPS shall be the employing unit's last known address or last known place of business or residence. The last address obtained from USPS is the employing unit's last known address or last known place of business or residence until the employing unit informs the Department of a change of address as provided in subsection (c).

EXAMPLE: When Employer A began business in 2010, it filed a "Report To Determine Liability Under the Illinois Unemployment Insurance Act" (see 56 Ill. Adm. Code 2760.105), listing its address as 1234 S. Main St., Springfield IL. On September 1, 2016, Employer A files a change of address with USPS, listing its new address as 5678 N. State St., Chicago IL. Employer A does not inform the Department of its change of address. On November 1, 2016, the Director mails an annual contribution rate notice to Employer A at 1234 S. Main St., Springfield IL, which is the last address provided to the Department by Employer A. For purposes of Section 1509 of the Act, the annual contribution rate notice mailed on November 1, 2016 is mailed to Employer A's last known address. Since Employer A filed a change of address with USPS, the annual contribution rate notice is forwarded to Employer A's new address by USPS. A few days later the Department receives notice of Employer A's change of address from USPS. The Department will update its records with the new address received by USPS. Subsequent mail sent to Employer A at 5678 N. State St., Chicago IL is mailed to Employer A's last known address.

c) It is the employing unit's responsibility to inform the Department of any address change through MyTax Illinois (mytax.illinois.gov), by mailing a UI-50A Notice of Change to the Department, or by calling, faxing or writing the Department and providing the same information as would be provided on the UI-50A. A change of address request must be signed unless the request is made by telephone. The mailing address and telephone and fax numbers for submitting a change of address can be found on the UI-50A, which is available on the Department's website (ides.illinois.gov). Except as otherwise provided for in Section 2725.40 for Electronic Posting of Notices, a change of address is effective the day on which it is received by the Department. If an employing unit does not file a UI-50A Notice of Change with the Department and instead relies on the Department to update its address based on information received by USPS, the employing unit bears the risk that the Department will not receive correct change of address information from USPS in a timely manner. A new last known address or last known place of business or residence received from USPS is not effective until the Department updates its records with the new address.

EXAMPLE 1: In January 2010, Employer A filed a UI-50A notifying the Department that its mailing address was 1234 S. Main St., Springfield IL. On March 1, 2015, Employer A files a change of address with USPS, listing its new address as 5678 N. State St., Chicago IL. On November 23, 2015, the Director mails Employer A's annual contribution rate notice to Employer A at 1234 S. Main St., Springfield IL, the last address provided to the Department by Employer A. For purposes of Section 1509 of the Act, the annual contribution rate notice mailed on November 23, 2015 is mailed to Employer A's last known address. The USPS forwards the annual contribution rate notice to Employer A at its new address but does not notify the Department of Employer A's change of address information. A little over a year later, on November 25, 2016, after USPS has stopped forwarding Employer A's mail, the Department sends another annual contribution rate notice to Employer A at its 1234 S. Main St., Springfield IL address. For purposes of the Act, the annual contribution rate notice mailed on November 25, 2016 to 1234 S. Main St., Springfield IL is mailed to Employer A's last known address.

EXAMPLE 2: Same facts as Example 1 except, in addition to filing a change of address with USPS, on March 1, 2015, Employer A also files a UI-50A with the Department, listing its new address as 5678 N. State St., Chicago IL. If the Department does not timely update its records before sending the annual contribution rate notice on November 23, 2015, since Employer A properly notified the Department of its change of address, the annual contribution rate notice mailed to Employer A's old address will not be treated as having been mailed to Employer A's last known address for purposes of the Act.

History

• Source: Added at 43 Ill. Reg. 1537, effective January 15, 2019

56 Ill. Adm. Code 2725.35 Electronic Submissions

a) For purposes of this Section, "electronic submission" means any document that is transmitted to the Department through MyTax Illinois (mytax.illinois.gov), including, but not limited to, a contribution and wage report required by 56 Ill. Adm. Code 2760.120, 2760.125 or 2760.145, an application for review of rate determination (see Section 2725.105), a protest of a determination and assessment as provided by Section 2725.110, a claim for adjustments or refund (see Section 2725.115), an election to make payments in lieu of contributions, or a written notice of termination of election, an application for review of a Director's order allowing or denying an election to make payments in lieu of contributions, or a written notice of termination of election (see Section 2725.125), an application for waiver (see Section 2765.75), or an appeal of an order or determination and assessment of the Director (see Section 2725.200).

b) The date that the Department confirms receipt of the electronic submission, as shown in the "Date Submitted" field of the electronic submission, will constitute the date of filing. An electronic submission will be confirmed as received only if all required information is provided in accordance with the instructions. An electronic submission will not be considered filed unless it has been confirmed as received by the Department, as evidenced by the electronic confirmation number and confirmation page provided.

History

• Source: Added at 43 Ill. Reg. 1537, effective January 15, 2019

56 Ill. Adm. Code 2725.40 Electronic Posting of Notices

a) On and after November 11, 2017, when a person or employing unit uses the Department's online tax system, MyTax Illinois (mytax.illinois.gov), the Department will post an electronic version of all notices, except as provided in subsection (c), that are required to be mailed to the person or employing unit, including, but not limited to, notices under Sections 1400, 1509, 2200 and 2201 of the Act, in the correspondence tab of the account of the person or employing unit on the MyTax Illinois website.

b) An email address is needed to register an account in MyTax Illinois. When a notice is posted to the MyTax Illinois account of a person or employing unit as provided in subsection (a), the Department will send an email to each email address that has been provided on the account. A person or employing unit that uses MyTax Illinois will continue to receive, in addition to receiving email notifications and notices within MyTax Illinois, all notices as a paper document sent through USPS to its last known address as provided in Section 2725.30, unless the person or employing unit elects to stop receiving notice under subsection (d). Unless the person or employing unit elects to stop receiving notice as a paper document sent through USPS, the last known address for purposes of the notices described in subsection (a) shall be as provided by Section 2725.30.

c) Electronic versions of the following notices are not posted on the MyTax Illinois website and, regardless of an election under subsection (d), will always be sent as a paper document through USPS:

1. All notices that a person or employing unit is entitled to receive after the filing of an appeal of an order or Determination and Assessment of the Director as provided in Subpart C, including, but not limited to, hearing notices (see Section 2725.210), recommended decisions (see Section 2725.270), and decisions of the Director (see Section 2725.280); and

2. Certificates of withdrawal or release of a notice of lien (see Section 2401 of the Act).

d) A person or employing unit that uses the Department's online tax system may elect to stop receiving notice as a paper document sent through USPS for any notice, except those notices described in subsection (c), that is required to be mailed by the Department as provided in subsection (a). An election under this subsection must be made on the MyTax Illinois website.

e) If, pursuant to subsection (d), a person or employing unit elects to stop receiving notice as a paper document sent through USPS, the email address or addresses provided by the person or employing unit shall be the last known address for purposes of Section 2725.30 for each notice described in subsection (a), and the notices described in subsection (a) will not be mailed to the person or employing unit through USPS. If, pursuant to subsection (d), a person or employing unit elects to stop receiving notice as a paper document sent through USPS, then notice shall be deemed to have been served on the person or employing unit if the Department posts an electronic version of the notice in the correspondence tab of the account of the person or employing unit on the MyTax Illinois website and transmits an email to at least one of the email addresses provided on the account of the person or employing unit, even if the email is not accepted by the server of the person or employing unit.

EXAMPLE 1: An employing unit establishes a MyTax Illinois account and, pursuant to subsection (d), elects to stop receiving notice as a paper document sent through the USPS. The employing unit provides a total of four different email addresses for the account. The Department posts a Determination and Assessment in the correspondence tab of the employer's MyTax Illinois profile and attempts to send an email notification to each of the four email addresses provided by the employing unit. Due to a computer glitch, only one email is sent. Because the Department transmitted an email to at least one of the email addresses provided on the account of the employing unit, notice of the Determination and Assessment will be treated as having been served on the employing unit.

EXAMPLE 2: An employing unit establishes a MyTax Illinois account and, pursuant to subsection (d), elects to stop receiving notice as a paper document sent through USPS. The employing unit provides an email address for the account. The Department posts a Determination and Assessment in the correspondence tab of the employer's MyTax Illinois profile and sends an email notification to the email address provided by the employing unit. The email is rejected as undeliverable by the recipient's e-mail server. Because the email was sent to the email address provided by the employing unit, notice of the Determination and Assessment will be treated as having been served on the employing unit.

f) If, pursuant to subsection (d), a person or employing unit elects to stop receiving notice as a paper document sent through USPS, the date of mailing of the notice for purposes of the Act shall be whichever of the following dates is later:

1. The mail date listed on the notice that is posted on the MyTax Illinois website; or

2. The date that the email notifying the person or employing unit that a notice has been posted to the MyTax Illinois website is transmitted to the person or employing unit.

EXAMPLE 1: An employer has elected to stop receiving notice through USPS under subsection (d). On October 1, 2017, the Department posts a Determination and Assessment in the correspondence tab of the employer's MyTax Illinois profile. The mail date on the Determination and Assessment is October 3, 2017 to allow time for system processing. Due to a system error, the Department does not email the employer until October 4, 2017 to inform it that the Determination and Assessment has been posted to the MyTax Illinois website. Even if the employer logs into its MyTax Illinois account and views the document on October 1, 2017, notice of the Determination and Assessment will be treated as having been mailed on October 4, 2017.

EXAMPLE 2: An employer has elected to stop receiving notice through USPS under subsection (d). On October 1, 2017, the Department posts a Determination and Assessment in the correspondence tab of the employer's MyTax Illinois profile. The mail date on the Determination and Assessment is October 3, 2017 to allow time for system processing. The Department sends the employer an email on October 2, 2017 to inform it that a notice has been posted to the MyTax Illinois website. Notice of the Determination and Assessment will be treated as having been mailed on October 3, 2017.

g) The email notifying the person or employing unit that a notice has been posted to the MyTax Illinois website may not be responded to by email. If the notice posted to the MyTax Illinois website provides for appeal rights or otherwise allows or requires a response by the person or employing unit, the person or employing unit must appeal or respond according to the instructions provided on the notice, whether posted to the MyTax Illinois website or sent through USPS.

EXAMPLE: On November 1, 2017, the Department sends an employing unit an email notifying the employing unit that a notice has been posted to the MyTax Illinois website. The notice posted to the MyTax Illinois website is an Annual Notice of Contribution Rate Determination. The notice informs the employing unit that, pursuant to Section 2725.105, it may file an application for review of the notice of contribution rate determination online using MyTax Illinois or by mail at the address on the Notice of Contribution Rate Determination. On November 2, 2017, the president of the employing unit signs into MyTax Illinois and sees the rate notice. Instead of submitting an application for review on MyTax Illinois or by mail, the president of the employing unit sends an application for review of the rate notice in an email response to the email that the Department sent to the employing unit. Since the application for review was not submitted to the Department in accordance with Section 2725.105, as explained on the Notice of Contribution Rate Determination, the application for review will not be treated as filed for purposes of Section 1509 of the Act, and the rate determination will be final against the employing unit. Under Section 2725.105 and subsection (g), it is the employing unit's responsibility to respond to the notice according to the instructions provided on the notice.

h) If, pursuant to subsection (d), a person or employing unit elects to stop receiving notice as a paper document sent through USPS, the email address or addresses provided by the person or employing unit will continue to be the last known address of the person or employing unit for purposes of the notices described in subsection (a) until the person or employing unit changes its email address or cancels its election to stop receiving notice as a paper document sent through USPS. An election to change an email address or cancel an election to stop receiving notice as a paper document sent through USPS may be completed within MyTax Illinois. A change pursuant to this subsection is not effective until it has been processed by the Department.

EXAMPLE 1: Six months after electing to stop receiving notice as a paper document sent through USPS as provided in subsection (d), an employer loses access to the email address it provided to the Department and begins using a new email address. However, the employing unit does not notify the Department of the new email address. On November 1, 2017, the Department posts an Annual Notice of Contribution Rate Determination in the correspondence tab of the employer's MyTax Illinois profile. On the same day, the Department sends the employing unit an email to the email address the employing unit provided to the Department, notifying the employing unit that a notice has been posted to the MyTax Illinois website. The Notice of Contribution Rate Determination informs the employing unit that, pursuant to Section 1509 of the Act, the employing unit has 15 days from November 1, 2017 to file an application for review of the rate determination. Since the employing unit no longer has access to the email address it provided to the Department, it does not receive the email or retrieve the notice in MyTax Illinois. On November 20, 2017, the employing unit signs into MyTax Illinois, sees the rate notice, and immediately files an application for its review. Since the application for review was filed more than 15 days after the mail date listed on the notice, which was also the date that the Department sent an email to the employing unit's last known address, the application for review is not timely, and the rate determination will be treated as final against the employing unit. Under subsection (h), it is the employing unit's responsibility to notify the Department of its new mailing address through MyTax Illinois.

EXAMPLE 2: An employing unit establishes a MyTax Illinois account and, pursuant to subsection (d), elects to stop receiving notice as a paper document sent through USPS. The employing unit provides an email address for the account "oldemail@example.com." The Department posts a Determination and Assessment in the correspondence tab of the employer's MyTax Illinois profile and sends an email notification to the email address provided by the employing unit. The employing unit's email sends an automatic reply to the Department that states: "My email address has changed. Please email me at my new email address: newemail@example.com". Since the email sent by the Department is an automated notification and is unable to receive replies, the Department does not update the email address of the employing unit. Notice will be treated as properly served on the employing unit when sent to the original email address provided by the employing unit (oldemail@example.com). It is the employing unit's responsibility to notify the Department of its new mailing address through MyTax Illinois.

History

• Source: Added at 43 Ill. Reg. 1537, effective January 15, 2019

56 Ill. Adm. Code 2725.45 Signature Requirement

Unless otherwise provided, a letter, form or request that is required to be signed by this Part and 56 Ill. Adm. Code 2760 and 2765 and that is submitted on behalf of an employing unit must be signed by the owner, partner or authorized officer or official of the employing unit, or its authorized agent. Unless otherwise provided, a letter, form or request that is required to be signed by this Part and 56 Ill. Adm. Code 2760 and 2765 and that is submitted by or on behalf of an individual that is not himself or herself an employing unit must be signed by the individual or his or her agent. A letter, form or request that is required to be signed as provided in this Section may be electronically signed (see Section 2725.50). A signature, including an electronic signature, constitutes an attestation that the information submitted is true and correct to the best of the signatory's knowledge and belief.

History

• Source: Added at 43 Ill. Reg. 1537, effective January 15, 2019

56 Ill. Adm. Code 2725.50 Electronic Signature

An electronic submission, as defined by Section 2725.35, that must be signed shall be signed using an electronic signature in lieu of a written signature by clicking the "I Agree" check box beneath the certification statement prior to submission on the MyTax Illinois website (mytax.illinois.gov). An electronic submission has the same legal effect as a signature on a paper document.

History

• Source: Added at 43 Ill. Reg. 1537, effective January 15, 2019

56 Ill. Adm. Code 2725.55 Forms

Blank copies of all reports and forms mentioned in this Part and 56 Ill. Adm. Code 2760 and 2765 are available on the Department's website (ides.illinois.gov) and, except the reports described in 56 Ill. Adm. Code 2760.105, may also be obtained by contacting the Department's Revenue Division at the Agency's Chicago central office, whose address is found in 56 Ill. Adm. Code 2712.10, or by email to des.uitax@illinois.gov. Copies of the reports described in 56 Ill. Adm. Code 2760.105 may be obtained from the Illinois Department of Revenue at Central Registration Division, Illinois Department of Revenue, PO Box 19030, Mail Code 3-222, Springfield IL 62794-9030.

History

• Source: Amended at 49 Ill. Reg. 11135, effective August 20, 2025

Chapter IV Department of Employment Security

Subchapter a General Provisions

Part 2725 Administrative Hearings and Appeals

56 Ill. Adm. Code 2725.100 Application for Revision of Statement of Benefit Charges

a) Applications for Revision of the Statement of Benefit Charges must be filed at the address specified on such Statement, within 45 days of the mailing of such Statement, as provided in Section 1508 of the Act.

b) An Application shall set forth: the name and Social Security account number of each claimant whose benefit charges are contested; the amount of benefit charges contested or the weeks of benefit charges contested; the year and quarter of the Statement contested; and, in the cases described in subsections (b)(1), (2) and (3) below, a statement of facts providing the basis for relief upon which the employer relies in its Application.

1. If an employer alleges that the benefit charges arose from the payment of benefits to a claimant for weeks of eligibility to which the employer was entitled to notice of a determination pursuant to Sections 702 or 703 of the Act, and was not notified of such determination of eligibility and the claimant was improperly paid benefits, the employer must show that it filed in response to notice of the claim, a timely (see 56 Ill. Adm. Code 2720.30) Notice of Possible Ineligibility or letter in lieu thereof alleging that the claimant was ineligible for benefits for the weeks charged and did not receive a determination of eligibility or decision holding the Notice of Possible Ineligibility or letter in lieu thereof as insufficient or untimely.

A) A copy of the allegedly unanswered Notice of Possible Ineligibility or letter in lieu thereof should, if possible, be included with the Application, together with any subsequent documentation where applicable, such as a Referee or Board of Review decision holding the Notice of Possible Ineligibility as sufficient.

B) If the employer did not file a timely and sufficient Notice of Possible Ineligibility or letter in lieu thereof (pursuant to 56 Ill. Adm. Code 2720.130) in response to the notice of claim, the employer's remedy is to request a reconsidered determination from the local office Claims Adjudicator where the claimant filed for benefits, pursuant to Section 703 of the Act, or if a determination of eligibility was served upon the employer, its remedy is to file an appeal to the determination under Section 800 of the Act.

C) If the determination of eligibility for the weeks charged is reversed, the employer will receive appropriate relief from the benefit charges through the operation of Section 706 of the Act.

2. If the employer is charged for benefits and claims that it was not sent a notice that a claim was filed, the employer must allege this fact and, at a hearing, must prove lack of notice and must show the reasons why the payment of benefits to the claimant for the weeks charged is improper.

A) If an employer was served with a notice that a claim was filed, the employer's remedy for relief of the benefit charges is its protest of the claimant's eligibility pursuant to Section 800 of the Act or a request for reconsideration of a determination pursuant to Section 703 of the Act with the Claims Adjudicator at the local office where the claimant filed for benefits.

B) If the determination is subsequently modified or reversed, the benefit charges will be modified or cancelled, as appropriate, through the operation of Section 706 of the Act. (See 56 Ill. Adm. Code 2720).

3. When the employer alleges that a clerical error was made by the Agency, the nature of the clerical error and its effect on the benefit charges must be clearly stated. A copy of the material bearing the error must accompany the Application.

c) An Application which fails to meet the criteria in subsection (b)(1) thru (3) shall be ruled insufficient and the Director shall serve notice of such ruling and the basis therefor upon the employer. The ruling shall be final and conclusive unless the employer files, within 20 days of the date of mailing of the ruling, a written objection or a revised Application for Revision of the Statement of Benefit Charges, specifically responding to the reasons the original Application was ruled insufficient. The written objection or revised Application shall be reviewed and, if sufficient, an order issued. An employer disagreeing with such order may appeal to a Director's Representative under Subpart C of this Part if such appeal is taken within 20 days of the date of mailing of the order. If the written objection or revised Application is still found to be insufficient, it shall again be ruled insufficient, and such ruling shall be final and subject to review under the State's Administrative Review Law [735 ILCS 5].

1. Where an employer alleges that a claimant was not an unemployed individual under Section 239 of the Act during a period when such claimant was paid benefits, no relief shall be available under Section 1508 of the Act, but the matter shall be referred to the local office where the claimant last filed a claim for benefits for investigation to which such employer shall be a party. If the claimant is determined ineligible, appropriate relief will be granted to such employer under Section 706 of the Act.

2. Where an employer alleges that his Statement of Benefit Charges is incorrect because it is not the chargeable employer pursuant to Section 1502.1 of the Act, such Application must contain a reference to and a copy of the decision which reverses the claims adjudicator and holds that the employer is not the chargeable employer. Unless the employer has filed a timely request for reconsideration to the decision that the claims adjudicator has found it to be the chargeable employer, pursuant to 56 Ill. Adm. Code 2765.325, 2765.326 or 2765.329, such employer shall not be entitled to a revision of its "Statement of Benefit Charges".

d) Upon receipt of a sufficient Application, the Application shall be ordered allowed or denied in whole or in part and notice of such order stating the basis therefor shall be mailed to the employer. Such application will be allowed in part and denied in part where the employer has contested multiple benefit charges but has made sufficient allegations on some but not all. Such order shall become final and conclusive at the expiration of 20 days from the date of mailing of such order, unless the employer shall have filed a Petition specifying its objections thereto.

e) Where the allegation in the Application is lack of notice of a determination or reconsidered determination and the ineligibility of the claimant for a specific reason, such employer shall be sent either a copy of the original determination or reconsidered determination, as may be applicable, and if the allegation of lack of notice proves to be true, the period for filing a timely appeal under Section 800 of the Act and 56 Ill. Adm. Code 2720, Subpart C shall begin from the date of mailing of the copy of the determination or reconsidered determination.

History

• Source: Amended at 20 Ill. Reg. 6378, effective April 29, 1996

56 Ill. Adm. Code 2725.102 Filing Additional Information for an Application for Revision of Statement of Amount Due for Benefits Paid During the Effective Period of Section 1502.4 of the Act

a) Subject to subsection (b), if an Application for Revision of the Statement of Amount Due for Benefits Paid has been timely filed, an employer may file, within 30 days after the period for filing an application has ended, additional information to be considered as part of its application.

b) Subsection (a) shall be applicable to benefits paid for the weeks of March 15, 2020 through January 2, 2021 (the period that the non-charging provisions of Section 1502.4 of the Act is in effect), and shall not extend beyond the calendar quarter that follows the calendar quarter that contains the last week of non-charging under Section 1502.4 of the Act.

EXAMPLE: Employer A is a liable nonprofit organization that has elected to make payments in lieu of contributions. Claimant Z worked for Employer A, but due to COVID-19 became unemployed and received unemployment insurance benefits through the week ending January 2, 2021. Without an amendment extending the effective period established in Section 1502.4 of the Act, the week ending January 2, 2021 is the last week that the non-charging provisions of Section 1502.4 of the Act are in effect. The week ending January 2, 2021 falls within the first calendar quarter of calendar year 2021. Accordingly, the last Statement of Amount Due for Benefits Paid for which Employer A may file a timely application for revision, and thereafter have an additional 30 days to file additional information, is the statement issued for the second calendar quarter of calendar year 2021.

History

• Source: Added at 44 Ill. Reg. 17657, effective October 23, 2020

56 Ill. Adm. Code 2725.105 Application for Review of Rate Determination

a) An Application for Review of Rate Determination should be filed online using MyTax Illinois (mytax.illinois.gov) or at the address on the Notice of Contribution Rate Determination. An application must be signed and filed within 15 days after the mailing of the Notice of Contribution Rate Determination to the employer. If an application has been timely filed, an employer may file additional information to be considered as part of its application within 30 days after the period for filing an application has ended.

b) A sufficient application shall set forth the following:

1. If the rate determination is based in whole or in part on erroneous benefit charges, the application must allege:

A) The employer was not served with a Statement of Benefit Charges containing the benefit charges used in the calculation of the employer's contribution rate; or

B) The employer has received an order or decision allowing an adjustment of the benefit charges used in calculating the employer's contribution rate. A copy of the order or decision must be attached to the application.

2. If a determination or decision allowing the payment of benefits has finally been reversed or modified and the benefit charges resulting from the benefit payment were not revised in accordance with the provisions of Section 706 of the Act, the employer shall provide a copy of the final reconsidered finding, reconsidered determination or decision.

3. If the Department has made a mathematical error, the employer shall provide a detailed, clear statement showing the correct calculations.

4. If the employer alleges that the provisions of Section 1507 of the Act have been erroneously applied, the employer must show that it complied with 56 Ill. Adm. Code 2760.105(b), if applicable, and shall provide a statement of whether the employer has succeeded to substantially all or to a distinct severable portion of the employing enterprises of a predecessor, or whether a successor has succeeded to substantially all or a distinct severable portion of the employer's employing enterprises, and the factual basis for those statements.

5. If an employer alleges that the provisions of Section 1507.1 of the Act have been erroneously applied, the employer must show that it complied with 56 Ill. Adm. Code 2760.105(b), if applicable, and shall provide a statement of whether the employer is a transferee of trade or business and whether there is common ownership, management or control, and the factual basis for those statements.

6. If the employer alleges an incorrect North American Industry Classification System (NAICS) code, a statement of the employer's primary activity and the factual basis for that statement must be provided.

7. If the employer alleges that it has not been credited with the full amount of wages for insured work subject to the payment of contributions that it reported, it shall state the exact amount of the wages and the quarters for which the wages were reported and shall provide a copy of its Employer's Contribution and Wage Report (see 56 Ill. Adm. Code 2760.25) and any forms, Social Security Number Correction and Name Change Notice used to report additional wages for the same quarters (see 56 Ill. Adm. Code 2760.145).

c) An application that does not specify the factual basis for relief sought, or does not contain the information required by the applicable Section of this Part, shall be ruled insufficient. The ruling shall be final and conclusive unless the employer files, within 10 days after the date of mailing of the ruling, a written objection or revised application specifically responding to the reasons the original application was ruled insufficient. If a written objection or revised application has been timely filed, an employer may file additional information to be considered as part of its objection or revised application within 30 days after the period for filing a written objection or revised application has ended. The written objection or revised application shall be reviewed and an order allowing or denying relief issued.

d) If the application is sufficient, the Department shall investigate the allegations in the application based on agency records and any documents supplied by the employer. The Department shall issue a written order with reasons for denying the application or allowing the application in whole or in part.

e) An employer disagreeing with the order may appeal to a Director's representative under Subpart C.

f) If the basis for review of the rate determination is a pending benefit charge matter, the matter is not a basis for relief under this Section, but rather the employer's remedy is pursuant to Section 1508 of the Act and Section 2725.100. If the benefit charges are modified or cancelled, as appropriate, through the operation of Section 2725.100, appropriate relief will be granted through the operation of Sections 1508 and 1509 of the Act.

EXAMPLE: While review of a benefit charge matter is pending, the employer receives a Notice of Contribution Rate Determination based on the contested benefit charges. This employer's pending Application for Revision of Statement of Benefit Charges shall be deemed to be an Application for Review of that portion of its rate based on the contested Statement. If the employer prevails on the application , its benefit ratio shall be modified accordingly and, if this results in a change to its rate, a revised Notice of Contribution Rate Determination will be issued.

History

• Source: Amended at 43 Ill. Reg. 1537, effective January 15, 2019

56 Ill. Adm. Code 2725.110 Protest of Determination and Assessment

a) A protest of a Determination and Assessment must be filed in the form of a petition and should be filed online using MyTax Illinois (mytax.illinois.gov) or at the address shown on the Determination and Assessment. A protest must be signed and filed within 20 days after service. If a protest has been timely filed, an employer may file additional information to be considered as part of its protest within 30 days after the period for filing a protest has ended.

b) A sufficient Petition shall set forth the specific part of the Determination and Assessment with which the employing unit disagrees and the specific legal and factual basis for the disagreement and, in the specific situations described in this subsection (b), will state the following:

1. If the employing unit alleges that it has paid all or part of the amount assessed, the exact amount of the contributions, penalties and interest paid, if any, the date paid and the quarter to which the payment relates;

2. If the employing unit alleges that the Determination and Assessment is erroneous because of clerical error, the specific nature of the clerical error;

3. If the employing unit claims one or more persons whose wages are the basis of the Determination and Assessment were not in employment, the names, addresses and Social Security account numbers of those persons, the nature of the services performed, if any, and the reasons the person or persons are not considered in employment; or

4. If the employing unit alleges that it is not an employer subject to the Act, the reasons for that allegation and supporting facts.

c) An employing unit that files a petition that does not contain the information required by subsection (b) shall be notified of the insufficiency and given 20 days after the date of mailing of that notice to revise the petition or file objections to the notice. A revised petition or objections to the notice must be signed and should be filed online using MyTax Illinois or at the address shown on the notice of insufficiency. If a revised petition or objections to the notice of insufficiency have been timely filed, an employer may file additional information to be considered as part of its application within 30 days after the period for filing a petition has ended. If a revised petition or objections responding to the notice are filed within 20 days after the date of mailing of the notice and the petition or revised petition is still determined to be insufficient, the revised petition or original petition and objections, as the case may be, shall be adjudicated under Subpart C. If no further documents are filed or corrections made, electronically or by mail, within 20 days after the date of mailing of the notice of insufficiency, the petition shall be ruled insufficient and the ruling, notice of which shall be provided to the employing unit, shall be final and subject to review under the State's Administrative Review Law [735 ILCS 5/Art. III].

d) An employing unit that files a petition, but not within the time prescribed, shall be notified of its untimeliness and given 20 days after the date of mailing of the notice to submit further information or objections to the notice of untimeliness. Objections to the Notice of Untimeliness must be signed and should be filed online using MyTax Illinois or at the address shown on the notice of untimeliness. If further information or objections to the notice of untimeliness has been timely filed, an employer may file additional information to be considered as part of its submission within 30 days after the period for submitting further information or objections has ended. If, within 20 days after the date of mailing of the Notice of Untimeliness, information or objections are filed but do not sufficiently respond to the notice of untimeliness, the petition shall be adjudicated under Subpart C. If, within 20 days after the date of mailing of the notice of untimeliness, no information or objections are filed, the petition shall be ruled untimely and the ruling, notice of which shall be provided to the employing unit, shall be final and subject to review under the Administrative Review Law.

e) Except as provided in subsection (f), if the petition is sufficient and timely, the Department will investigate the allegations in the petition based upon Department records and any documents supplied by the employing unit. If the Department determines that the petition should be allowed, the Department shall cancel the Determination and Assessment by written order. If the Department determines that the petition should be allowed in part and denied in part, the Department shall modify the Determination and Assessment by written order, with reasons for the partial denial. An employing unit disagreeing with the Order to Modify the Determination and Assessment may file a petition to the Modified Determination and Assessment as provided in subsections (a) and (b). If the Department determines that the Determination and Assessment should be affirmed, the petition shall be adjudicated under Subpart C.

f) If an employing unit files a timely and sufficient petition in response to a Modified Determination and Assessment issued under subsection (e) or a Determination and Assessment that is issued as a result of an audit, the petition shall be adjudicated under Subpart C.

History

• Source: Amended at 43 Ill. Reg. 1537, effective January 15, 2019

56 Ill. Adm. Code 2725.115 Claim for Adjustments (credits) and Refunds

a) Claims for Adjustments (credits) or Refunds must be signed and should be made online using MyTax Illinois (mytax.illinois.gov) or on the Department form Employer's Claim for Adjustment/Refund and filed at the address listed on the form. Except as provided in this subsection, a claim must be filed within three years after the date the employing unit paid the contributions, interest or penalties that are the basis of the employing unit's claim. In the case of an erroneous payment that occurred January 1, 2015 through September 8, 2017, the employing unit may file the claim for adjustment or refund not later than June 30, 2018 or three years after the date of the erroneous payment, whichever is later. If a claim for adjustment or refund has been timely filed, an employer may file additional information to be considered part of its claim within 30 days after filing the claim.

b) A sufficient Claim for Adjustment (credit) or Refund must meet the requirements set forth in 56 Ill. Adm. Code 2760.150 and shall set forth the reason for the refund as follows:

1. The employer overpaid due to a mathematical error. For example, the employer misplaced a decimal point in computing his or her contributions due;

2. The employer paid at an incorrect rate. For example, the assigned rate was 2.0% and the employer paid at 3.7%. This frequently occurs the first year an employer receives a rate based on its experience;

3. The employer reported wages paid to workers to Illinois that should have been reported to a different state. In this case, the employer must supply the Department with a list of workers' names and Social Security numbers on the form titled "Employer's Correction Report of Wages Previously Reported" if he or she has not already done so on form UC-40C "Employer's Correction Report For The Quarter" (see 56 Ill. Adm. Code 2760.145(a)). If any benefits have been paid to these workers by Illinois, the refund amount shall be adjusted downward to reflect any benefits paid due to the employer's error;

4. The employer reported payments that are excluded from the definition of "wages" by the Act. For example, a sole proprietor reported compensation paid to his or her parents. In these cases, the employer must supply the Department with a list of the workers' names and Social Security numbers on an "Employer's Correction Report For Wages Previously Reported" if he or she has not already done so on an "Employer's Correction Report For The Quarter" (see 56 Ill. Adm. Code 2760.145(a)). If any benefits have been paid to these workers, the refund amount shall be adjusted downward to reflect any benefits paid due to the employer's error;

5. The employer incorrectly reported total payments as wages subject to the payment of contributions;

EXAMPLE: The employer made an error in computing the excess wages. In this case, the employer must file an "Employer's Correction Report Of Wages Previously Reported" to correct his or her error if he or she has already not done so on an "Employer's Correction Report For The Quarter" (see 56 Ill. Adm. Code 2760.145(a)).

6. The employer overpaid due to a rate revision;

EXAMPLE: The employer's rate is revised downward after he or she has already paid the contributions for the quarter, thus creating a credit balance for which he or she can request a refund or adjustment.

7. The employing unit is not an employer subject to the Act, but has paid contributions;

8. Any other circumstances that would show that the employer overpaid his or her contributions;

9. The employing unit has paid interest and/or penalties that were determined not due.

c) If the Claim for Adjustment (credit) or Refund is sufficient, the Department will investigate the allegation in the claim by examining Department records and documents supplied by the employer and then issue a written order.

d) A claim that does not specify the factual basis for the relief sought or does not contain the information required by subsection (b) shall be ruled insufficient. The ruling shall be final and conclusive unless the employer files, within 20 days after the date of mailing of the ruling in accordance with Section 2203 of the Act, a written objection or revised claim, specifically responding to the reasons the original claim was ruled insufficient. The written objection or revised claim must be signed and should be filed online using MyTax Illinois or at the address listed on the ruling. If a written objection or revised claim has been timely filed, an employer may file additional information to be considered as part of its submission within 30 days after the period for filing a written objection or revised claim has ended. The written objection or revised claim shall be reviewed and an order, allowing in whole or in part or denying in whole or in part, shall be issued. An employer disagreeing with the order may appeal to a Director's representative under Subpart C.

History

• Source: Amended at 43 Ill. Reg. 1537, effective January 15, 2019

56 Ill. Adm. Code 2725.120 Application for Cancellation of Benefit Charges Due to Lack of Notice

a) An Application for Cancellation of Benefit Charges due to lack of notice made pursuant to Section 1508.1 of the Act shall be sufficient only if the following requirements are met:

1. The employer has also filed a timely and sufficient Application for Revision of Statement of Benefit Charges, as provided in Section 2725.100; and

2. The employer specifically alleges in its Application for Cancellation of Benefit Charges that the Agency did not issue one or more of the following Notices within the required time period:

A) A "Notice to Last Employer, Last Employing Unit or Other Interested Party," (See 56 Ill. Adm. Code 2720.130(a)(1)) within 180 days after the date of the initial Finding; or

B) A "Notice of Determination" (BEN-134) (See 56 Ill. Adm. Code 2720.140(a)) under Section 702 of the Act within 180 days after the employer's timely "Notice of Possible Ineligibility" (BIS-22) or letter in lieu thereof (see 56 Ill. Adm. Code 2720.130), or, in the case of a remanded Decision regarding the sufficiency of the employer's protest under Section 702 of the Act, within 180 days after the remanded Decision; or

C) In the case of a "Notice of Determination" (BEN-134) issued under Section 702 of the Act, in which an issue was not adjudicated at the time of the employer's timely "Notice of Possible Ineligibility" (BIS-22) or letter in lieu thereof, because of the individual's failure to file a claim for a week of benefits, within 180 days after the date on which the individual first files a claim for a week of benefits; or

D) A "Notice of Reconsideration of Findings" or "Notice of Reconsideration of Determination" (BEN-134), within 180 days after the date of reconsideration; or

E) A "Notice of Referee's Decision" (See 56 Ill. Adm. Code 2720.270), which allows benefits within 180 days after the date that the appeal was received by the Agency; or

F) Under Section 604 of the Act, a "Notice of Director's Decision" within 180 days after the date of the report and Recommended Decision of the Director's Representative; or

G) With respect to the notice of a decision that the employer is a chargeable employer, pursuant to 56 Ill. Adm. Code 2765, within 180 days after the employer's protest or appeal of such a decision.

b) A citation to Section 1508.1 of the Act or this Section of the Rules need not be made in the Application, nor is it necessary to specifically allege the failure of the Agency to act within 180 days.

Example: The employer meets the requirements of subsection (a)(1) and alleges that the Agency failed to respond to its timely "Notice of Possible Ineligibility" (BIS-22) or letter in lieu thereof by issuing a "Notice of Determination" (BEN-134). If the Agency finds that the allegations contained in the employer's Application for Cancellation of Benefit Charges are true, and 180 days have elapsed since the employer's "Notice of Possible Ineligibility" (BIS-22) or letter in lieu thereof, then the benefit charges in question will be cancelled.

c) The Application for Cancellation of Benefit Charges can be made a part of an Application for Revision of Statement of Benefit Charges provided that the requirements of subsection (a)(2) are satisfied.

d) An Application for Cancellation of Benefit Charges will be denied if an Application for Revision of Statement of Benefit Charges regarding the same benefit charges and based on the same allegation has already been denied.

e) The cancellation of benefit charges will be allowed if it is proven by the employer that:

1. The employer meets the definition of a "party" under 56 Ill. Adm. Code 2720.1; and

2. The Agency failed to issue one or more of the "Notices", as set forth in subsection (a)(2); and

3. The employer has satisfied the requirements of Section 1508 of the Act; and

4. The Agency's actions directly resulted in the payment of benefits to an individual and hence caused benefit charges in accordance with the provisions of Sections 1501, 1501.1, 1502 and 1502.1 of the Act. For the purposes of this Section, the Agency's actions "directly resulted" in the payment of benefits where the Agency fails to respond to a timely, where required, notice from an employer within the time limits set in subsection (a)(2).

Example 1: The employer files a late appeal to the Referee (after expiration of the 30 day appeal period set forth by Section 800 of the Act). Even if the Agency fails to rule on the employer's appeal within 180 days from the date the appeal is filed, the employer's benefit charges will not be cancelled, as the Agency's failure to rule on an issue over which the Referee has no jurisdiction cannot "directly result" in the payment of benefits. This result would be different if the employer proves that its appeal was filed in a timely manner.

Example 2: The employer files a timely "Notice of Possible Ineligibility" (BIS-22) or letter in lieu thereof to which the Agency makes no response within 180 days. Even if the claimant is found to be eligible for benefits, these benefit charges will be subject to cancellation if the other requirements of this Section are met.

f) All of the provisions of Section 1508 of the Act and Section 2725.100 of this Part, applicable to Applications for Revision of Statements of Benefit Charges and not inconsistent with the provisions of Section 1508.1 of the Act and this Section, shall apply to Applications for Cancellation of Benefit Charges under Section 1508.1 of the Act.

Example: The employer must file its timely Application for Revision of Statement of Benefit Charges in response to a Statement of Benefit Charges. If any benefit charges are allowed by the employer to become final, it cannot later request that the benefit charges be cancelled due to its subsequently meeting the requirements of Section 1508.1 of the Act.

History

• Source: Amended at 20 Ill. Reg. 6378, effective April 29, 1996

56 Ill. Adm. Code 2725.125 Elections to Make Payments in Lieu of Contributions and Written Notices of Termination of Election by a Nonprofit Organization or Governmental Entity

a) Elections by a nonprofit organization or governmental entity to make payments in lieu of contributions must be signed and should be made online using MyTax Illinois (mytax.illinois.gov) or on the Department form "Reimburse Benefits in Lieu of Paying Contributions", mailed to the address listed on the form.

b) A nonprofit organization or governmental entity that would like to terminate its election to be reimbursable may do so either online using MyTax Illinois or in writing, mailed to the Illinois Department of Employment Security, in care of the Revenue Division, at the address stated in 56 Ill. Adm. Code 2712.10. There is no special form needed to terminate an election to be reimbursable if submitted by mail. A notice to terminate an election to be reimbursable must be signed, whether submitted online using MyTax Illinois or by mail.

c) An application for review of a Director's order allowing or denying an election to make payments in lieu of contributions and written notices of termination of election must be signed and filed within 15 days after the date of mailing of the order and should be filed online using MyTax Illinois or in writing, mailed to the address listed on the order.

History

• Source: Amended at 49 Ill. Reg. 11135, effective August 20, 2025

Chapter IV Department of Employment Security

Subchapter a General Provisions

Part 2725 Administrative Hearings and Appeals

56 Ill. Adm. Code 2725.200 Filing of Appeal

a) An employing unit may appeal an order or Determination and Assessment of the Director by filing a written petition. The petition must be signed and should be filed online using MyTax Illinois (mytax.illinois.gov) or at the address shown on the order or Determination and Assessment being appealed. The Petition must be filed within 20 days after the Director's order or Determination and Assessment was served on the employing unit, except for orders on application for review of rate determinations, which must be filed within 10 days after the date of service.

b) No special form is necessary to file a petition. However, in addition to the requirements of Section 2725.25, the following must be included:

1. The petition must be in writing, dated and signed; and

2. The petition must set forth the specific parts of the order or Determination and Assessment and when the employing unit disagrees and the specific legal and factual basis for that disagreement.

c) The employing unit may request a prehearing conference.

History

• Source: Amended at 43 Ill. Reg. 1537, effective January 15, 2019

56 Ill. Adm. Code 2725.205 Pre-Hearing Conference

a) The Director's Representative shall, on his own motion or the motion of a party, conduct a pre-hearing conference, if it expedites the hearing. The pre-hearing conference may be in person or by telephone. The Director's Representative shall make a record with all stipulations as part of the pre-hearing conference.

b) During or subsequent to the pre-hearing conference, the petitioner may move to commence the hearing in accordance with Sections 2725.215, 2725.220 or 2725.225. The record shall then be opened and petitioner's waiver of written notice shall be made on the record.

56 Ill. Adm. Code 2725.210 Notice of Hearing

a) The Agency shall schedule a hearing and written notice of the date, place and time of the hearing shall be mailed to the parties, at least 25 days prior to the scheduled hearing.

b) If the hearing is to be conducted by telephone, the notice will so inform the parties and include instructions for informing the agency of the necessary telephone numbers (see Section 2725.220). At least 20 days prior notice shall be given for a telephone hearing.

56 Ill. Adm. Code 2725.215 Preparation for the Hearing

a) Each party shall appear at the hearing before the Director's Representative with such witnesses and/or documents believed necessary to establish a right to relief as set forth in the Petition.

b) The Agency shall provide to a party requiring a foreign language interpreter, at the Agency's expense, an interpreter able to translate verbatim from the witnesses' language to English and vice versa. The Director's Representative will administer an interpreter's oath to any interpreter.

c) Upon request to the Director's Representative assigned to hear the case, a party may inspect the file at a reasonable time and place. The date and name of any person inspecting the file shall be placed on the file jacket.

History

• Source: Amended at 33 Ill. Reg. 9641, effective July 1, 2009

56 Ill. Adm. Code 2725.220 Telephone Hearings

a) The Director's Representative has the authority to schedule a telephone hearing. Any party shall have a right not to participate in a telephone hearing, and any party electing not to participate in a telephone hearing shall be granted an in-person hearing. If a hearing is to be conducted by telephone, the notice shall so inform the parties and include instructions for providing the Agency with any necessary telephone numbers. The in-person presence of some parties or witnesses at the hearing shall not prevent the participation of other parties or witnesses by telephone.

b) A party to a telephone hearing must submit to the Director's Representative, at least 5 days before the date of the scheduled hearing, any documents that are intended to be introduced at the hearing. Copies of the documents must also be provided to any other party prior to the date of the scheduled hearing. All documents submitted to the Director's Representative will be identified on the record.

History

• Source: Amended at 43 Ill. Reg. 6434, effective May 14, 2019

56 Ill. Adm. Code 2725.225 Ex Parte (one Party Only) Communications

a) The Director's Representative shall not initiate ex parte communications, directly or indirectly, in any matter in connection with any substantive issue, with any interested person or party. If the Director's Representative receives any such ex parte communication, including any documents, he shall inform the other parties of the substance of any such oral communication or documents. The other party shall be given an opportunity to review any such ex parte communication.

b) Nothing shall prevent the Director's Representative from communicating ex parte about routine matters such as requests for continuances or opportunities to inspect the file, as long as all parties are informed of the substance of the ex parte communication. The date and type of communication, the persons involved and the results of such routine communications shall be part of the record.

56 Ill. Adm. Code 2725.230 Subpoenas

a) The Director's Representative may issue a subpoena to compel the attendance of a witness or the production of documents when such witness or the production of documents when such witness or document has or contains relevant evidence but is not being presented by the party, witness or holder of a document. A party may also request the Director's Representative to issue a subpoena to compel the attendance of a witness or the production of documents. The request shall be either in writing or on the record and shall:

1. Identify the witness or document sought;

2. State the facts that will be proven by each witness and/or document sought.

b) The Director's Representative shall grant or deny the request, either in writing or on the record. If the Request for Subpoena is granted, the Director's Representative shall, if necessary, reschedule the hearing to a specific date. The Request for Subpoena shall be denied only if the Director's Representative finds that the evidence sought is immaterial, irrelevant or cumulative. If the Request for Subpoena is denied, the Director's Representative shall proceed to conduct the hearing, and the specific reasons for denial of the Request for Subpoena shall be made part of the record on appeal.

c) If a witness fails to obey a subpoena, the party seeking enforcement of the subpoena shall prepare an application to the circuit court of the county in which the subpoenaed witness resides requesting enforcement of the subpoena pursuant to Section 1002 of the Act and shall present the application to the Director's Representative. If satisfied that the subpoena was properly served and that the application is in proper form, the Director's Representative shall sign the application and the party seeking enforcement of the subpoena, or its attorney, may then file and prosecute the application to the circuit court. In such instance, the matter shall be contained pending the outcome of enforcement of the subpoena.

56 Ill. Adm. Code 2725.232 Depositions

a) Where any hearing is pending under this Part, the Director's Representative shall order the taking of a person's deposition, specifying the subject matter to be covered, under oral examination or written questions for use as evidence at the hearing if:

1. It appears to the Director's Representative that the deposition of such person is necessary for the preservation of relevant testimony because of a substantial possibility it would be unavailable at the time of the hearing (i.e. potential witness is moving out of state, incarcerated, etc.); and,

2. Such request is made by a motion of a party who gives notice of this motion to any other parties to the issue and to the Office of Legal Counsel of the Agency.

b) The taking of depositions shall be in accordance with the rules for the taking of depositions in civil cases, and the order for the taking of a deposition may provide that any designated books, papers, documents or tangible objects, not privileged, be produced at the same time and place.

c) Any other parties and the Agency shall have the right to confront and cross-examine any witness whose deposition is taken. The other parties and the Agency may waive such right in writing, filed with the Director's Representative.

d) Depositions shall be taken in the county of residence or of employment of the witness, as specified in Rule 203 of the Rules of the Illinois Supreme Court, unless the witness waives such right in writing.

e) Failure to obey an order for deposition shall result in the same sanctions as provided in Section 2725.230 for failure to comply with a subpoena.

56 Ill. Adm. Code 2725.235 Consolidation or Severance of Proceedings

a) The Director's Representative shall, on his own motion or the motion of a party, consolidate hearings if he finds that hearings involve a common question of law or fact, that consolidation will expedite the hearings, and that no rights of any party will be prejudiced.

b) All parties shall be given notice of the motion to consolidate and opportunity to be heard on the motion.

c) The Director's Representative shall sever cases previously consolidated if it appears that the requirements of subsection (a) are not met.

56 Ill. Adm. Code 2725.237 Adding Necessary Parties

a) The Director's Representative shall add one or more additional parties whenever he finds that it is necessary for the proper disposition of a case. Such additional party or parties shall be given reasonable notice of this action and an opportunity to be heard.

Example: The Director issues a Determination and Assessment based on a finding that Employer A has failed to report and pay contributions on wages that it paid to Mr. Smith. Employer A contends that it did not employ Mr. Smith but that he was employed instead by Employer B. Employer B, which has a lower contribution rate than Employer A, reported the wages of Mr. Smith and paid contributions on those wages so that it is not possible to make a Determination and Assessment against Employer B and then to consolidate the cases. If the Director's Representative finds that it is necessary for the proper disposition of the case, he shall add Employer B as a party, and Employer B shall be given reasonable notice and an opportunity to be heard.

b) Whenever an employing unit believes that it should be added as an additional party in a case pending before the Director's Representative but the Director's Representative has not done so, it shall file a Motion to Intervene. Such Motion shall include arguments in support of such Motion. If the Director's Representative finds that the addition of the employing unit is necessary for the proper disposition of the case, it shall be added as a party. If the Director's Representative finds that the addition of the employing unit is not necessary for the proper disposition of the case, the Motion shall be denied and the reasons therefor noted in the record.

History

• Source: Added at 16 Ill. Reg. 113, effective December 23, 1991

56 Ill. Adm. Code 2725.240 Withdrawal of Petition for Hearing

The employer may voluntarily withdraw his petition by filing a signed written statement with the Director's Representative or by oral statement on the record. Any other parties will receive notice of the withdrawal.

56 Ill. Adm. Code 2725.245 Continuances

All requests for continuances of hearings or pre-hearing conferences must be either in writing or on the record and must set forth the reasons for such request. The Director's Representative to whom the matter was assigned, or the supervisor if the Director's Representative is not available, shall grant a continuance for good cause shown, such as the unavailability of a witness or a party due to accident, illness or circumstances beyond the person's control. In that event, the hearing will be rescheduled to the earliest mutually agreeable time and date and the agency will inform all parties of the date and time of the rescheduled hearing.

56 Ill. Adm. Code 2725.250 Conduct of Hearing

a) The Director's representative will control the hearing, which will be confined to the relevant factual and/or legal issues.

b) At the hearing, the petitioning employer must produce testimony, argument or other evidence to establish that the Director's order or Determination and Assessment is incorrect.

c) Following the testimony of each witness, the witness may be questioned and cross-examined by the opposing party, if any, and then may be questioned and cross-examined by the Director's representative or any other employee of the Department as the Director may designate.

d) It is the duty of the Director's representative to ensure that the party or parties, as appropriate, have full opportunity to present all evidence relevant to the issues before the Director's representative.

e) If any person becomes disruptive or abusive, the Director's representative shall exclude that person from the hearing and the hearing will continue without the participation of the excluded individual. The Director's representative shall render a decision based on all evidence in the record.

f) The Director shall prohibit any person from representing a party in any proceeding under this Part if the Director finds that the person is or has been guilty of violating the Code of Professional Responsibility or Article 8 of the Rules of the Illinois Supreme Court, or has intentionally disregarded the provisions of the Act, rules promulgated under the Act, or written instructions of the Director. The prohibition shall be in writing and shall be applicable for a period not to exceed 120 days after the date the decision is mailed to the party.

History

• Source: Amended at 43 Ill. Reg. 1537, effective January 15, 2019

56 Ill. Adm. Code 2725.255 Rules of Evidence

The rules of evidence as provided in Section 10-40 of the Illinois Administrative Procedure Act [5 ILCS 100/10-40] shall apply. The Director's Representative need not rule on any objection to the introduction of evidence or testimony, but any such objection shall be duly noted and made part of the record.

History

• Source: Amended at 35 Ill. Reg. 6129, effective March 25, 2011

56 Ill. Adm. Code 2725.260 Oral Argument-Memoranda-Post Hearing Documents

a) The Director's Representative shall give each party an opportunity to present oral argument after the evidentiary hearing has been concluded.

b) The Director's Representative shall, either on the record or in writing, if necessary to clarify the issues, require any party to file a memorandum. A party at the conclusion of the hearing may file, either in writing or on the record, a notice of intent to file a memorandum in support of its position. Such memorandum shall include proposed findings of fact and conclusions of law, and the Director's Representative shall set a reasonable schedule for filing any memoranda. Each party filing such memoranda shall furnish a copy thereof to all other parties, at the time of such filing.

56 Ill. Adm. Code 2725.265 The Record

A complete record shall be kept of all proceedings before the Director's Representative, which shall include all items required by Section 10-35 of the Illinois Administrative Procedure Act [5 ILCS 100/10-35].

History

• Source: Amended at 35 Ill. Reg. 6129, effective March 25, 2011

56 Ill. Adm. Code 2725.270 Recommended Decision

a) The Director's Representative shall issue a recommended decision without a hearing when:

1. The Record fails to state a basis for relief under the facts stated or the law;

2. The Petition or revised Petition, Application for review of rate determination, Application for revision of statement of benefit charges, or Claim for refund or adjustment was not filed in a timely manner as provided for in the Act and no issues relating to timeliness have been raised by the petitioner.

b) The Director's Representative, at the conclusion of the hearing, or upon the failure of an appealing party to appear at a scheduled hearing or failure of that party to provide any necessary telephone number or to answer at a designated telephone number at the time of the scheduled hearing as provided in Section 2725.220, shall submit his or her recommended decision to the Director. The recommended decision shall include:

1. A statement of issues involved;

2. Findings of fact;

3. Conclusions of law;

4. A recommended decision.

c) A copy of the recommended decision shall be served upon all parties.

d) The recommended decision shall become the decision of the Director unless objections are filed to the recommended decision in accordance with Section 2725.275.

History

• Source: Amended at 43 Ill. Reg. 6434, effective May 14, 2019

56 Ill. Adm. Code 2725.275 Objections to Recommended Decision

a) Any party shall have the right to file objections to a recommended decision within 20 days after the service of the recommended decision. The objections shall also be served upon the other parties, if any.

b) Objections to a recommended decision shall be sufficient only if they set forth specifically and in detail a basis for relief. Failure to file or set forth an objection in accordance with this Section shall be deemed a waiver of the objection.

c) If the employer failed to appear at the hearing before the Director's Representative or failed to provide any necessary telephone numbers at the time of the scheduled hearing as provided in Section 2725.220 and the employer wants a hearing, he or she must file his or her objections and the facts that show the failure to appear, provide the telephone number or answer the telephone was caused by reasons outside of his or her control, or by circumstances that could not be reasonably foreseen and avoided and that there is a likelihood that a hearing on the merits would result in the relief sought.

d) If an employer receives a recommended decision pursuant to Section 2725.270(a), the employer may also demand a hearing before the Director's Representative to orally present objections. A hearing will be scheduled and shall be limited to the issues set forth in the recommended decision and the objections filed.

e) Upon written request or oral request on the record, within 10 days after service of the recommended decision, the employer shall be granted one 10 day extension of the time for filing objections. Notice of the request must be served upon the other parties, if any.

History

• Source: Amended at 43 Ill. Reg. 6434, effective May 14, 2019

56 Ill. Adm. Code 2725.280 Decision of Director

a) After review of the objections to the recommend decision, the Director shall make his decision and serve notice thereof on the party or parties thereto.

b) The Director may, after review of the objections to the recommended decision, order that a matter be remanded to the Director's Representative for rehearing or to take additional testimony whenever the Director believes that there is a basis for relief as provided in this Part or that the record is incomplete.

c) The Director shall issue a decision at any stage of the proceedings where it appears from the pleadings, the Agency file and other matters of record that a decision awarding all the relief sought by the petitioner should be issued and a hearing on the merits would be unnecessary; provided, however, that such a decision shall not be issued if there are other parties who would be denied due process by the lack of notice and the opportunity to be heard.

56 Ill. Adm. Code 2730.100 Money Value of Board And Lodging, Etc.

a) Except as otherwise provided in this Section, board, lodging or other remuneration in kind received by an individual from his employer for personal services performed by the individual for the employer shall be deemed to be wages paid by the individual's employer. Meals which are given for the convenience of the employer are not remuneration for the performance of personal services and, therefore, are not wages. Meals that are given for the convenience of the employer must be furnished for substantial non-compensatory business reasons rather than as additional compensation to the worker. When the meal is served at the location where the services are performed, it is presumed that the meal is for the benefit of the employer. When the meal is served at a location other than where the service is performed, it is presumed that the meal is not for the benefit of the employer.

1. Example: An individual performs services at a restaurant. The employer does not want the worker to bring food from another restaurant to eat at his establishment. Meals are provided to the worker as a convenience for the employer and, therefore, are not remuneration to the worker for his services. Under such circumstances, the value of the meal is not deemed to be wages.

2. An employer provides ambulance services and always needs to have drivers ready for emergencies. Meals are provided at the dispatch terminal so that drivers will always be available. Under such circumstances, the value of the meals are not deemed to be wages.

3. Whenever a worker is required to work past seven o'clock in the evening, the employer reimburses the worker for her dinner. If the worker has the option of leaving the location where the work is performed for dinner, it is presumed that this meal is not for the benefit of the employer.

4. Whenever a worker is required to work past seven o'clock in the evening, the employer orders dinner brought in for the worker. It is presumed that this meal is for the benefit of the employer.

b) The money value of the remuneration in kind received by the individual shall be the fair market value of such remuneration. "Fair market value" is the cash value of the remuneration which would be reached between a willing buyer and a willing seller. The Director has the authority to determine or approve the fair market value of the remuneration in kind received by the individual, and this value shall be used in determining the wages paid to the individual and in computing contributions due under the Unemployment Insurance Act [820 ILCS 405], hereinafter referred to as "the Act".

c) Where a money value for board, lodging or other remuneration in kind furnished an individual by an employer is agreed upon in a contract of hire, this agreed on amount shall be deemed the fair market money value of such remuneration unless this amount is less than the fair market money value specifically determined by the Director under subsection (b) above.

History

• Source: Amended at 18 Ill. Reg. 14958, effective September 27, 1994

56 Ill. Adm. Code 2730.105 Reporting Gratuities

a) Each employer who employs individuals who customarily receive gratuities from persons other than the employer in the course of their work with the employer shall inform, either orally or in writing, all those individuals of their duty to report currently the amount of the gratuities to the employer, and post a notice, issued by the Director, which may be conveniently read (such as on the employer's bulletin board) by all such individuals. The notice shall be procured by an employer from the Director.

b) Each individual who customarily receives gratuities in the course of his or her work from persons other than his or her employer shall, on the day he or she is paid wages for a pay period by his or her employer, or not later than the next succeeding pay day, submit a written statement or form, in duplicate, to his or her employer concerning the amount of gratuities received during the pay period.

c) The statement or form referred to by subsection(b) shall contain the information required to be listed under Section 6053(a) of the Internal Revenue Code of 1954 (26 USC 1 et seq.). Each employer shall acknowledge the receipt of the statement or form on the duplicate copy and return the copy to the individual, who shall retain it as evidence of the fact that he or she has reported gratuities in accordance with the requirements of this Section. The employer shall retain each original statement or form for a period of three years.

d) Each employer shall include in its regular monthly or quarterly reports, as the case may be, to the Director the amount of gratuities reported to it by each individual under subsection (b); provided, however, that in the event the employer shall deem the amount so reported by the individual to be in excess of the amount of gratuities actually received by the individual, the employer shall attach to its monthly or quarterly report a statement indicating the amount reported by the individual, the amount reported by the employer, the difference between those amounts, and the basis for the employer's belief that the differences were not actually received by the individual.

e) If, for any reason, the employer fails to obtain from the individuals in its employ the amount of gratuities received by such individuals, the employer shall estimate the amounts of such gratuities. The employer shall estimate the amount of the gratuities as the greater of 8% of the gross receipts for service provided by the individual or the applicable federal minimum wage (29 USC 206 et seq.) times the number of hours worked by the individual.

History

• Source: Amended at 37 Ill. Reg. 7432, effective May 14, 2013

Chapter IV Department of Employment Security

Subchapter b Coverage of Unemployment Insurance Act

Part 2730 Wages

56 Ill. Adm. Code 2730.130 Liability for Contributions and Reporting of Sick Pay

a) Sick pay is any amount paid to an employee for any period during which the employee is temporarily absent from work because of injury, sickness, or disability. Except as provided in subsection (b), sick pay paid with respect to employment by employers and third parties is wages under Sections 234 and 235 of the Act and subject to the payment of contributions. Determination of the individual or entity liable for reporting wages and paying contributions on sick pay depends on whether the sick pay is paid by the employer, by an agent of the employer, or by a third party that is not the employer's agent. Except as provided in subsection (d), the entity or individual who pays the sick pay is responsible for reporting those payments as wages and paying contributions to the Department.

b) The following payments, made to, or on behalf of, an individual or any of his or her dependents under a plan or system established by an employer that makes provision generally for individuals performing services for him or her (or for such individuals generally and their dependents) or for a class or classes of such individuals (or for a class or classes of such individuals and their dependents), are not "wages" subject to the payment of contributions:

1. payments made under a workers' compensation law;

2. payments made on account of medical or hospitalization expenses in connection with sickness or accident disability;

3. payments made on account of death;

4. payments made on account of sickness or accident disability made by an employer to or on behalf of an employee after the expiration of 6 calendar months following the last calendar month in which the employee worked for the employer.

c) If an employee receives a payment on account of sickness or accident disability that is not made under a workers' compensation law or a statute in the nature of a workers' compensation Act, the payment is not excluded from "wages" even if the payment must be repaid if the employee later receives a workers' compensation award or an award under a statute in the nature of a workers' compensation Act with respect to the same period of absence from work.

d) Except when the payments do not constitute "wages" (see subsection (b)), and except as provided in subsection (e), a third party payor is the employer for purposes of reporting wages and paying contributions, unless all of the conditions in subsections (d)(1) through (4) are met.

1. The last employer for whom the individual worked prior to becoming sick or disabled or for whom the individual was working at the time the individual became sick or disabled made contributions on behalf of the individual to the plan or system under which the individual is paid.

2. There is an agreement between the third party payor and the employer that the employer will be required to report the wages and pay the contributions.

3. The third party payor notifies the employer at least six working days prior to the end of the month following the preceding calendar quarter (or the preceding month in the case of an employer subject to 56 Ill. Adm. Code 2760.125(a)(1)) of the Social Security account numbers, employee names, and amount of sickness or accident disability payments made during the month or calendar quarter, as the case may be.

A) For the purposes of determining timeliness of the notice, the provisions of 56 Ill. Adm. Code 2765.60 shall apply;

B) A notification that contains the required information and that has been made by a third party to an employer, as required by the Federal Insurance Contributions Act (26 USC 1501 et seq.) will be sufficient notification under this Part.

4. The employer reports the wages pursuant to Section 2760.125, and includes the wages in the calculation and payment of contributions.

e) A third party making a payment on account of sickness or accident disability to an individual as agent for the employer or making such a payment directly to the employer shall not be treated as the employer with respect to the payments unless the agency agreement so provides. The determining factor as to whether a third party is an agent of the employer is whether the third party bears any insurance risk.

1. If the third party bears no insurance risk and is reimbursed on a cost plus fee basis, the third party is an agent of the employer even if the third party is responsible for making determinations of eligibility of the individual employees of the employer for payments on account of sickness and accident disability.

2. If the third party is paid an insurance premium and not reimbursed on a cost plus fee basis, the third party is not an agent of the employer, but the third party is treated as the employer, as provided in subsection (d).

f) For purposes of subsection (b), a dependent of an individual is the individual's husband or wife, children and any other member of the individual's immediate family as defined in 18 USC 115(c)(2).

g) Except for any wages paid to an individual for services actually performed in employment of the third party payor, a third party payor that is liable for purposes of reporting wages and paying contributions for payments made on account of sickness and accident disability is not the last 30-day chargeable employer for purposes of Section 1502.1 of the Act.

History

• Source: Amended at 43 Ill. Reg. 6442, effective May 14, 2019

56 Ill. Adm. Code 2730.150 Payments Under A Cafeteria Plan

Payments which are not taxable for federal income tax purposes as part of a cafeteria plan established under Section 125 of the Internal Revenue Code of 1986 are not included in "wages", as defined in Section 234 of the Act (Ill. Rev. Stat. 1989, ch. 48, par. 344), to the extent that (1) the benefit chosen under the plan is specifically excluded under Section 235 of the Act (Ill. Rev. Stat, 1989, ch. 48, par. 345) and (2) under Section 245(C) of the Act (Ill. Rev. Stat. 1989, ch. 48, par. 370(C)) the benefit is not includable in the term "wages" subject to the payment of taxes under the Federal Unemployment Tax Act (FUTA).

a) Example: Payments made under a plan established by an employer generally for individuals in its employ to provide for the payment of medical insurance premiums which would not be includable in gross income for federal income tax purposes under Section 125 of the Internal Revenue Code of 1986 are not includable as wages because there is a specific exclusion in Section 235 of the Act for payments on account of medical or hospitalization expenses in connection with sickness or accident disability and such payments are not subject to the payment of taxes under FUTA.

b) Example: Payments made under a plan established by an employer generally for individuals in its employ to provide for the payment of life insurance premiums which would not be includable in gross income for federal income tax purposes under Section 125 of the Internal Revenue Code of 1986 are not includable as wages because there is a specific exclusion in Section 235 of the Act for payments on account of death and such payments are not subject to the payment of taxes under FUTA.

c) Example: Payments made under a plan established by an employer generally for individuals in its employ to provide for the payment of dependent care assistance which would not be includable in gross income for federal income tax purposes under Section 125 of the Internal Revenue Code of 1986 are includable as wages because there is no specific exclusion in Section 235 of the Act for payments on account of dependent care assistance even though they are not subject to the payment of taxes under FUTA.

History

• Source: Added at 15 Ill. Reg. 16964, effective November 12, 1991

56 Ill. Adm. Code 2730.155 Payments Under A Plan Authorized By Section 401(k) of the Internal Revenue Code of 1986

Payments not taxable for income tax purposes under Section 401(k) of the Internal Revenue Code of 1986 are included in "wages", as defined in Section 234 of the Act. Amounts deducted from an individual's taxable income pursuant to salary reduction arrangements, as well as employer contributions made before July 1, 2026, are also "wages". However, beginning with payments made after June 30, 2026, employer contributions to a 401(k) plan are not "wages".

a) Example: An individual is entitled to $1,000 in salary. It is agreed between the employer and the individual that $50 of the individual's salary is to be placed in the employer's 401(k) plan fund, and the individual is paid cash of $950. The 401(k) plan does not provide for employer contributions. The individual's "wages" under Section 234 of the Act are $1,000.

b) Example: An individual is entitled to $1,000 in salary. It is agreed between the employer and the individual that $50 is to be placed in the employer's 401(k) plan fund, and the individual is paid cash of $950. In addition to the aforementioned arrangement, the employer makes a contribution of $50 to the fund on behalf of the individual. With respect to a payment made before July 1, 2026, the individual's "wages" under Section 234 of the Act are $1,050. However, with respect to a payment made after June 30, 2026, the individual's "wages" under Section 234 of the Act are $1,000, since the employer's contribution to the fund on behalf of the individual does not constitute "wages" with respect to a payment made after June 30, 2026.

History

• Source: Amended at 50 Ill. Reg. 2143, effective February 2, 2026

Chapter IV Department of Employment Security

Subchapter c Rights and Duties of Employers

Part 2732 Employment

56 Ill. Adm. Code 2732.125 Requirement That "four or More" Employees of a Nonprofit Organization Perform Services Within This State

In applying Section 211.2 of the Act [820 ILCS 405], only individuals performing services in this State shall be included in determining whether the nonprofit organization has had four or more individuals in employment.

EXAMPLE: Organization X is a nonprofit organization, as defined in section 501(c)(3) of the Internal Revenue Code of 1986, and is exempt from income tax under section 501(a) of that Code. It maintains its national headquarters in Madison, Wisconsin, where it employs 10 persons. It also maintains a branch office in Chicago, where it employs one worker. The services of the one worker in Chicago shall not constitute employment in Illinois because this organization does not have 4 or more individuals in employment in Illinois.

History

• Source: Amended at 43 Ill. Reg. 6449, effective May 14, 2019

56 Ill. Adm. Code 2732.200 Section 212 of the Act – Services in Employment

a) In determining whether services performed by an individual for an employing unit are employment, as defined by Section 212 of the Unemployment Insurance Act (the Act) [820 ILCS 405/212], the Agency shall, when applicable to a particular factual situation:

1. Review written agreements between the individual and the employing unit;

2. Interview the individual or employing unit;

3. Obtain statements of other persons with relevant information;

4. Examine regulatory statutes governing the organization, trade or business;

5. Examine the books and records of the employing unit; and

6. Make any other investigation necessary to make a determination.

b) The Agency will apply the exceptions specified in the Act to the facts as they exist, and the designation or description which the parties apply to their relationship is not controlling.

c) The mechanics of compensation are not controlling and the fact that an individual is compensated by commission or any payment other than salary does not preclude a determination that the individual is in employment under the Act.

d) The exceptions in Section 212 of the Act are conjunctive, and all three must be proven by the employer to establish the exemption.

e) "Engaged in an independently established trade, occupation, or business" within the meaning of Section 212(C) of the Act means that the individual has a proprietary interest in the business that he or she can sell, give away or operate without hinderance from any other party. While no one factor will determine if an individual is engaged in an independently established trade, occupation, profession or business as set out in Section 212(C) of the Act, the business reality or totality of circumstances will determine the presence of this condition. The following types of factors indicate that the individual is engaged in an independently established trade, occupation, profession, or business, as set out in Section 212(C) of the Act:

1. The individual's interest in the business is not subject to cancellation or destruction upon severance of the relationship;

2. The individual has an investment of capital and owns the capital goods of the business enterprise;

3. The individual gains the profits and bears the losses of the business enterprise;

4. The individual makes his or her services available to the general public or the business community on a continuing basis;

5. The individual includes the individual's services on a Federal Income Tax Schedule as an independent business or profession;

6. The individual performs services for the employing unit under his or her own business name;

7. The individual has a shop or office of his or her own;

8. The employing unit does not represent the individual as an employee of the firm to its customers;

9. The individual hires his or her own helpers or employees, without the employing unit's approval, pays them without reimbursement from the employing unit, and reports their income to the Internal Revenue Service;

10. The individual has an account number with the Agency and reports the wages of his or her workers monthly or quarterly, as the case may be, to the Agency;

11. The individual has the right to perform similar services for others on whatever basis and whenever he or she chooses;

12. The individual maintains a business listing in the telephone directory or in appropriate trade journals;

13. If the services require a license, the individual has obtained and paid for the license in his or her own name.

f) The two factors in Section 212(B) of the Act are in the alternative. Section 212(B) of the Act is satisfied if the service is either outside the usual course of business of the employing unit or performed outside of all the places of business of the employing unit:

1. Services that merely render the place of business more pleasant or are not necessary to the employing unit's business are outside the usual course of business.

EXAMPLE: The services of a window washer engaged by an employing unit whose business is selling woolens are outside the usual course of the business of the employing unit.

2. Because services are performed outside the employing unit's premises does not preclude an individual from being found to be in employment. This decision is based upon the occupation and the factual context in which the services are performed.

A) EXAMPLE: The homes of typists who are typing manuscripts for an employing unit are places of business of the employing unit.

B) EXAMPLE: Any territory in which a salesman represents his or her employing unit's interests is the employing unit's place of business.

g) "Direction or control" within the meaning of Section 212(A) of the Act means that an employing unit has the right to control and direct the worker, not only as to the work to be done but also as to how it should be done, whether or not that control is exercised. The following are illustrative of the types of questions the Department will examine to determine whether "direction or control" exists. The type of business subject to review and the relationship being examined will determine which questions are asked in any given review under this Section. No one question or answer or combination of questions and answers will determine whether direction or control exists but rather the business reality or totality of circumstances will determine if direction or control exists:

1. Does the employing unit issue assignments or schedule work, set quotas or time requirements;

2. Does the employing unit have the right to change the methods used by the worker in performing his or her services;

3. Does the employing unit require the worker to follow a routine or schedule;

4. Does the employing unit require the worker to report to a specific location and/or at regular intervals;

5. Does the employing unit require the worker to furnish a record of his or her time to the firm;

6. Does the employing unit require the worker to perform services a specific number of hours per day or per week;

7. Does the employing unit engage the worker on a permanent basis;

8. Does the employing unit reimburse the worker for expenses incurred;

9. Is the worker eligible for a pension, a bonus, paid vacation or sick pay;

10. Does the employing unit carry workers' compensation insurance on the worker;

11. Does the employing unit deduct Social Security tax from the worker's compensation;

12. Does the employing unit report the worker's income to the Internal Revenue Service on Form W-2;

13. Does the employing unit bond the worker;

14. Does the employing unit furnish the worker with materials and supplies, tools or equipment;

15. Does the employing unit furnish the worker with transportation, samples, a drawing account, business cards, an expense account, or order blanks;

16. Does the employing unit allow the worker to sell noncompetitive lines or engage in other employment;

17. Does the employing unit restrict the worker in terms and conditions of sale and choice of customers;

18. Does the employing unit assign or limit the territory in which the individual performs;

19. Does the employing unit set the price and credit terms for the products or service;

20. Does the employing unit reserve the right to approve orders or contracts;

21. Does the employing unit have a right to discharge;

22. Does the employing unit require attendance at meetings or training courses;

23. Does the employing unit have the right to appoint the individual's supervisors;

24. Does the employing unit have the right to set rules and regulations;

25. Does the employing unit purport to guarantee the product or service performed;

History

• Source: Amended at 37 Ill. Reg. 7440, effective May 14, 2013

56 Ill. Adm. Code 2732.203 The Effect of Regulation by a Governmental Entity on "direction or Control" Under Section 212 of the Act

In determining whether direction or control exists, the Agency shall consider the factors set forth in Section 2732.200. Regulation or licensing of a person, organization, trade or business by a governmental entity or use of the terms "direction" and/or "control" in a regulatory or licensing requirement shall not, by operation of law or "per se", constitute a showing of "direction or control" for the purpose of Section 212 of the Act or Section 2732.200(g).

History

• Source: Amended at 16 Ill. Reg. 8173, effective May 18, 1992

56 Ill. Adm. Code 2732.205 Owner-Operators of Motorized Vehicles

a) Section 212.1 of the Act [820 ILCS 405] applies only to services performed on or after August 8, 1995.

b) The burden of proving that services are exempt, under Section 212.1, from the Act's definition of "employment" rests with the person or entity to which the individual is contracted to perform the services.

c) Section 212.1 applies only to services an individual performs as an operator of a truck, truck-tractor or tractor.

EXAMPLE: Smith performs services for Company A, which is licensed by the Illinois Commerce Commission as a motor carrier of personal property. These services consist entirely of loading and unloading trucks at Company A's loading dock. Section 212.1 of the Act does not exempt Smith's services for Company A from the Act's definition of "employment".

d) For purposes of applying Section 212.1:

1. "Truck" has the meaning ascribed to it in Section 1-211 of the Illinois Vehicle Code [625 ILCS 5].

2. "Truck-tractor" has the meaning ascribed to it in Section 1-212 of the Illinois Vehicle Code.

3. "Tractor" has the meaning ascribed to "road tractor" in Section 1-178 of the Illinois Vehicle Code.

4. "Family member" means any parent, sibling, child, sibling of a parent, or any of the foregoing relations by marriage or civil union.

5. A person or entity owns, controls or operates another entity when:

A) by virtue of its ownership interest in that other entity, it has the power to direct the management of the other entity;

B) by virtue of its ownership interest in that other entity combined with the ownership interest of one or more others, it actually directs, by itself or in conjunction with others, the management of the other entity; or

C) it has responsibility for overseeing the day-to-day operations of that other entity.

6. Ownership, control or operation may be through any one or more natural persons or proxies, powers of attorney, nominees, proprietorships, partnerships, associations, corporations, trusts, joint stock companies or other entities or devices or any combination of these.

7. "Person or entity" means a sole proprietorship, partnership, association, corporation or any other legal entity.

8. A requirement imposed by a governmental regulatory or licensing agency with respect to services an individual performs as an operator of a truck, truck-tractor or tractor is not a requirement imposed on the individual by any person or entity to which the individual is contracted to perform the services.

e) Section 212.1(a)(1) of the Act

Section 212.1(a)(1) is not satisfied unless:

1. The services are performed by an individual who is registered or licensed as a motor carrier of real or personal property by the Illinois Commerce Commission, US Department of Transportation, or any successor agencies; or

2. Both:

A) The individual performing the services is doing so under an owner-operator lease contract; and

B) The person or entity with which the individual is contracted to perform the services is registered or licensed as a motor carrier of real or personal property by the Illinois Commerce Commission, US Department of Transportation, or any successor agencies.

EXAMPLE: Jones, who owns her own pickup truck, works for ABC Hardware Store. As part of the regular course of Jones' work for ABC, she uses her pickup truck to make deliveries to customers. Neither Jones nor ABC is licensed or registered as a motor carrier of property. Section 212.1 of the Act does not exempt the delivery services Jones performs for ABC from the Act's definition of "employment."

f) Section 212.1(a)(2) of the Act

Section 212.1(a)(2) is not satisfied unless both subsections (f)(1) and (2) of this Section are satisfied.

1. The individual performing the services must be able, with reasonable notice if required by the contract, to terminate the lease contract with the person or entity to which the individual is contracted to perform the services, prior to the termination date specified in the contract, without incurring any legal or equitable liability to that person or entity other than liability for damage to the property being carried or damage or injury caused as a result of the operation of the truck, truck-tractor or tractor.

A) EXAMPLE: The lease contract between Smith and Motor Carrier A extends from January 1, 1997 through June 30, 1997 and provides that Smith's terminating the contract prior to June 30, 1997, under any circumstances, will result in Smith's being liable for liquidated damages determined according to a formula specified in the contract. Section 212.1 of the Act does not exempt the services Smith performs pursuant to the contract from the Act's definition of "employment" because Smith does not have the right to terminate the contract as contemplated by Section 212.1(a)(2) of the Act.

B) EXAMPLE: The lease contract between Jones and Motor Carrier C extends from January 1, 1997 through June 30, 1997, but provides that Jones may terminate the lease contract prior to June 30, 1997, without incurring any liability to C other than liability for damage to the property being carried or damage or injury caused as a result of the operation of Jones' truck, on the condition that Jones provides C with reasonable notice of termination. If Jones terminates the contract without providing C with reasonable notice, Jones will be liable for liquidated damages determined in accordance with a formula specified in the contract. Under these facts, absent any other evidence that indicates C has failed to satisfy the requirements of subsections (e) through (k), the services Jones performs for C are exempt from the Act's definition of "employment".

2. Following the termination of the lease contract, the individual must be able to perform the same or similar services for others, on whatever basis and whenever he or she chooses, without incurring any legal or equitable liability to the person or entity to which the individual was contracted to perform the services under the terminated lease contract.

EXAMPLE: The lease between Davis and Motor Carrier B provides that, upon termination of the contract, Davis shall not, for a period of six months, perform services as an operator of a truck, truck-tractor or tractor for any other motor carrier located within a 90-mile radius of B's main office. The provision is enforceable by injunction. Section 212.1 of the Act does not exempt the services Davis performs pursuant to the contract from the Act's definition of "employment".

g) Section 212.1(a)(3) of the Act

Section 212.1(a)(3) is not satisfied unless the person or entity to which the individual is contracted to perform the services imposes no requirements on the individual to perform the services, or be available to perform the services, at a specific time or times, according to a specific schedule or for a specified number of hours. The person or entity is not considered as having imposed such a requirement when the person or entity informs the individual performing the services of a pickup or delivery time specified by the shipper or receiver of the property to be transported.

1. EXAMPLE: Adams telephones Motor Carrier A at 8:00 A.M. each day Adams is available to provide truck driving services to see whether A has any work for Adams. After being informed that there is work, Adams must make himself available to perform the work by 9:00 A.M. If Adams fails to make himself available by 9:00 A.M., Motor Carrier A will enter a demerit on his personnel records. If Adams accumulates five demerits during a year, Motor Carrier A will terminate its relationship with Adams. Section 212.1 of the Act does not exempt the services Adams performs for Motor Carrier A from the Act's definition of "employment".

2. EXAMPLE: Motor Carrier B telephones Smith in each of five consecutive weeks to offer Smith work providing truck driving services for B. Each time, Smith indicates he is not interested. B does not contact Smith after that. By itself, B's decision not to attempt to do further business with Smith, an individual who has consistently refused B's offers of work, is not evidence that B has imposed any requirements on Smith to perform services, or be available to perform services, at a specific time or times, according to a specific schedule or for a specified number of hours.

3. EXAMPLE: ABC Produce Company has contracted with XYZ Trucking Company to deliver produce to various wholesalers every Tuesday, Thursday and Saturday; ABC has instructed XYZ the produce must be delivered to each wholesaler no later than 4 A.M. Jones is to perform the services for XYZ as the operator of a truck, transporting produce from ABC. XYZ informs Jones of the 4 A.M. deadline imposed by ABC. It is understood that Jones' failure to meet the deadline may jeopardize his ability to drive for XYZ again. The deadline was specified by the shipper. The fact that a carrier may be reluctant to transact future business with a driver who has failed to meet the shipper's deadline does not, by itself, indicate the carrier has failed to satisfy Section 212.1 of the Act. Under these facts, absent any other evidence that indicates XYZ has failed to satisfy the requirements of subsections (e) through (k) of this Section, the services Jones performs for XYZ are exempt from the Act's definition of "employment".

4. EXAMPLE: White operates a truck for the ABC Produce Company. ABC instructs White that produce picked up from ABC's terminal must be delivered to XYZ Wholesaler by 4 A.M. on the delivery date. It is understood that White's failure to meet the deadline may jeopardize his ability to drive for ABC again. The fact that ABC may be reluctant to transact future business with a driver who has failed to meet the delivery time ABC, as the shipper, has specified does not by itself indicate ABC has failed to satisfy Section 212.1 of the Act. Under these facts, absent any other evidence that indicates ABC has failed to satisfy the requirements of subsections (e) through (k) of this Section, the services White performs for ABC are exempt from the Act's definition of "employment".

5. EXAMPLE: Under a contract between Reynolds and ABC Construction Company, Reynolds is to deliver asphalt to a specified ABC construction site at 8 A.M. on the designated day. Timely delivery of asphalt will require Reynolds to pick up the asphalt from the location specified by ABC no later than 7 A.M. It is understood that Reynolds' failure to pick up and deliver the asphalt on time may jeopardize his ability to drive for ABC again. The fact that ABC may be reluctant to transact future business with a driver who has failed to meet the pickup and delivery times ABC, as the receiver, has specified does not, by itself, indicate ABC has failed to satisfy Section 212.1 of the Act. Under these facts, absent any other evidence that indicates ABC has failed to satisfy the requirements of subsections (e) through (k) of this Section, the services Reynolds performs for ABC are exempt from the Act's definition of "employment".

h) Section 212.1(a)(4) of the Act

Section 212.1(a)(4) is not satisfied unless:

1. the individual performing the services leases or holds title to the truck, truck-tractor or tractor; and

EXAMPLE: Smith operates a truck for ABC Trucking Company. ABC holds title to the truck. Section 212.1 of the Act does not exempt the services Smith performs for ABC from the Act's definition of "employment".

2. the individual or entity from which the truck, truck-tractor or tractor is leased or that holds a security or other interest in the truck, truck-tractor or tractor is not:

A) the person or entity to which the individual operating the truck, truck-tractor or tractor is contracted to perform the services; or

B) owned, controlled or operated by or in common with, to any extent, directly, or indirectly, the person or entity to which the individual operating the truck, truck-tractor or tractor is contracted to perform the services or a family member of a shareholder, owner or partner of the person or entity with which the individual is contracted to perform the services.

i) EXAMPLE: Adams operates a truck for XYZ Trucking Company, a corporation in which Jones is the majority shareholder. While Adams holds title to the truck, ABC Trucking Company, of which Jones is the sole proprietor, holds a lien on Adams' truck. Section 212.1 of the Act does not exempt the services Adams performs for XYZ from the Act's definition of "employment", since ABC is owned or controlled in common with XYZ.

ii) EXAMPLE: Madison operates a truck for XYZ Trucking, a corporation in which Jefferson is a 5% shareholder. Madison holds title to the truck, but ABC Finance Company, which is managed by the brother of Jefferson's father-in-law, holds a lien on the truck. Section 212.1 of the Act does not exempt the services Madison performs for XYZ from the Act's definition of "employment", since the individual who operates ABC is a family member of a shareholder of XYZ.

iii) EXAMPLE: ABC Trucking Company, a corporation, is being audited by the Department to determine, among other items, whether services that Jones provided for ABC were "employment" for purposes of the Act. ABC demonstrates that Jones held title to the truck he operated in service to ABC while he was performing the services for ABC. ABC also provides a written statement, signed by an owner or officer of ABC and attesting that the owner or officer has made reasonable inquiries into the matter and, to the best of the owner's or officer's knowledge, while Jones was performing the services for ABC, ABC did not have any interest in Jones' truck; no individual or entity that might have held an interest in Jones' truck was owned, controlled or operated by or in common with, to any extent, directly or indirectly, ABC; and no individual or entity that might have held an interest in Jones' truck was owned, controlled or operated by or in common with, to any extent, directly or indirectly, a family member of a shareholder of ABC. The auditor is not aware of any evidence that contradicts the written statement. These facts indicate that Section 212.1(a)(4) of the Act is satisfied with respect to the services Jones performed for ABC.

i) Section 212.1(a)(5) of the Act

1. Section 212.1(a)(5) is not satisfied unless the individual operating the truck, truck-tractor or tractor pays all costs of licensing and operating the truck, truck-tractor or tractor. Section 212.1(a)(5) is not satisfied if the costs of licensing or operating the truck, truck-tractor or tractor are separately reimbursed by an individual or entity other than the individual operating the truck, truck-tractor or tractor. Costs not directly associated with the operation or licensing of the truck, including but not limited to telephone charges, expenses related to the loading or unloading of cargo and workers' compensation premiums with respect to the operator of a truck, truck-tractor or tractor do not constitute costs of licensing or operating the truck, truck-tractor or tractor.

A) EXAMPLE: Smith operates a truck for ABC Trucking Company. At the end of each week in which Smith has performed services for ABC, the company furnishes Smith a check, accompanied by a statement itemizing the licensing and operational expenses for which Smith is being reimbursed, including wear and tear on Smith's truck. Section 212.1 of the Act does not exempt the services Smith performs for ABC from the Act's definition of "employment".

B) EXAMPLE: Adams operates a truck for XYZ Trucking Company, which furnishes Adams with a company debit card Adams may use to purchase fuel. XYZ covers all approved charges against the debit card and does not charge them back to Adams. Section 212.1 of the Act does not exempt the services Adams performs for XYZ from the Act's definition of "employment".

C) EXAMPLE: Jones operates a truck for XYZ Trucking Company. At the end of each week in which Jones has performed services for XYZ, the company furnishes Jones with a check. Jones deposits a portion of the payment received from XYZ in a checking account she maintains to cover the costs of operating the truck. Under these facts, absent any other evidence that indicates that XYZ has failed to satisfy the requirements of subsections (e) through (k) of this Section, the services Jones performs for XYZ are exempt from the Act's definition of "employment".

D) EXAMPLE: Reynolds operates a truck for ABC Trucking Company. At the end of each week in which Reynolds has performed services for ABC, the company furnishes Reynolds with a check, based on a flat per mile fee. There is no indication that any portion of the fee is intended as a separate reimbursement to cover any costs directly associated with operating or licensing Reynolds' truck. Under these facts, absent any other evidence that indicates that ABC has failed to satisfy the requirements of subsections (e) through (k) of this Section, the services Reynolds performs for ABC are exempt from the Act's definition of "employment".

E) EXAMPLE: Smith operates a truck for ABC Construction Company. At the end of each week in which Smith has performed services for ABC, the company furnishes Smith with a check, based on an hourly fee for his services. There is no indication that any portion of the check is intended as a separate reimbursement to cover any costs directly associated with operating or licensing Smith's truck. Under these facts, absent any evidence that indicates ABC has failed to satisfy the requirements of subsections (e) through (k) of this Section, the services Smith performs for ABC are exempt from the Act's definition of "employment".

F) EXAMPLE: ABC Trucking Company pays for a customized paint job for the truck of any driver who drives over 1,000,000 miles for it without an accident, as long as the driver owns the truck. While technically, the cost of painting a truck may be considered an operating cost, the principal purpose of the payments in this case is not to reimburse the driver for operating costs but to reward his or her safe driving record. Under these facts, absent any other evidence that indicates that ABC has failed to satisfy the requirements of subsections (e) through (k) of this Section, the services the driver performs for ABC are exempt from the Act's definition of "employment".

2. This subsection (i) does not apply if federal or State law or regulation requires that the costs of licensing or operating the truck, truck-tractor or tractor be paid by the person or entity to which the individual operating the truck, truck-tractor or tractor is contracted to perform the services.

j) Section 212.1(a)(6) of the Act

1. Section 212.1(a)(6) is not satisfied unless:

A) the individual performing the services offers or advertises his or her services to the public; and

B) the individual performing the services maintains his or her own business identity.

2. Compliance with subsection (j)(1) can be demonstrated by the individual displaying his or her name on the truck, truck-tractor or tractor, or otherwise.

EXAMPLE: Smith has his name and address painted on the doors of his truck. While operating his truck in the performance of services for XYZ Trucking, Smith also has affixed to his truck an identification device indicating he is hauling for XYZ. There is nothing on the truck to indicate Smith does not offer his services to the public. Under these facts, absent any other evidence that indicates XYZ has failed to satisfy the elements of subsections (e) through (k) of this Section, the services Smith performs for XYZ are exempt from the Act's definition of "employment".

k) Section 212.1(a) of the Act is not satisfied if, as a condition for retaining an individual's services as an operator of a truck, truck-tractor or tractor, the person or entity to which the individual is contracted specifies the person or entity from which the individual is to purchase the truck, truck-tractor or tractor.

1. EXAMPLE: Smith operates a truck for ABC Trucking Company. The truck was purchased from XYZ Company, from which ABC requires anyone who wishes to drive for ABC to purchase his or her truck. Section 212.1 of the Act does not exempt the services Smith performs for ABC from the Act's definition of "employment".

2. EXAMPLE: Jones operates a truck for XYZ Trucking Company. Jones purchased the truck from Smith. Previously, Adams, the owner of XYZ, had advised Jones that Smith was interested in selling the truck. Adams had also indicated that, based on what he knew about the truck, he would have bought it if he had been in the market for a truck. However, at no time did Adams indicate that Jones' ability to perform services for XYZ was dependent upon Jones' purchasing a truck from Smith. Under these facts, absent any other evidence that indicates that XYZ has failed to satisfy the requirements of subsections (e) through (k) of this Section, the services Jones performs for XYZ are exempt from the Act's definition of "employment".

History

• Source: Amended at 43 Ill. Reg. 6449, effective May 14, 2019

56 Ill. Adm. Code 2732.210 Mandatory Jury Service

Mandatory service on a jury shall not constitute employment under the Act, nor shall payments made for those services constitute wages subject to the payment of contributions.

EXAMPLE: A county requires that all registered voters, except those exempted by law, be available to serve on juries for the county court system. The jurors are paid on a per diem basis for their services. These services are not voluntary and are compelled by law. Therefore, pursuant to this Section, the services shall not constitute employment, nor shall the per diem payments constitute wages.

History

• Source: Amended at 43 Ill. Reg. 6449, effective May 14, 2019

56 Ill. Adm. Code 2732.215 Exemption from the Definition of Employment for Participants in the Americorps Program

Activities performed by an individual as a "participant", as that term is used in the National and Community Service Act of 1990, as amended (42 U.S.C. Sections 12501 et seq.), shall not be considered to be in employment under the Act [820 ILCS 405], and payments made to the individual for such activities shall not constitute wages subject to the payment of contributions.

History

• Source: Added at 21 Ill. Reg. 9456, effective July 2, 1997

56 Ill. Adm. Code 2732.220 Exemption from the Definition of Employment for Direct Sellers of Consumer Goods

a) For the purpose of applying Section 217(b) of the Act [820 ILCS 405/217(b)], the following terms have the meanings set forth below.

1. "Consumer product" means both tangible and intangible (e.g., a subscription for cable television service) personal property which is distributed in commerce and which is normally used for personal, family or household purposes (including any such property intended to be attached to or installed in any real property without regard to whether it is so attached or installed). The term "consumer product" does not include any product used in the manufacture of another product to be distributed in commerce or any product used only incidentally in providing a service (e.g., insecticide used in a pest control service, materials used in an appliance repair business). Where the sale of the consumer product includes the sale of a service (such as installation), such installation shall be considered incidental to the sale of the consumer product, and, therefore, not effect the exemption if the value of the installation is less than 10 per cent of the cost of the total purchase price (including installation).

2. A transaction is on a "buy-sell basis" if the salesperson is entitled to retain part or all of the difference between the price at which the salesperson purchases the product and the price at which he sells the product to the consumer as part or all of the remuneration for the services.

3. A transaction is on a "deposit-commission basis" if the salesperson is entitled to retain part or all of a purchase deposit paid by the consumer in connection with the transaction as part or all of the salesperson's remuneration for services.

4. "Permanent retail establishment" is any retail business operating in a structure or facility that remains stationary for a substantial period of time to which consumers go to purchase consumer goods. Examples of these establishments are grocery stores, hardware stores, clothing stores, hotels, restaurants, drug stores and newsstands.

Example: A vendor who sells consumer products in a parking lot or other property which is near to or serving a sports arena or other amusement area pursuant to an agreement which grants to the vendor or to another entity for which the vendor provides service the right to sell consumer products on such property sells consumer products in a permanent retail establishment, regardless of whether the sale is made within a permanent structure.

b) The "written contract" requirement is not met unless the contract specifically states that the individual will not be treated as an employee for Federal tax purposes. It will not be sufficient that the contract merely state that the individual will not be treated as an employee.

c) Services provided prior to the later of the effective date or the date of execution of the written contract shall not be exempt under Section 217(b) of the Act.

d) The "substantially all the remuneration" requirement of Section 217(b) is satisfied if at least 90 per cent of the total remuneration, including advances and draws, received by the individual for the calendar year from that employing unit for performing such services is directly related to sales or other output rather than to the number of hours worked. Advance or draw shall not include monies which, pursuant to a binding written contract, must be repaid by the individual directly or indirectly (including by a debit against the individual's account with the employing unit).

History

• Source: Amended at 21 Ill. Reg. 9456, effective July 2, 1997

56 Ill. Adm. Code 2732.225 Exemption from the Definition of Employment for Freelance Editorial or Photographic Work

a) For the purpose of applying Section 225(B) of the Act, the following terms have the meanings set forth in this subsection (a).

1. "Freelance" means that an individual has a right to make his or her services available to the general public on an ongoing basis as distinguished from being required to perform services exclusively for one individual or entity.

EXAMPLE 1: Newspaper A needs a photographer to provide pictures of a presidential visit to the State Fair. The newspaper contracts with a Springfield photographer who regularly contracts with Newspaper A and other newspapers for specific assignments. This photographer is providing freelance services to this newspaper.

EXAMPLE 2: Newspaper A contacts a former tennis pro turned sports writer to cover the U.S. Open tennis tournament. The assignment is for a three week period. Newspaper A allows the sports writer to take on assignments from other sources provided they do not interfere with his coverage of the Open. This writer is providing freelance services to this newspaper.

2. "Editorial" means work pertaining to the literary or artistic activities or contents of a newspaper as distinguished from the newspaper's business and advertising activities.

EXAMPLE 1: Professor A is a world authority on economic theory C. Newspaper B hires professor A to write a column that explains why the President must adopt economic theory C as part of his reelection strategy. Professor A is performing editorial work for the newspaper.

EXAMPLE 2: Newspaper A wishes to print a story about a local fair. It hires a resident of the local area to write a column about the fair. The writer of this story is performing editorial work for the newspaper.

EXAMPLE 3: Newspaper A is considering raising its advertising rates. Therefore, it hires a consultant to examine all local media advertising rates and recommend a course of action. This consultant is not performing editorial services for the newspaper.

b) The application of Section 225(B) of the Act is limited to services performed for a newspaper. Freelance editorial or photographic services performed for a magazine do not fall within this exception.

History

• Source: Amended at 43 Ill. Reg. 6449, effective May 14, 2019

56 Ill. Adm. Code 2732.227 Exemption for the Delivery or Distribution of Newspaper or Shopping News to the Ultimate Consumer

a) For the purpose of applying Section 225(C) of the Act:

1. The "substantially all the remuneration" requirement is satisfied if at least 75% of the total remuneration received by the individual for the calendar quarter from the employing unit claiming the exemption is directly related to sales, "per piece" fees, or other output rather than to the number of hours worked. A "base fee" or other payment provided as a reasonable reimbursement for mileage and other expenses will not be included in calculating whether the requirement is met.

EXAMPLE 1: An individual's compensation consists of $.05 for each newspaper that he delivers and a base fee of $50.00 per week. The individual's weekly mileage expense is approximately $25.00 and his other expenses total approximately $10.00. The base fee is a reasonable reimbursement for mileage and other expenses. Therefore, since the base fee is not considered regardless of the number of newspapers delivered, 100%, therefore, "substantially all" of the individual's remuneration is directly related to output.

EXAMPLE 2: An individual's compensation consists of $.05 for each newspaper that he delivers and a flat fee of $100.00 per week. The individual's weekly mileage expense is approximately $20.00 and his other expenses total approximately $7.00. The fee is not a reasonable reimbursement for mileage and other expenses. The difference between the fee and the actual expenses is included in determining whether the "substantially all the remuneration" requirement is met. The individual's output based remuneration would have to be at least 75% of the individual's total pay for the exemption to apply.

2. The "written contract" requirement is not met unless the contract specifically states that the individual will not be treated as an employee for federal tax purposes. It will not be sufficient for the contract to merely state that the individual will not be treated as an employee. Any services provided prior to the date of the execution of the required written contract shall not be exempt under Section 225(C) of the Act; whether these services constituted employment under the Act shall be determined under Section 212 of the Act.

3. Delivery or distribution to the "ultimate consumer" does not include the delivery or distribution for sale or resale, including but not limited to distribution to a newsrack or newsbox, salesperson, newstand or retail establishment. Delivery or distribution to the "ultimate consumer" does not include the distribution for further distribution regardless of subsequent sale or resale.

EXAMPLE 1: Delivery of a single newspaper to a restaurant owner who allows his customers to read the paper is delivery to the ultimate consumer.

EXAMPLE 2: Delivery of several copies of a newspaper to a restaurant which provides a complimentary morning newspaper for its customers is not delivery to the ultimate consumer.

b) Section 225(C) of the Act shall apply to a "delivery agent" that delivers the newspaper or shopping news to the ultimate consumer through one or more agents or carriers.

EXAMPLE: Newspaper A contracts with an individual to deliver its newspapers in a specified area. This individual hires several adult motor route carriers to actually deliver the newspaper. Section 225(C) of the Act applies to both the individual and the adult motor route carriers because they are delivering newspapers to the ultimate consumer.

c) For Section 225(C) of the Act to apply, the majority (more than 50%) of the individual's deliveries of the newspaper or shopping news must be to the ultimate consumer. The majority of deliveries is determined by the number of establishments where deliveries are made, not by the number of newspapers or shopping news delivered to the establishment.

EXAMPLE 1: An individual has a large newspaper distribution route. On this route, 40% of his deliveries are to homes or apartments. The remaining 60% are delivered to stores, restaurants, newsstands and other retail establishments for retail sale. Section 225(C) of the Act does not apply to this individual.

EXAMPLE 2: An individual delivers newspapers to 20 single family homes and to one drugstore. Each home receives one newspaper while 50 newspapers are delivered to the drugstore for resale. Because the number of establishments, not the number of newspapers, determines the majority of deliveries, the individual makes the majority of his deliveries to the ultimate consumer.

History

• Source: Amended at 43 Ill. Reg. 6449, effective May 14, 2019

56 Ill. Adm. Code 2732.230 Domestic Service

a) For purposes of applying Sections 211.5 and 215 of the Act [820 ILCS 405/211.5 and 215], the following terms have the meanings set forth in this subsection (a):

1. A "private home" is the fixed place of abode of the individual or family for whom the worker is performing services. A separate and distinct dwelling unit maintained by an individual as a residence, such as a hotel room, boat or trailer, can be a "private home". A room or suite in a nursing home can be a "private home", provided that the facts and circumstances of the particular case indicate that the room or suite is, in fact, the place where the individual retains his residence. A home utilized primarily for the purpose of supplying board or lodging to the public as a business enterprise is not a "private home".

A) EXAMPLE: An individual who travels to the home of the child's parents to provide babysitting services for a child is performing services in a private home, while an individual who provides babysitting services in her own home would not be performing services in a private home.

B) EXAMPLE: A worker who provides cooking services in a bed and breakfast establishment in which the owner resides is not performing services in a private home.

2. A "local college club" or "local chapter of a college fraternity or sorority" does not include an alumni club or chapter.

3. "Domestic service" means service of a household nature, including service performed by cooks, waiters, butlers, housekeepers, housemothers, governesses, maids, valets, babysitters, janitors, launderers, furnacemen, caretakers, handymen, gardeners, footmen, grooms, and chauffeurs of automobiles for family use. Service not of a household nature, such as by a private secretary, nurse, tutor, or librarian, is not domestic service.

EXAMPLE: An individual who performs only caretaking services, such as bathing the individual, combing an individual's hair, reading, arranging bedding and clothing, doing laundry and preparing and serving meals is performing domestic service, even though he may be characterized as a health care worker. Registered or licensed practical nurses, or individuals responsible for providing professional or semiprofessional services such as physical therapy or giving intravenous medication, are not performing domestic service.

b) In determining whether an employing unit has paid $1,000 or more in wages in a calendar quarter for domestic service in a private home, local college club or local chapter of a college fraternity or sorority, all wages paid for domestic service in those locations to all individuals who performed domestic service in those locations for the employing unit are included.

EXAMPLE: Company A provides housekeepers to perform services in private homes. Each individual housekeeper is paid $250 in each calendar quarter by Company A. If 4 or more housekeepers are employed by Company A in a calendar quarter, their services will constitute "employment" under the Act. In order for the services provided to Company A to be excluded from "employment" under Section 211.5 of the Act, the total wages for domestic service paid to all of the housekeepers provided by Company A must be less than $1,000 for the quarter.

c) Domestic service that is performed in other than a private home, local college club or local chapter of a college fraternity or sorority is not subject to the provisions of Sections 211.5 and 215 of the Act. However, it may be excluded from "employment" by the provisions of Section 206 of the Act if the service is not provided for an "employer" under Section 205 of the Act, or it may be excluded from "employment" under Section 212 of the Act.

History

• Source: Amended at 43 Ill. Reg. 6449, effective May 14, 2019

56 Ill. Adm. Code 2732.235 Effect of Section 218 of the Act on the Employment Status of Certain Relatives

a) In interpreting Section 218 of the Act, where the employing unit is a partnership, the term "employment" shall exclude service performed by an individual who has one of the following relationships with respect to each partner: father, mother, or spouse or a child under the age of 18.

Example: Mary Jones and Sally Johnson are partners in a cleaning service. Sam Johnson is employed by the cleaning service. While Mary Jones and Sally Johnson are unrelated, Sam Johnson is under the age of 18 and the son of Mary Jones and is the husband of Sally Johnson. Because a relationship specified in Section 218 of the Act exists between Sam Johnson and each of the partners, his services are excluded from the definition of "employment."

b) For purposes of Section 218 of the Act, the terms "father" and "mother" do not include a father-in-law or a mother-in-law; the term "child" includes only a natural or adopted child, a stepchild or a child who, by court order, is in the custody of the individual(s) claiming the exemption.

Example: Joe's Diner is a partnership whose partners are Joe and Stella Smith, husband and wife. Jack Jones is an employee of the partnership. He is also the father of Stella Smith. The services provided by Jack Jones to the partnership constitute "employment" under the Act. Section 218 of the Act does not apply because Jack Jones does not have one of the specified relationships with Joe Smith.

c) Section 218 of the Act does not apply to a corporation.

Example: Mrs. Murphy is the president and sole shareholder of Corporation A. Mr. Murphy, her husband, is employed by the corporation as a janitor. Section 218 of the Act does not apply in this situation because Mr. Murphy, is employed by the corporation, not by his spouse, Mrs. Murphy.

History

• Source: Added at 18 Ill. Reg. 16355, effective October 24, 1994

56 Ill. Adm. Code 2732.240 Employment Designation of Individuals Determined Eligible for Pandemic Unemployment Assistance (pua)

a) In establishing an individual's eligibility for Pandemic Unemployment Assistance (PUA), created by the federal government in section 2102 of the Coronavirus Aid, Relief and Economic Security Act (CARES Act) (Public Law 116-136), as amended, the Department will determine whether an individual is eligible for regular unemployment insurance benefits or extended benefits under State or federal law, including Pandemic Emergency Unemployment Compensation (PEUC) under section 2107 of the CARES Act, and will review Department records and any documentation provided by the individual to determine whether wages for the individual were reported or earned for the quarters of the base period for the claim.

b) A determination of the Department under this Section that an individual is eligible for PUA shall not constitute a determination that the services performed by the individual fall within an exemption from Section 206 of the Act's definition of "employment", nor shall it foreclose the Department or any court of competent jurisdiction from determining, at any time, with regard to those services, that those services constitute "employment" as that term is defined in the Unemployment Insurance Act.

History

• Source: Added at 44 Ill. Reg. 14679, effective August 27, 2020

56 Ill. Adm. Code 2732.305 Employee Leasing Companies (repealed)

History

• Source: Repealed at 25 Ill. Reg. 2003, effective January 18, 2001

56 Ill. Adm. Code 2732.306 Employee Leasing Company - Obligation to Report the Identities of its Clients

a) A report submitted to the Department in the manner provided for in subsection (e), with the contents required by subsection (b), will satisfy the reporting requirement in Section 206.1(B)(4) of the Act for each month or calendar quarter, as applicable, ending on or after the date of the report's submission. The report will also satisfy the reporting requirements for the month or calendar quarter ending immediately prior to its submission when the employee leasing company's contract with the client took effect in that month or quarter and either:

1. the report is submitted within 30 days after the effective date of the contract; or

2. the last day of the month or quarter is a day on which the Department is closed and the report is submitted on the first succeeding day on which the Department is open.

EXAMPLE: Employee Leasing Company A contracts with Client B to lease employees to Client B, effective July 1, 2001. Client B has a contribution rate of 1.0% for 2001. Employee Leasing Company A has a contribution rate of 4.0% for 2001, and its relationship with Client B meets the conditions set forth in Section 206.1(B)(1), (2) and (3) of the Act. Beginning with the report due for the third quarter of 2001, Employee Leasing Company A reports the leased employees on its wage reports and pays contributions on those wages at its contribution rate. Client B terminates its liability as of July 1, 2001 and stops filing any wage reports. However, the Employee Leasing Company does not report the leasing relationship to the Director until February 1, 2002. As a result, Employee Leasing Company A cannot report the workers in question for the third and fourth quarters of 2001 as its employees. The workers must be reported by Client B. Since timely wage reports were not filed, nor were contributions paid by Client B, penalties will be assessed and interest charged. Waiver of the penalty and interest can be granted only for the reasons set forth in 56 Ill. Adm. Code 2765. Employee Leasing Company A may amend its wage reports to remove the workers and then file for a refund or adjustment as provided in Section 2201 of the Act or request a transfer of contributions from the account of the employee leasing company to the account of the client pursuant to Section 2765.64.

b) Contents of Report

1. In order to satisfy the reporting requirement in Section 206.1(B)(4) of the Act, a report must contain:

A) the name of the client;

B) a general description of the client's business and business locations;

C) the client's unemployment insurance account number (if any); and

D) the effective date of the employee leasing company's contract with the client.

2. The report shall be accompanied by either a power of attorney to represent the client or a certification by an officer or employee of the employee leasing company that the information contained in the report is true and correct to the best of the officer's or employee's knowledge.

c) Whenever the employee leasing relationship between an employee leasing company and its client is terminated, the employee leasing company must report the name of the client, the client's unemployment insurance account number (if any) and the effective date of the termination within 30 days after that date.

d) The terms used in this Section shall have the meanings set forth for them in Section 206.1 of the Act.

e) The notices required by this Section should be submitted online using MyTax Illinois (mytax.illinois.gov) or by mail or facsimile transmission to the Illinois Department of Employment Security, in care of the Revenue Division, attention Employer Services, at the address stated in 56 Ill. Adm. Code 2712.10 (FAX No.: 217-557-1948). A facsimile transmission is subject to 56 Ill. Adm. Code 2712.1 with respect to the risk of non-transmission and the effect of the dates imprinted by the Department's and sender's respective telefax machines.

History

• Source: Amended at 49 Ill. Reg. 11141, effective August 20, 2025

Chapter IV Department of Employment Security

Subchapter c Rights and Duties of Employers

Part 2760 Notices, Records, Reports

56 Ill. Adm. Code 2760.1 Posting and Maintaining Notices

a) Every employer subject to the provisions of the Unemployment Insurance Act [820 ILCS 405] (Act), including every employing unit that has elected, with the approval of the Director, to become an employer subject to the Act, shall post and maintain any printed notices that are furnished by the Director for that purpose.

b) The printed notices shall be posted in conspicuous places in all the establishments of the employer and shall be easily accessible for examination by the worker. The Director will, upon request, supply a sufficient number of duplicate notices to assure that the notices are accessible to all workers.

History

• Source: Amended at 43 Ill. Reg. 6470, effective May 14, 2019

56 Ill. Adm. Code 2760.5 Identification of Workers Covered by the Act

a) Each employer shall ascertain the federal Social Security account number of each worker employed by him or her in employment subject to the Act.

b) The employer shall report the worker's Social Security account number when making any report required by the Director with respect to the worker.

c) If an employer has in his or her employ a worker engaged in employment who does not have a Social Security account number, that employer shall request the worker to show him or her a receipt issued by an office of the Social Security Administration acknowledging that the worker has filed an application for an account number. The receipt shall be retained by the worker. In making any report required by the Director with respect to such a worker, the employer shall report the date of issue of the receipt, its termination date, the address of the issuing office, and the name and address of the worker exactly as shown in the receipt.

d) If a worker fails to report to the employer his or her Social Security account number or fails to show the employer the receipt issued by an office of the Social Security Administration acknowledging that he or she has filed an application for an account number, the employer shall inform the worker that regulations of the Internal Revenue Service (IRS) (26 CFR 31.6011(b)-2), under the Federal Insurance Contributions Act (26 USC 3101-3126), provide that:

1. Each worker shall report to every employer for whom he or she is engaged in employment, his or her federal Social Security account number and his name exactly as shown on the account number card issued by the Social Security Administration;

2. Each worker who has not secured an account number shall file an application for a federal Social Security account number on IRS (Application For A Social Security Account Number) Form SS-5;

A) The application shall be filed on or before the seventh day after the date on which the worker first performs employment for wages, except that the application shall be filed on or before the date the worker leaves the employ of his or her employer if that date precedes the seventh day.

B) Copies of Form SS-5 can be secured at any district office of the Social Security Administration or from any district director;

3. If, within 14 days after the date on which the worker first performs employment for wages for the employer, or on the day on which he or she leaves the employ of the employer, whichever is earlier, the worker does not have a federal Social Security account number, and has not shown the employer a receipt issued to the worker by an office of the Social Security Administration acknowledging that he or she has filed an application for an account number, the worker shall furnish the employer an application of Form SS-5, completely filled in and signed by the worker.

A) If a copy of Form SS-5 is not available, the worker shall furnish the employer a written statement, signed by the worker, including the date of the statement, the worker's full name, present address, date and place of birth, father's full name, mother's full name before marriage, worker's sex and race, and a statement as to whether the worker previously filed an application on Form SS-5 and, if so, the date and place of the filing.

B) Furnishing the employer with an executed Form SS-5, or statement in lieu thereof, does not relieve the worker of his or her obligation to make an application on Form SS-5, as required by subsection (d)(2).

e) The employer shall inform the worker, in instances in which the information is pertinent, that in accordance with IRS regulation 26 CFR 31.6011(b)-2:

1. Any worker who has lost his or her federal Social Security account number card may secure a duplicate card by applying online through the Social Security Administration's website or at any district office of the Social Security Administration;

2. Any worker may have his or her account number changed at any time by applying to a field office of the Social Security Administration and showing good reason for a change;

3. Any worker whose name is changed by marriage or otherwise, or who has stated incorrect information on Form SS-5, should report that change or correction to a field office of the Social Security Administration;

4. Any worker with more than one federal Social Security account number shall report all numbers to the field office of the Social Security Administration nearest the worker's place of employment and to a local employment office.

f) If the worker fails to comply with the requirements enumerated under subsection (d), the employer shall execute a Form SS-5 or a statement, signed by the employer, setting forth as fully and as clearly as practicable the worker's full name, his or her present or last known address, date and place of birth, father's full name, mother's full name before marriage, the worker's sex and race, and a statement as to whether an application for an account number was previously filed by the worker and, if so, the date and place of the filing. This statement or executed Form SS-5, signed by the employer, shall be attached to any report required by the Director with respect to the worker.

History

• Source: Amended at 43 Ill. Reg. 6470, effective May 14, 2019

56 Ill. Adm. Code 2760.10 Filing by Mail

a) Unless otherwise provided, whenever it is required under any provisions of the Act or Rule promulgated thereunder, for any form, report, notice or other document to be received by the Department, the Director, or the Board of Review within prescribed time limits, such requirement is complied with if such form, report, notice or other document is received through the United States mail and the postmark thereon bears a date within the prescribed time limits, provided that said form, report, notice or other document is addressed in accordance with the instructions provided thereon.

b) This Section shall not waive any provision of the Act or Rule promulgated thereunder which requires an individual to file claims or report to an Agency office in person.

56 Ill. Adm. Code 2760.100 Reports and the Report for Household Employers

a) Subject to the provisions of Sections 2760.105 through 2760.150, each employing unit shall make such reports as are prescribed, on forms issued by and required to be returned to the Director. Each employing unit shall complete the forms in accordance with the instructions accompanying the report forms, and return the completed forms to the address specified on the form. Failure to complete a report form in accordance with instructions shall be treated as a failure to complete the form.

b) For purposes of this Part, the Report for Household Employers refers to the report filed pursuant to Section 1400.2 of the Act [820 ILCS 405/1400.2].

History

• Source: Amended at 37 Ill. Reg. 7451, effective May 14, 2013

56 Ill. Adm. Code 2760.105 Reports of Employing Units as to Their Status

a) Any employing unit that commences business in any manner whatsoever, whether by purchase of a business already being operated, by starting a new business, or otherwise, shall, within 30 days after the commencement, file a signed form REG-UI-1 (Report To Determine Liability Under the Illinois Unemployment Insurance Act), or a document that includes the same information.

b) In addition to complying with the requirements of subsection (a), when applicable:

1. any employing unit that succeeds to substantially all of the assets of an organization, trade or business, or of a severable portion of those assets, shall file a signed form UI-1 S&P (Report To Determine Succession) or a document that includes the same information. A report of such a sale or transfer by the successor to a severable portion of the predecessor's organization, trade or business shall not constitute a joint application for the predecessor's experience rating record, unless the report also includes the additional requirements set forth in Section 1507(B)(2) through (3) of the Unemployment Insurance Act [820 ILCS 405] (Act).

2. any employing unit to which trade or business, or a portion of trade or business, is transferred to it by an individual or entity and at the time of the transfer there is any substantial common ownership, management or control of the transferor and transferee shall file form UI-1 S&P (Report to Determine Succession) or a document that includes the same information. A transfer of trade or business includes but is not limited to the transfer of some or all of the transferor's workforce.

c) The reports required under subsections (a) and (b) should be filed online using MyTax Illinois (mytax.illinois.gov) or by mail to: Central Registration Division, Illinois Department of Revenue, PO Box 19030, Mail Code 3-222, Springfield IL 62794-9030. Copies of forms REG-UI-1 and UI-1 S&P are available at that address and at ides.illinois.gov.

History

• Source: Amended at 43 Ill. Reg. 1566, effective January 15, 2019

56 Ill. Adm. Code 2760.110 Employing Unit Terminating Business

a) Any employing unit that terminates business (including dissolution of a partnership), for any reason whatsoever, or transfers or sells substantially all of the assets of the organization, trade or business or a severable portion of those assets to another or changes the trade name of such business shall, within 10 days after such termination, transfer or change of name, give notice in writing of that fact to the Director.

1. If an employer dies, written notice of the employer's death shall be given to the Director by the executor or administrator or other legal representative of the employer's estate within 90 days after the date of death.

2. In the case of bankruptcy or receivership proceedings for the relief of a debtor who is an employing unit, the trustees in bankruptcy, receiver or person designated by order of the court as in control of the assets of the debtor shall give written notice to the Director of such proceedings within 90 days after the commencement of such proceedings.

b) The notice required under this Section may be submitted online using MyTax Illinois (mytax.illinois.gov) or by mail to the Illinois Department of Employment Security, in care of the Revenue Division, at the address stated in 56 Ill. Adm. Code 2712.10. Forms for such notice shall be sent out by the Revenue Division upon request or are available on the Department's website (www.ides.illinois.gov).

c) Notwithstanding the requirements of subsections (a) and (b), an employing unit shall cease to be an employer as of the last day of a calendar quarter in which it ceases to pay wages for services in employment and ceases to have any individual performing services for it if, based on all available evidence, the Director determines that, as of the last day of that quarter, the employing unit has permanently ceased to pay wages for services in employment and permanently ceased to have any individual performing services for it. A termination of coverage under this subsection (c) shall be rescinded as of the date that the employing unit begins, later in the same calendar year or in the succeeding calendar year, to have any individual performing services for it on any part of any day. Any Determination and Assessment issued against the employing unit shall be null and void to the extent it pertains to any quarter during which the employing unit paid no wages for services in employment and had no one performing services for it, as long as that quarter is subsequent to the quarter as of the end of which the employing unit's coverage was terminated pursuant to this subsection (c) and prior to the date, if any, as of which the termination was rescinded or as of which the employing unit otherwise again became an employer.

1. EXAMPLE: Employer A (a sole proprietor) employed B (A's only employee) as a word processor. B left A's employ in September 2003 and A did not hire anyone else thereafter. A filed a contribution and wage report for the third quarter of 2004, but did not file a contribution and wage report for the fourth quarter of that year. A did not file a notice requesting termination of coverage or otherwise inform the Department that A had ceased to pay wages and no longer had any individual performing services for A. In March 2004, the Department issued a Determination and Assessment against A based upon estimated wages for the fourth quarter of 2003. A failed to file a timely protest and petition for hearing to the Determination and Assessment. In June 2004, A presented evidence to the Department that, since September 2003, A had no one performing services for A and had not paid any wages. With no evidence to suggest otherwise, the Department treated the Determination and Assessment as null and void.

2. EXAMPLE: Employer C (a sole proprietor) employed D (C's only employee) as a word processor. In September 2003, C decided that D would continue the word processing work, but as an "independent contractor". C did not report D's wages to the Department, nor pay contributions on those wages, with respect to periods after the third quarter of 2003 and did not file a notice requesting termination of coverage. In March 2004, the Department issued a Determination and Assessment against C based upon estimated wages for the fourth quarter of 2003. C failed to file a timely protest and petition for hearing to the Determination and Assessment, but in June 2004, wrote the Director explaining that D was now working as an "independent contractor". As D was still performing services for C during the fourth quarter, the Director lacked the authority to terminate C's coverage. By not timely protesting the Determination and Assessment, C allowed it to become final and waived C's opportunity to reach the merits of whether D was an independent contractor during the fourth quarter.

History

• Source: Amended at 49 Ill. Reg. 11147, effective August 20, 2025

Chapter IV Department of Employment Security

Subchapter c Rights and Duties of Employers

Part 2760 Notices, Records, Reports

56 Ill. Adm. Code 2760.115 Records with Respect to Employment

a) Each employing unit shall preserve existing records with respect to employment, and shall establish, maintain and preserve those records, indicating the data set forth in subsection (c).

b) These records shall be preserved for five years after they have been made. However, if a determination and assessment of contributions, interest and penalties is made, or an action for the collection of contributions, interest or penalties is brought, records pertaining to the period or periods covered by such determination and assessment or action shall be preserved until the determination and assessment or action has become final, or has been cancelled or withdrawn. [820 ILCS 405/1801]

c) The records set forth in subsection (a) shall show:

1. For each pay period:

A) The beginning and ending dates for that period;

B) The total amount of wages for employment paid in the pay period.

2. For each worker:

A) His or her name and Social Security account number, and address;

B) The dates on which he or she performed any service in employment;

C) The place of his or her employment.

i) For the purpose of this record, the place of employment of a worker shall be recorded as the city or county in which he or she performs work unless a worker performs his or her work in more than one city or county;

ii) In such event, the place of employment shall be recorded as the city or county in Illinois in which the worker has his or her base of operations; or, if he or she has no base of operations in Illinois, as the city or county in Illinois from which his or her services are directed or controlled; or if the place from which his or her services are directed or controlled is also outside Illinois, as the city or county within Illinois in which he or she has his or her residence.

D) His or her wages for each pay period, and the date those wages were paid, showing separately:

i) Money wages;

ii) Reasonable cash value of remuneration paid by the employing unit in any medium other than cash as determined in accordance with the provisions of 56 Ill. Adm. Code 2730.100;

iii) Amount of gratuities (tips) received in the course of employment from persons other than the employing unit as determined in accordance with the provisions of 56 Ill. Adm. Code 2730.105;

iv) Special payments for employment. Records under this subsection (c)(2)(D)(iv) include the amount of any special payments, such as bonuses, gifts, etc., paid during the pay period but that relate to employment in a prior period. Payments are regarded as special payments if: the amount thereof was not determinable; or, the person or persons to whom paid was not ascertainable at the end of the pay period or periods during which the services were performed. The date must be shown separately as to: money payments; other remunerations; the nature of the payments; and, if the special payments were made for services performed during some period, the period during which the services were performed.

E) His or her wage rate and scheduled or customary working hours according to the following classifications:

i) Salaried workers, including the salary rate and the pay period covered by the rate;

ii) Fixed daily wage workers, including the daily rate of pay, the actual number of days worked, and the full number of scheduled or customary working days per week in the employment in which he or she is engaged;

iii) Fixed hourly workers, including his or her hourly rate, the actual number of hours worked, and the full number of scheduled or customary working hours, if any, per week in the employment in which he or she is engaged;

iv) Piece rate workers, including the actual number of hours worked during each week, and the full number of scheduled or customary working hours, if any, per week in the employment in which he or she is engaged.

F) The date on which he or she was hired, rehired, or went to work after temporary layoff, and the date he or she was separated from employment.

d) For purposes of compliance with the record retention requirements of Section 1800 of the Act, magnetic tape shall be considered another process, in addition to hard copy or other electronic record maintenance systems, for accurately producing an original record on a durable medium. However, regardless of the medium an employing unit uses to store its payroll records, that employing unit must be capable of producing a copy of its records in a format that can be read by the human eye.

History

• Source: Amended at 43 Ill. Reg. 6470, effective May 14, 2019

56 Ill. Adm. Code 2760.120 Employer's Contribution and Wage Report and Report for Household Employers

a) The Department shall make available on its website (ides.illinois.gov), an Employer's Contribution and Wage Report form for filing quarterly unemployment insurance contribution reports and a Report for Household Employers form for employers that file annually pursuant to Section 1400.2. Except for employers subject to Section 2760.141, and except for other employers that file unemployment insurance contribution and wage reports using the Department's online tax system, MyTax Illinois (mytax.illinois.gov), each employer subject to the Act, including employers electing to make payments in lieu of paying contributions under Section 302, 1404 or 1405 of the Act, must file unemployment insurance contribution and wage reports using the contribution and wage report provided on the Department's website or otherwise provide all of the information required by the form as provided in Section 2760.125(a)(5), and shall provide all of the information required on the Employer's Contribution and Wage Report form or Report for Household Employers form. If the employer fails to sign and complete the form provided on the Department's website or otherwise provide all of the information required by the form, the report may be considered an incomplete submission and be returned to the employer for resubmission.

1. In the event that an employer files a petition for bankruptcy under the Bankruptcy Code (USC Title 11), the employer shall file two Employer's Contribution and Wage Reports or two Reports for Household Employers, as applicable, for the quarter in which the petition is filed. An employer subject to the mandatory electronic reporting requirement of Section 2760.141 shall file two contribution reports for the quarter in which the petition is filed and two reports pursuant to Section 2760.125(a)(1) for the third month of the quarter in which the petition is filed. One report shall address the period beginning on the first day of the quarter to, and including, the day prior to the date of the filing of the petition. The other report shall address the period beginning on the date of the filing of the petition through the last day of the calendar quarter.

EXAMPLE 1: Corporation A, which is not subject to the mandatory electronic reporting requirement of Section 2760.141, files a petition for bankruptcy on August 15, 2013. Corporation A is required to file two Employer's Contribution and Wage Reports for the third quarter of 2013, both due October 31, 2013. One will cover the period through August 14, 2013, and Corporation A will calculate contributions due for that period. The other report will cover the period of August 15, 2013 through September 30, 2013 and will reflect the contributions due for that period.

EXAMPLE 2: Employer A, which is a household annual filer, files a petition for bankruptcy on August 15, 2013. Employer A is required to file two reports for Household Employers, both due April 15, 2014. One will cover the period through August 14, 2013, and Employer A will calculate contributions due for that period. The other report will cover the period of August 15, 2013 through December 31, 2013 and will reflect the contributions due for that period.

2. If an employer transfers substantially all of its employing enterprises to another employing unit but continues to be a liable employer, the employer shall file two Employer's Contribution and Wage Reports for the calendar quarter in which the transfer occurs. An employer subject to the mandatory electronic reporting requirement of Section 2760.141 shall file two contribution reports for the quarter in which the transfer occurs and two reports pursuant to Section 2760.125(a)(1) for the third month of the quarter in which the transfer occurs. One report shall address the period beginning on the first day of the quarter to, and including, the date of transfer. The other report shall address the period beginning on the first day after the date of transfer through the last day of the calendar quarter.

EXAMPLE: On August 15, 1994, Corporation A, which owns a retail establishment named the XYZ Store and is not subject to the mandatory electronic reporting requirement of Section 2760.141, sells the entire business except the name "XYZ Store" to Corporation B. The officers of Corporation A continue to perform services and are paid wages after the transfer. Corporation A is required to file two Employer's Contribution and Wage Reports for the third quarter of 1994, both due October 31, 1994. One will cover the period through August 15, 1994, and Corporation A will calculate contributions due for that period. The other report will cover the period of August 16, 1994 through September 30, 1994, and will reflect the contributions due for that period.

3. If the employer files only one report for a quarter for which two reports are required under subsection (a)(1) or (a)(2) and provides the total and taxable wages for the entire quarter in the report, or files only one report for a year for which two reports are required and provides the total and taxable wages for the entire year in the report, the report will be deemed to be insufficient as provided in Section 1402 of the Act. The employer must file, within 30 days after the mailing of a notice to it of insufficiency, the two reports required in either subsection (a)(1) or (a)(2), as applicable, or the penalties provided in Section 1402 of the Act shall apply.

4. Except as otherwise provided in this subsection (a)(4), with respect to an employer not subject to the mandatory electronic reporting requirement of Section 2760.141, the penalties provided for in Section 1402 of the Act regarding each report required under subsection (a)(1) or (a)(2) of this Section shall be calculated on the basis of the total wages paid and contributions due for the period to which that report applies. Regardless of whether the employer fails to timely file one or both of the reports, the total penalty for that failure shall not exceed $5,000, and the minimum penalty for the failure shall be $50. The minimum penalty for willful failure to pay any contribution, or part of any contribution, with intent to defraud the Director, shall be $400, regardless of whether the employer fails to make the payment for both or only one of the periods.

EXAMPLE: An employer not subject to the mandatory electronic reporting requirement of Section 2760.141 timely files a report representing the part of the quarter prior to the date of filing of the petition for bankruptcy. He or she is late in filing the report for the part of the quarter including the date the petition is filed. The penalty will be calculated only on the amount of wages paid as reflected in the report for the period including the date the petition for bankruptcy is filed.

b) In addition to the employer providing its name, address, account number and Federal Employer Identification Number on the Employer's Contribution and Wage Report or Report for Household Employers, the employer must provide the total wages paid during the quarter, the taxable wages paid during the quarter and the number of employees during the pay period that includes the 12th day of each month of that quarter. For purposes of this subsection (b), when an employer is required to file two reports pursuant to subsection (a)(1) or (a)(2), "quarter" shall mean the period required to be addressed by the report.

History

• Source: Amended at 43 Ill. Reg. 1566, effective January 15, 2019

56 Ill. Adm. Code 2760.125 Employer's Wage Report

a) Filing Wage Reports

1. Except as provided in subsection (a)(4), an employer subject to the mandatory electronic reporting requirement of Section 2760.141 shall, for each of the first two months of each calendar quarter, report, in addition to the employer's name, account number and Federal Employer Identification Number (FEIN), the name and Social Security number of each covered worker, the total wages paid to each covered worker (except as provided in Section 2760.130), and the total wages paid to all covered workers combined. Except as provided in subsection (a)(4), an employer subject to the mandatory electronic reporting requirement of Section 2760.141 shall, for the third month of each calendar quarter, submit a report (or reports if so required under Section 2760.120(a)(1) or (2)) containing the same information for the entire calendar quarter as is required pursuant to subsection (a)(2). The report required under this subsection (a)(1) for each month shall be filed on or before the last day of the calendar month next following the close of the month.

EXAMPLE: Employer A is subject to the mandatory electronic reporting requirement of Section 2760.141 for the period July 1, 2016 through June 30, 2017. Therefore, for each of January and February of 2017, Employer A is required to report its name, account number and FEIN; the name, Social Security number and total wages for the month of each covered worker (except as provided in Section 2760.130); and the total wages for the month of all covered workers combined.

A) For the purpose of calculating the monthly wages to determine any penalty for the third month of each quarter, the wages reported for the first and second months of the quarter shall be deducted from the quarterly wages reported by the employer for the third month of the quarter.

i) EXAMPLE: Employer A reports $5,000 in wages for January and $4,000 in wages for February. On the report for March, Employer A then reports $17,000 in wages for the entire first quarter. The Department will calculate March wages as follows: $17,000 - ($5,000 + $4,000) = $8,000.

ii) EXAMPLE: Employer A timely reports wages of $7,000 for July 2013 and $8,000 for August 2013. On November 3, 2013, Employer A files its wage report for September of 2013, reporting a total of $15,000 in wages paid for the quarter. Employer A will be assessed a minimum penalty of $50 for September 2013 because it filed its report for the month late, even though it apparently paid no wages for the month of September.

B) If the employer fails to file its monthly wage reports for the first two months of a quarter, for the purpose of determining the penalty to be assessed, the Department shall use the Employer's quarterly reported wages and divide by three.

EXAMPLE: Employer X fails to report monthly wages for April and May of 2013, but Employer X reports quarterly wages of $6,000 for the second quarter of 2013. The Department shall estimate monthly wages of $2,000 for April and $2,000 for May.

2. Except as provided in subsection (a)(3) or (a)(4), every employer subject to the Unemployment Insurance Act, and not subject to the electronic reporting requirement of Section 2760.141, including employers electing to make payments in lieu of paying contributions under Section 302, 1404 or 1405 of the Act , shall file a report, or reports if so required under Section 2760.120(a)(1) or (2), each calendar quarter, listing the name and Social Security number of each covered worker and, except as provided in Section 2760.130, the total wages paid to each worker. Except as provided in Section 2760.141, the report shall be made on the form designated Employer's Contribution and Wage Report, which is available on the Department's website (ides.illinois.gov). The report due under this subsection (a)(2) shall be filed on or before the last day of the calendar month next following the close of the calendar quarter.

3. Except as provided in subsection (a)(4), an employing unit that becomes an employer, including employers electing to make payments in lieu of paying contributions under Sections 302, 1404 and 1405 of the Act, shall file the form designated by the Director as Employer's Contribution and Wage Report (listing the information required by subsection (a)(2)) for the quarter in which it becomes an employer and each subsequent quarter ending prior to the mailing of the notice described in subsection (a)(3)(A). The reports due under this subsection (a)(3) shall be filed on or before whichever of the following dates is later:

A) The 30th day following the date upon which the Director mails the employing unit a notice that includes information on how the employing unit can file a wage report required by this Section, Section 2760.120 or Section 2760.145 using MyTax Illinois (mytax.illinois.gov), or how to access blank copies of the forms for employing units that are not subject to Section 2760.141 and would like to file on paper; or

EXAMPLE 1: An employing unit files a REG-UI-1 on April 13, 2018, showing that it became an employer in the first quarter of 2018. The Director mails the notice described in this subsection (a)(3)(A) on April 20, 2018. The employer has until May 20, 2018 to file its contribution and wage report for the first quarter of 2018. The deadline for filing the wage report for the second quarter of 2018, and all subsequent reports, is governed by subsection (a)(2).

EXAMPLE 2: An employing unit files a REG-UI-1 on August 14, 2018, showing that it became an employer in the first quarter of 2018. The Director mails the notice described in this subsection (a)(3)(A) on August 21, 2018. The employer has until September 20, 2018 to file its contribution and wage report for the first and second quarters of 2018. The deadline for filing the wage report for the third quarter of 2018, and all subsequent reports, is governed by subsection (a)(2).

B) The last day of the calendar month next following the calendar quarter in which the employing unit becomes an employer. When a notice described in subsection (a)(3)(A) has been mailed to the employer and a due date for the report for a quarter is initially established pursuant to this subsection (a)(3)(B), the due date shall not change as the result of mailing another notice subsequent to the initially established due date.

EXAMPLE 1: An employing unit files a REG-UI-1 on February 15, 2018, showing that it became an employer in the first quarter of 2018. The Director mails the notice described in subsection (a)(3)(A) on February 20, 2018. The employer has until April 30, 2018 to file its contribution and wage report for the first quarter of 2018. The deadline for filing all subsequent reports is governed by subsection (a)(2).

EXAMPLE 2: An employing unit files a REG-UI-1 on April 13, 2018, showing that it became an employer in the second quarter of 2018. The Director mails the notice described in subsection (a)(3)(A) on April 19, 2018. The employer has until July 31, 2018 to file its contribution and wage report for the second quarter of 2018 (the last day of the calendar month next following the calendar quarter in which the employing unit became an employer). The employer files its contribution and wage report for the second quarter of 2018 on August 1, 2018, making it late and, therefore, subject to a penalty. Included in the employer's filing for the second quarter is a contribution and wage report for the first quarter of 2018. Based on this report, the liability date of the employer is moved to January 1, 2018. Since the liability date of the employer was moved to an earlier quarter, the Director mails an additional notice described in subsection (a)(3)(A) to the employer on August 8, 2018. Pursuant to subsection (a)(3)(A), the employer has until September 7, 2018 to file its contribution and wage report for the first quarter of 2018. Since the employer already filed its report for the first quarter, the first quarter report will not be considered late. However, the July 31, 2018 due date initially established for the second quarter report will not change as result of the mailing of the second notice.

4. For employers who have elected to file annually pursuant to Section 1400.2 of the Act, with respect to the first quarter for which the employing unit has made the election and each quarter thereafter for which the election remains in effect, it shall file the form designated as the Report for Household Employers listing the information required by subsection (a)(2). The report due under this subsection (a)(4) shall be filed on or before whichever of the following dates is later:

A) The 30th day following the date upon which the Director mails the employer a notice that includes information on how to access the form designated as the Report for Household Employers; or

B) April 15 of the calendar year immediately following the close of the quarter to which the report applies.

5. The information with respect to each worker required by subsection (a)(2) may be submitted on a form other than that designated by the Director as the Employer's Contribution and Wage Report, or the Report for Household Employers, provided that the Director has approved the use of the substitute form.

6. Upon written request filed with the Director prior to the due date of the report, the Director shall, for any reasonable cause shown, grant in writing an extension of a maximum of 15 days for the filing of any report required on a monthly basis under subsection (a)(1) and 30 days for the filing of any report required under subsection (a)(2), (a)(3) or (a)(4). A reasonable cause is when an employer cannot meet a due date through no fault of its own or because of circumstances beyond its control.

A) The request shall make a full explanation of the reasons for the request and shall state the date to which the extension is desired.

B) If an employer that has been granted an extension of time pursuant to this subsection (a)(6) fails to file the report on or before the extended due date, the penalty referred to in subsection (b) shall accrue from the original due date as if no extension had been granted.

b) Any employer, including an employer electing to make payments in lieu of paying contributions under Section 302, 1404 or 1405 of the Act, which, during any calendar quarter (or any calendar month, in the case of an employer subject to the mandatory electronic reporting requirement of Section 2760.141), has paid wages to any of its workers and that fails to file reports of those wages on or before the dates they are due under the provisions of this Section, shall pay penalties as set forth in Section 1402 of the Act and 56 Ill. Adm. Code 2765.

c) An extension in the period of time for filing a wage report does not extend the deadline for making payment of any required contributions.

History

• Source: Amended at 43 Ill. Reg. 1566, effective January 15, 2019

56 Ill. Adm. Code 2760.128 Wage Report Filing for Employers That Employ Household Workers and Elect to Report Their Wages on an Annual Basis

a) This Section only applies to an employer who solely employs household workers with respect to whom the employer files federal unemployment taxes using Schedule H (Form 1040) or could file federal unemployment taxes using Schedule H (Form 1040) if the worker or workers were providing services in employment for purposes of the federal unemployment tax. For purposes of this Section, "household worker" has the meaning ascribed to it for purposes of Schedule H (Form 1040) and includes, but is not limited to, babysitters, cleaning people, housekeepers, nannies and maids.

1. EXAMPLE: Joe Smith employs individuals to provide maid services in the private homes of his customers. For purposes of Schedule H (Form 1040), an employee is considered a household worker only if his or her services are provided in the employer's private home. This Section does not apply to Joe Smith since he is not eligible to use Schedule H because the services of his employees are not performed in his home.

2. EXAMPLE: Jane Smith is the sole proprietor of a trucking company that employs numerous drivers and office personnel. She also employs a nanny to care for her child in her home. This Section does not apply to Ms Smith because, while the nanny is a household worker for purposes of Schedule H (Form 1040), performing her services in Ms Smith's private home, Ms Smith does not solely employ household workers.

3. EXAMPLE: George Smith employs a housekeeper who is considered self-employed for purposes of the federal unemployment tax, and whose wages, therefore, are not subject to the federal tax. However, the services are employment under Illinois' Unemployment Insurance Act [820 ILCS 405]. Since Mr. Smith could have used Schedule H (Form 1040) to file federal unemployment taxes with regard to the housekeeper's services had she not been considered self-employed for purposes of the federal tax, this Section will apply regarding her services.

b) Notwithstanding any other provisions of this Part to the contrary, if an employer to whom this Section applies notifies the Director, in writing, that he or she wishes to pay his or her quarterly contributions and submit the quarterly wage and contribution reports on an annual basis, then the due date for filing the reports shall be April 15 of the calendar year immediately following the quarters to which the reports apply. A notice pursuant to this subsection shall apply to all quarters for which a Determination and Assessment of contributions, penalties or interest due has not become final. An employer's failure to provide the notice before the reports and payments become due may result in the Department's issuance of statements of account, indicating the employer is delinquent in the filing of wage reports or the payment of contributions, or both, as well as the issuance of a Determination and Assessment of delinquent contributions, plus penalties and interest. If the employer does not protest a Determination and Assessment on a timely basis, pursuant to Section 2200 of the Act, the delinquency indicated in the Notice of Determination and Assessment will become a legally final debt of the employer's.

History

• Source: Added at 33 Ill. Reg. 9652, effective July 1, 2009

56 Ill. Adm. Code 2760.130 Reporting "excess" Wages

Pursuant to Section 2760.125, the employer shall enter on the wage reporting portion of its Employer's Contribution and Wage Report or Report for Household Employers, or on its monthly report of wages in the case of an employer subject to Section 2760.125(a)(1), the amount of wages (whether or not subject to the payment of contributions) paid during the calendar quarter, or month as the case may be, to each listed worker. However, in the case of an employer subject to Section 2760.125(a)(1), with regard to either of the first 2 months of the calendar quarter, if the wages paid by the employer during the month to any worker are in excess of $15,000, the employer may report only $15,000 for the worker with respect to that month. If the wages paid by the employer during a calendar quarter to any worker are in excess of $45,000, the employer may report only $45,000 for the worker with respect to that calendar quarter; provided, that the employer shall enter on its Report or Return a sum total of all excess wages and shall identify such sum as "Excess Wages Not Allocated".

History

• Source: Amended at 37 Ill. Reg. 7451, effective May 14, 2013

56 Ill. Adm. Code 2760.135 Remittance of Contributions Due and Use of Payment Voucher

a) The Department shall make available, through its online tax system, MyTax Illinois (mytax.illinois.gov) and on its website (ides.illinois.gov), a Payment Voucher that is to be returned with any payment, except a payment that is made through electronic funds transfer. Except for payments made through electronic funds transfer, every employer must enclose a Payment Voucher with any payment or otherwise provide all of the information the Payment Voucher would provide, regardless of the amount due. For any payment that is not made through electronic funds transfer, failure of the employer to enclose a Payment Voucher with its payment, or otherwise provide all of the information the Payment Voucher would provide, may result in a return of that payment to the employer for resubmission.

1. The Payment Voucher and check must be sent to the address indicated on the form.

2. A separate check, made payable to the Department of Employment Security, must accompany each Payment Voucher, and the Employer's Illinois Account Number should be written on the face of the check.

b) Failure of the employer to submit a check to the address indicated on the form may result in a return of that check to the employer for resubmission. If the resubmitted check is received at the proper address after the due date provided in Section 1400 of the Act, interest shall accrue as provided in Section 1401 of the Act. The Director shall not grant waiver for any interest so accrued.

c) Notwithstanding any other provisions to the contrary, an employer may remit payments other than by check in accordance with instructions provided on the Department's website.

History

• Source: Amended at 43 Ill. Reg. 1566, effective January 15, 2019

56 Ill. Adm. Code 2760.140 Use of Electronic Data Processing Media for Quarterly Reporting Prior to 2013

a) Except as provided in subsections (g) and (h), the reports required by Sections 2760.120 and 2760.125 for a quarter beginning prior to calendar year 2013 must be filed by the use of an electronic data processing medium that meets the approval of the Director. The Director shall approve the use of electronic data processing media for reporting if he/she finds that:

1. All of the data required by the Director for quarterly reporting are also provided by the employer on the electronic data processing medium; and

2. The employer's electronically data processed reports are compatible and readable by the electronic data processing equipment used by the Director without the need for any programming adjustment by the Director.

b) Subsection (a) shall only apply to an employer for a calendar year if the employer had 250 or more individuals in its employ (though not necessarily at the same time) during the prior calendar year.

EXAMPLE: During 2011, the employer has no more than 225 individuals in its employ at any one time. However, during the year, 30 of these individuals leave the employ of the employer and are replaced by 30 other individuals. Though the employer's labor force never exceeds 225 individuals at any one time, the employer had 255 individuals in its employ during 2011 and, therefore, is subject to subsection (a) for 2012.

c) The failure of an employer that is subject to subsection (a) to report in the manner required by that subsection shall subject the employer to the penalties set forth in Section 1402 of the Act.

EXAMPLE: On October 20, 2012, an employer subject to the reporting requirements of subsection (a) mails a paper version of the report due for the third quarter of 2012 instead of filing it as required by subsection (a). On November1, 2012, if that employer has not yet complied with subsection (a), it is delinquent in the filing of its report for the third quarter of 2012, the penalty set forth in Section 1402 of the Act shall be imposed, and any payment it ultimately submits for the third quarter of 2012 shall be reallocated in accordance with 56 Ill. Adm. Code 2765.45 to reflect the payment of the penalty and a delinquency in contributions due. If the requirements of subsection (a) have still not been complied with before December 1, 2012 and the maximum penalty has not yet been imposed, the penalty will be increased on that date and the employer's payment again reallocated to reflect payment of the increased penalty and an additional delinquency.

d) When not required by subsection (a), the reports required by Sections 2760.120 and 2760.125 may be made by the use of an electronic data processing medium that meets the prior approval of the Director. The Director shall approve the use of an electronic data processing medium for reporting if it meets the requirements of subsection (a) and if the employer agrees to file both reports by the use of that electronic data processing medium.

e) Any employer that was authorized by the Director, before December 27, 1993, to submit both of its quarterly reports on an electronic data processing medium may continue to do so without further approval by the Director, on the condition that the medium continues to meet the requirements of subsection (a). The employer is, however, subject to the requirements of subsection (f).

f) The first report submitted electronically pursuant to this Section for any calendar year must be accompanied by a certification, on a form provided for this purpose by the Director, signed by the owner, partner or authorized officer or official, that the information submitted is true and correct to the best of his or her knowledge and belief and that no part of the contribution reported was or is to be deducted from the worker's wages. This subsection (f) does not apply if the method of electronic submission being used includes the certification described in this subsection (f) as part of the report.

g) When the employer demonstrates that the Commissioner of the Internal Revenue Service has waived the electronic reporting requirements of Treasury Regulation 301.6011-2 (26 CFR 301.6011-2), as in effect on January 1, 2012, for the employer with respect to documents covering a calendar year, the Director shall waive the reporting requirements of this Section for the employer with respect to reports covering the subsequent calendar year.

EXAMPLE: In February 2012, the Commissioner of the Internal Revenue Service notifies an employer that the requirements of Treasury Regulation 301.6011-2 (26 CFR 301.6011-2) have been waived with respect to Form W-2 data covering calendar year 2011, meaning that the employer will not be required to submit the data electronically in 2012. If the employer demonstrates the waiver to the Director, the Director will waive the requirements of subsection (a) with respect to reports covering 2012.

h) When an employer was not subject to the mandatory electronic reporting requirements of this Section for any quarter of the prior calendar year, but is subject to those requirements for the current calendar year, the employer may, for any period through the second quarter of the current calendar year, file its quarterly reports by mailing paper versions of the reports in compliance with Sections 2760.120 and 2760.125.

EXAMPLE: The employer had, in total, 240 individuals in its employ during calendar year 2010. In calendar year 2011, the employer had, in total, 260 individuals in its employ. The employer will not be required to report electronically for any period through the second quarter of calendar year 2012 but will be required to report electronically for at least the third and fourth quarters of that year.

History

• Source: Amended at 43 Ill. Reg. 1566, effective January 15, 2019

Chapter IV Department of Employment Security

Subchapter c Rights and Duties of Employers

Part 2760 Notices, Records, Reports

56 Ill. Adm. Code 2760.141 Use of Electronic Data Processing Media for Monthly or Quarterly Reporting

a) Electronic Data Processing

Except as otherwise provided in subsection (b) or subsection (g), an employer shall file the reports required by Sections 2760.120 and 2760.125 by the use of an electronic data processing medium that meets the approval of the Director (see subsection (c)) in accordance with the following schedule:

1. for the period of February 1, 2013 through June 30, 2015, if the employer had 250 or more individuals in its employ (though not necessarily at the same time) during calendar years 2011 and 2012;

2. for the period of July 1, 2013 through June 30, 2015, if the employer had 100 or more individuals in its employ (though not necessarily at the same time) during calendar year 2012 but fewer than 250 during calendar year 2011;

3. for the period of January 1, 2014 through June 30, 2015, if the employer had 50 or more, but fewer than 100, individuals in its employ (though not necessarily at the same time) during calendar year 2012;

4. for the period of July 1, 2014 through June 30, 2015, if the employer had 25 or more, but fewer than 50, individuals in its employ (though not necessarily at the same time) during calendar year 2012; and

5. after June 30, 2015, for any one-year period of July 1 of a calendar year through June 30 of the immediately succeeding calendar year, if the employer had 25 or more individuals in its employ (though not necessarily at the same time) during the last calendar year completed immediately prior to the July 1 on which the period commenced.

b) Notwithstanding any other provision to the contrary, subsection (a) shall not apply for the period of January 1, 2014 through June 30, 2015 with respect to any employer that did not have at least 25 individuals in its employ (whether or not at the same time) during calendar year 2013.

c) The Director shall approve the use of electronic data processing media for reporting if he or she finds that:

1. all of the data required by the Director for monthly or quarterly reporting, as the case may be, are also provided by the employer on the electronic data processing medium; and

2. the employer's electronically data processed reports are compatible and readable by the electronic data processing equipment used by the Director without the need for any programming adjustment by the Director.

d) In addition to any other requirements of this Section regarding electronic filing:

1. reports submitted pursuant to this Section for any quarter ending after December 31, 2012 shall be submitted only through a file transfer protocol or through manual entry or a file import or upload onto an online system used by the Department; and

2. reports submitted pursuant to this Section for any month after December 31, 2012 shall be submitted only through a file upload onto an online system used by the Department.

EXAMPLE: During 2012, the employer has no more than 90 individuals in its employ at any one time. However, during the year, 11 of these individuals leave the employ of the employer and are replaced by 11 other individuals. Though the employer's labor force never exceeds 90 individuals at any one time, the employer had 101 individuals in its employ during 2012 for purposes of subsection (a).

EXAMPLE: During 2014, the employer has no more than 20 individuals in its employ at any one time. However, during the year, 7 of these individuals leave the employ of the employer and are replaced by 7 other individuals. Though the employer's labor force never exceeds 20 individuals at any one time, the employer had 27 individuals in its employ during 2014 and, therefore, is subject to subsection (a) for the one-year period of July 1, 2015 through June 30, 2016.

e) The failure of an employer that is subject to subsection (a) to report in the manner required by that subsection shall subject the employer to the penalties set forth in Section 1402 of the Act.

EXAMPLE: On August 20, 2015, an employer subject to the reporting requirements of subsection (a) for July 2015 attempts to mail a paper version of the report due for that month instead of filing it as required by subsection (a). The Department, however, does not accept paper versions of reports covering the first 2 months of a calendar quarter. On September 1, 2015, if that employer has not yet complied with subsection (a), it is delinquent in the filing of its July 2015 report, the penalty set forth in Section 1402 of the Act shall be imposed, and any payment it ultimately submits for the third quarter of 2015 shall be reallocated in accordance with 56 Ill. Adm. Code 2765.45 to reflect the payment of the penalty and a delinquency in contributions due. If the requirements of subsection (a) have still not been complied with before October 1, 2015, and the maximum penalty has not yet been imposed, the penalty will be increased on that date and the employer's payment again reallocated to reflect payment of the increased penalty and an additional delinquency.

f) When not required by subsection (a), the reports required by Sections 2760.120 and 2760.125 may be made by the use of an electronic data processing medium if it meets the requirements of subsection (c) and if the employer agrees to file both reports by the use of the electronic data processing medium.

g) The Director shall waive the reporting requirements of this Section with respect to reports covering any month commencing in the subsequent calendar year when the employer demonstrates that the Commissioner of the Internal Revenue Service:

1. has waived the electronic reporting requirements of Treasury Regulation 301.6011-2 (26 CFR 301.6011-2), as in effect on January 1, 2014, for the employer with respect to documents covering a calendar year; or

2. would have waived those requirements for the employer had they otherwise been applicable.

EXAMPLE: In February 2015, the Commissioner of the Internal Revenue Service notifies an employer that the requirements of Treasury Regulation 301.6011-2 have been waived with respect to Form W-2 data covering calendar year 2014, meaning that the employer will not be required to submit the data electronically in 2015. If the employer demonstrates the waiver to the Director, the Director will waive the requirements of subsection (a) with respect to reports covering any month commencing during calendar year 2015. However, unless the employer also demonstrates to the Director that the Commissioner has waived those requirements with respect to documents covering calendar year 2015, the Director will not waive the reporting requirements of this Section with respect to any month commencing during calendar year 2016.

EXAMPLE: The electronic reporting requirements of Treasury Regulation 301.6011-2 do not apply to the employer because the employer had fewer than 250 individuals in its employ in the prior year. If the employer believes, however, that it would otherwise qualify for a waiver of the Regulation's requirements, the employer may apply for a waiver from the Director, who will grant the waiver if the Director determines that the conditions for granting a waiver under this Part have been met.

History

• Source: Added at 39 Ill. Reg. 10755, effective July 27, 2015

56 Ill. Adm. Code 2760.145 Correcting the Employer's Contribution and Wage Report or Report for Household Employers

a) Should an employer make an error in the reporting of total or taxable wages paid during a quarter or in the calculation of its contributions due, it shall correct that error by preparation of the form "Employer's Correction Report For The Quarter Ending ." This same form shall be used to correct errors in reporting wages of individual workers. This form requires the same information as the original Report in addition to the corrected information and an explanation of the change.

b) When an employer incorrectly reports the name or Social Security Number of a worker on the wage report portion of the Employer's Contribution and Wage Report or Report for Household Employers, or, in the case of an employer subject to the mandatory electronic reporting requirement of Section 2760.141, on the report for the third month of the quarter, a correction shall be made by the use of form "Social Security Number And Name Change Notice" . This form requires the original information reported and the corrected information.

c) An employer may make the corrections described in subsections (a) and (b) by mailing a signed "Employer's Correction Report For The Quarter Ending ___" or "Social Security Number Correction And Name Change Notice", as applicable, to the address provided on the forms, which are available on the Department's website (ides.illinois.gov). An employer may also amend an Employer's Contribution and Wage Report or Report for Household Employers as described in subsections (a) and (b) online using MyTax Illinois by submitting a signed form "Amend Quarterly Wage Report". In the case of an employer subject to the mandatory electronic reporting requirement of Section 2760.141, an employer may make corrections to the reports required for the first two months of a calendar quarter through the MyTax Illinois website by submitting a signed form "Employer's Correction Report for the Month Ending ___" on or before the last day of the second calendar month following the close of the month for which the report is due. Corrections to a monthly wage report may not be made by mail.

History

• Source: Amended at 43 Ill. Reg. 1566, effective January 15, 2019

56 Ill. Adm. Code 2760.150 Consequences of an Error in the Preparation of the Employer's Contribution and Wage Report or Report for Household Employers and Procedures for the Waiver or Elimination of Certain Penalties

a) If an error in the preparation of the Employer's Contribution and Wage Report or Report for Household Employers results in an underreporting of contributions due, the employer shall be liable for any penalty and the delinquent contributions plus interest, calculated in accordance with Section 1401 of the Act, from the date that the original report was due.

b) Except as provided in subsection (c), if an error in the preparation of the Employer's Contribution and Wage Report or Report for Household Employers resulted in an overpayment of contributions, the employer may file a claim for an adjustment or refund. The claim must be signed and filed within the period provided in Section 2201 of the Act. The request shall be filed on the form entitled "Employer's Claim for Adjustment/Refund" as provided in 56 Ill. Adm. Code 2725.115.

c) Except as otherwise provided in subsection (d), in the event that the employer is mailed a Statement of Account that indicates the employer's account has a credit balance and the employer wishes to obtain a cash refund, the employer may file for the refund within the period provided in Section 2201 of the Act, on the form, Employer Request for Refund − Statement of Account. The form may be obtained and shall be completed in the same manner as provided in subsection (b).

d) Except as otherwise provided in this subsection, in the event that the employer has overpaid a penalty as the result of Section 2760.141 or 56 Ill. Adm. Code 2765.62, the Department shall apply the credit as an adjustment against other liabilities of the employer under the Act. The Department shall grant a refund of any credit resulting from Section 2760.141 or 56 Ill. Adm. Code 2765.62 if the credit has not been used as an adjustment by January 31, 2016.

History

• Source: Amended at 43 Ill. Reg. 1566, effective January 15, 2019

Part 2765 Payment of Unemployment Contributions, Interest and Penalties

56 Ill. Adm. Code 2765.1 Unemployment Contributions Not Deductible from Wages

Contributions or payments in lieu of contributions shall not be deducted or deductible, in whole or in part, from the wages or remuneration of individuals in the employ of either a contributing or reimbursable employer in Illinois.

History

• Source: Amended at 7 Ill. Reg. 13266, effective January 28, 1983

56 Ill. Adm. Code 2765.5 Definitions

For the purposes of this Part, the following terms shall have the meaning as defined hereunder:

"Act" means the Unemployment Insurance Act [820 ILCS 405].

"Contributing employer", also known as a regular employer, pays contributions at a specified percentage of the taxable wages paid to individuals performing services in covered employment.

"FUTA" means the Federal Unemployment Tax Act, 26 USC 3301 through 3311.

"Reimbursable employer" is a nonprofit organization as defined in Section 211.2 of the Act or any local governmental entity as determined in Section 211.1 of the Act which elects to make payments in lieu of contributions.

"Unemployment taxes" are the contributions paid by contributing employers and the payment in lieu of contributions paid by reimbursable employers.

History

• Source: Amended at 25 Ill. Reg. 2011, effective January 18, 2001

56 Ill. Adm. Code 2765.10 Payment of Contributions

Contributions based upon taxable wages paid in a calendar quarter are payable on or before the last day of the month following the end of the quarter unless the payment period is shortened pursuant to 56 Ill. Adm. Code 2790.5.

56 Ill. Adm. Code 2765.11 Employers Who Employ Household Workers and Pay Contributions on an Annual Basis

Notwithstanding any other provisions of this Part to the contrary, if an employer to whom 56 Ill. Adm. Code 2760.128 applies provides the notice described in subsection (b) of that Section, then the due date for paying contributions shall be April 15 of the calendar year immediately following the quarters for which the contributions are due.

History

• Source: Added at 33 Ill. Reg. 9658, effective July 1, 2009

56 Ill. Adm. Code 2765.15 Liability for the Entire Year

If the liability for the payment of contribution first attaches at any time during the calendar year, contributions are payable on the taxable amount of all the wages paid for the entire year. The contributions are due and payable on or before the last day of the month following the quarter in which the employer becomes liable. For example, if the 20th week in which one or more persons are employed or $1500 in wages are paid for the first time, falls in the third calendar quarter, contributions are payable on all the taxable wages paid during the first three quarters of the year and are due on or before October 31.

56 Ill. Adm. Code 2765.18 Liability of a Third Party Purchaser or Transferee for the Due and Unpaid Contributions, Interest and Penalties of the Seller or Transferor's Seller or Transferor

Under Section 2600 of the Act, whenever a purchaser or transferee acquires substantially all or a class of the assets (as enumerated in that Section of the Act), it shall be required to follow a procedure set forth in the Act to ensure that any contributions, interest and penalties that are due and unpaid are paid. If these contributions, penalties and interest are not so paid, the purchaser or transferee becomes personally liable for these contributions, the interest and the penalties. Since these amounts are then the personal liabilities of the purchaser or transferee, if the purchaser or transferee then sells or transfers substantially all or a class of the assets (as enumerated in that Section of the Act), the subsequent purchaser or transferee shall also become personally liable for these same amounts if it does not follow the procedure set forth in the Act to insure that any contributions, interest and penalties which are due and unpaid are paid.

Example: Company B purchases all of the assets of Company A which owes contributions, interest and penalties to the Director. Company B does not follow the statutory procedure to ensure that the amounts have been paid. Therefore, Company B is personally liable for these amounts. Company B then sells all of its assets to Company C. Company C does not follow the statutory procedure to ensure that the amounts now owed by Company B have been paid. Company C is now also personally liable for these amounts. Companies A, B and C are jointly and severally liable for the amount originally owed by Company A, and the Director may attempt collection from Company A, Company B or Company C.

History

• Source: Amended at 43 Ill. Reg. 6480, effective May 14, 2019

56 Ill. Adm. Code 2765.20 Contributions of Employer by Election

If an employing unit not otherwise liable elects to become an employer under the Act, and election is approved as of a date other than January 1 of any calendar year, the first payment shall include the contributions with respect to all wages for employment paid on or after the date stated in such approval, and up to and including the last day of the quarter in which such election is approved.

56 Ill. Adm. Code 2765.25 Payments in Lieu of Contributions

The payments in lieu of contributions are equal to the amount of regular benefits paid to a reimbursable employer's employees who become claimants. If extended benefits are paid to such claimants, a non-profit organization reimburses one-half, and a local governmental entity the full amount, of the extended benefits.

56 Ill. Adm. Code 2765.30 When Payments in Lieu of Contributions Are Payable

a) The payments in lieu of contributions are due within 30 days after the mailing date of the Statement of Amount Due for Benefits Paid (Form Ben-118R) unless the payment period is shortened pursuant to 56 Ill. Adm. Code 2790.5. The Ben-118R shows the amount of benefits paid and is mailed as soon as practicable to the reimbursable employer after the end of the calendar quarter to which it refers.

b) Whenever the total amount due on the Ben-118R is less than $2.00, that amount may be disregarded. Any amount disregarded pursuant to this subsection shall be deemed paid for all other purposes under the Act. However, nothing in this subsection is intended to relieve any employer from filing reports required by the Act or rules promulgated thereunder.

History

• Source: Amended at 43 Ill. Reg. 1585, effective January 15, 2019

56 Ill. Adm. Code 2765.35 Payments When Reimbursable Employer Becomes Contributory

A reimbursable employer which changes from payments in lieu of contributions to payment of contributions shall start paying contributions in the first calendar quarter of the year when the change is effective. Payment shall be made in the manner provided in 56 Ill. Adm. Code 2765.10. The employer remains liable to reimburse any benefits paid to claimants on or after the effective date of the change on the basis of wages paid to such claimants when the employer was on the reimbursement basis.

56 Ill. Adm. Code 2765.40 Payments When Contributory Employer Becomes Reimbursable

An election by an eligible contributing employer to make payments in lieu of contributions shall not terminate by liability incurred by the employer for the payment of contributions, interest or penalties with respect to any calendar quarter which ends prior to the effective date of the election. The change becomes effective beginning with January 1 of the next calendar year.

56 Ill. Adm. Code 2765.44 Fee for Not Sufficient Funds (nsf) Checks

An employer that attempts to pay amounts due under this Part with a check returned to the Department because of insufficient funds (NSF) in its bank account to cover the amount of the check will be charged a fee of $20.00.

History

• Source: Added at 18 Ill. Reg. 14952, effective September 27, 1994

56 Ill. Adm. Code 2765.45 Application of Payment

a) Whenever the employer makes a payment and it is accompanied by a letter, Employer's Contribution Report or a Statement of Account, the money received shall be applied to the quarter or quarters indicated by the employer.

b) If no designation is made for the application of the remittance, or if the payment received is more than sufficient to cover the quarter to which it applies, the remittance or the excess shall be applied beginning with the oldest or earliest unpaid quarters of the employer, if any.

c) The application of remittance within a quarter is not subject to designation. Within a quarter, all remittance shall be applied first to recording fees paid with respect to liens, as required by 56 Ill. Adm. Code 2790.25, if any, in the order of earliest to latest, then to NSF fees required by Section 2765.44, in the order of earliest to latest, then to penalties, interest and unemployment contributions, in that order.

EXAMPLE: An employer owes $200 in contributions and $50 in interest for the first quarter of 2016. The employer remits $100 and asks that it be credited to the unpaid contributions due for the first quarter of 2016. $50 will be credited to the accrued interest for the first quarter of 2016, and $50 will be credited to the unpaid contributions due for the first quarter of 2016.

History

• Source: Amended at 43 Ill. Reg. 1585, effective January 15, 2019

56 Ill. Adm. Code 2765.50 Accrual of Interest

a) The contributions or payments in lieu of contributions (reimbursements) shall bear interest from the day following the due date of such contributions or reimbursements, up to and including the day payment is made, as shown by the date of the postmark thereon, if mailed; except that, after December 31, 1987, payments received more than 30 days after the due date shall be deemed to have been received on the last day of the month preceding the month in which such payment is received. For example, a payment which was due on April 30, 1988, but received on July 14, 1988, shall be deemed, for the purpose of calculating interest, to have been received on June 30, 1988. Interest accrues at the rate of 1% per month and 1/30 of 1% per day or fraction thereof through December 31, 1981. After 1981, such interest will accrue at the rate of 2% per month, calculated at 12/365 of 2% for each day.

b) The Director may waive interest for good cause as provided in this Part.

History

• Source: Amended at 17 Ill. Reg. 308, effective December 28, 1992

56 Ill. Adm. Code 2765.55 Imposition of Penalty

a) The penalty for late filing of the "Employer's Contribution and Wage Report" provided in Section 1402B of the Act shall be a sum equal to the lesser of $5 for each $10,000 or fraction thereof of the total wages for insured work paid during the period or $2,500, for each month or part thereof of such failure to file the report. In no case, however, will the penalty be less than $50 nor more than the lesser of $10 for each $10,000 or fraction thereof of the total wages for insured work paid during the period or $5,000.

b) If a timely wage report is deemed insufficient (see Section 2760.120(a)) by the Director, the employer has 30 days after the mailing of the notice of such insufficiency to the employer within which to file a corrected and sufficient wage report without penalty.

c) A penalty may be waived for good cause shown as provided in Sections 2765.65 and 2765.68.

History

• Source: Amended at 16 Ill. Reg. 2131, effective January 27, 1992

56 Ill. Adm. Code 2765.56 Imposition of Late Reporting Penalty for Employers Who Employ Household Workers and Elect to File Reports on an Annual Basis

When an employer to whom 56 Ill. Adm. Code 2760.128 applies and who provides the notice described in subsection (b) of that Section does not submit all quarterly reports of wages paid to household workers during the calendar year, along with all quarterly reports of contributions due with respect to those wages, by April 15 of the immediately following calendar year, the Director shall impose the statutory penalty on the employer. The minimum penalty shall be $50, irrespective of the number of quarters for which the employer filed after April 15.

a) EXAMPLE: John Smith has notified the Director that he wishes to file his quarterly wage and contribution reports on an annual basis for 2008. He files his reports for the first, second and third quarters of 2008 on April 15, 2009. However, he does not file his fourth quarter report until April 20, 2009. The minimum penalty to be assessed for the delinquent fourth quarter report is $50.

b) EXAMPLE: John Smith has notified the Director that he wishes to file his quarterly wage and contribution reports on an annual basis for 2008. He files his reports for the first and second quarters of 2008 on April 15, 2009. However, he does not file his third and fourth quarter reports until April 20, 2009. The minimum penalty to be assessed for the delinquent third and fourth quarter reports combined is $50.

c) EXAMPLE: Joe Smith has notified the Director that he wishes to submit his quarterly wage and contribution reports on an annual basis. However, he fails to submit his reports for 2008 by April 15, 2009. He submits his reports for the first, second and third quarters of 2008 on September 15, 2009, but does not submit his report for the fourth quarter of 2008 until October 1, 2009. The minimum penalty to be assessed for the delinquent first, second, third and fourth quarter reports combined is $50.

History

• Source: Added at 33 Ill. Reg. 9658, effective July 1, 2009

56 Ill. Adm. Code 2765.60 Payment or Filing by Mail

Where the payment of contribution or filing wage reports is received through the United States mail and the postmark thereon bears a date within the prescribed time limits, the contributions or the wage reports shall be considered timely paid or filed, as the case may be.

History

• Source: Amended at 16 Ill. Reg. 2131, effective January 27, 1992

56 Ill. Adm. Code 2765.61 Waiver of Interest and Penalty for Employers Who Employ Household Workers and Who File Reports and Pay Contributions on an Annual Basis (repealed)

History

• Source: Repealed at 33 Ill. Reg. 9658, effective July 1, 2009

56 Ill. Adm. Code 2765.62 Temporary Waivers of Penalty

a) Subject to the limitations set forth in subsection (b), the penalties for failure to file a report as required by 56 Ill. Adm. Code 2760.125(a) for either or both of the first 2 months of a calendar quarter in compliance with 56 Ill. Adm. Code 2760.141(a) shall be waived when the employer timely files the report required for the third month of that quarter as required by 56 Ill. Adm. Code 2760.125(a)(1), in compliance with 56 Ill. Adm. Code 2760.141.

b) Subsection (a) shall not apply for months following the first 2 quarters that include months for which penalties have been waived pursuant to subsection (a) or for any months beginning after November 30, 2014.

c) Notwithstanding any other provision of this Part to the contrary, as a result of business interruptions and widespread closures resulting from COVID-19, the Director finds good cause for waiving any penalties imposed upon any employer for failing to submit or timely submit the report required under 56 Ill. Adm. Code 2760.125(a) for the month of February 2020.

History

• Source: Amended at 44 Ill. Reg. 13339, effective July 28, 2020

56 Ill. Adm. Code 2765.63 When Payment Due and Consequences of Upward Revision in Employer's Contribution Rate

a) Whenever an employer receives notice of a revised contribution rate that is higher than the rate given by the immediately preceding regular or revised rate notice, the employer shall have 30 days from the date of mailing of this revised rate notice to pay the additional amount of contributions due for that calendar year. This 30 day period shall be available to an employer whether or not the employer exercises its right to appeal this revised rate under Section 1509 of the Act.

b) If an employer pays an additional amount of contributions due as a result of an upward revision of its contribution rate within 30 days after the date of mailing of the revised rate notice, the employer shall be deemed to have paid this additional amount of contributions on the dates that its original contributions for that calendar year were paid in full. The payment of additional contributions within 30 days after the date of mailing of a higher revised contribution rate notice by an employer under this Section has two consequences:

1. No interest shall accrue on the employer's account from the dates of the original payments in full to the date the additional amount of contributions for that calendar year are received; and

2. The employer's additional payment will be credited for FUTA purposes as of the dates the original payments in full were made.

c) If an employer fails to pay the full amount of additional contributions due as a result of an upward revision to its contribution rate within 30 days after the date of mailing of the revised rate notice, the additional contributions due as a result of this higher rate shall accrue and become payable on the date the original contributions for that calendar year accrued and became payable in accordance with Section 1400 of the Act. Two results follow from an employer's failure to pay the additional contributions due under a revised higher contribution rate notice within 30 days after the date of mailing:

1. Interest shall accrue on the unpaid balance of the employer's account from the date that the original contributions accrued and became payable.

2. The employer's FUTA credit will be adjusted downward as of the date the original contributions accrued and became payable.

History

• Source: Amended at 43 Ill. Reg. 6480, effective May 14, 2019

56 Ill. Adm. Code 2765.64 Consequences When an Employee Leasing Company Has Erroneously Reported Wages and Paid Contributions When the Wages Should Have Been Reported and Contributions Paid by Its Client

a) When wages should have been reported and contributions paid by a client, but the wages were erroneously reported and the contributions paid by an employee leasing company, the Director shall, upon the joint request of the client and the employee leasing company, on a form available from the Director, transfer the contributions from the account of the employee leasing company to the account of the client, effective as of the dates that the report was submitted and the contributions paid by the employee leasing company, respectively. As a result, interest shall be due only to the extent that the amount due from the client exceeds the amount paid by the employee leasing company.

EXAMPLE: Employee Leasing Company X erroneously reports the wages of certain workers on its Wage Report and pays the contributions due on these wages. It is determined that the wages should have been reported instead by its client, Company Y. The Director shall, upon the joint request of Employee Leasing Company X and Company Y, transfer the payment made by Employee Leasing Company X to the credit of Company Y. The wages reported by the leasing company for Company Y's workers will also be credited to Company Y. As a result, Company Y will only owe additional contributions due, if any, to the extent that the amount due from it exceeds the amount paid by the employee leasing firm. To the extent that the payment by the employee leasing company was untimely or not sufficient to cover the amount due, interest shall accrue. If the amount paid by the employee leasing company exceeds the amount due from Company Y, Company Y may file a request for an adjustment or a refund of the overpayment to the extent and within the time allowed by Section 2201 of the Act.

b) Upon proper application of the client, on a form available from the Director, when wages should have been reported and contributions paid by a client, but the wages were erroneously reported and the contributions paid by an employee leasing company and the client presents evidence that the employee leasing company is no longer in business in Illinois and that the client was unable to obtain the assistance of the employee leasing company in complying with the requirements of subsection (a), the Director shall transfer available contributions from the account of the employee leasing company to the account of the client, effective as of the dates that the report was submitted and the contributions paid by the employee leasing company, respectively. As a result, interest shall be due only to the extent that the amount due from the client exceeds the amount paid by the employee leasing company and transferred to the client. For purposes of determining the amount of wages that should have been reported and contributions that should have been paid by the client, the Department shall use the amounts stated in any determination and assessment that has become final for the relevant quarters or, if none, the amount stated in an audit completed by the Department for the relevant quarters or, if none, the amounts stated in an amended wage report filed by the client. The Department shall use the total wages and wages subject to the payment of contributions stated in the determination and assessment, audit or amended wage report to adjust the employee leasing company's total wages and wages subject to the payment of contributions for each erroneously reported individual. For purposes of this subsection, available contributions, with respect to a quarter, means the product of the contribution rate used to calculate the amount of contributions that the employee leasing company paid for the quarter, multiplied by the wages on which the client should have paid contributions for the quarter, except as otherwise provided in this subsection. The amount of available contributions with respect to a quarter shall not exceed the amount of any credit standing to the employee leasing company's account for the quarter, as of the time of the application, based on the adjustment pursuant to this subsection with respect to the wages on which the client should have reported contributions. Before making a transfer pursuant to this subsection, the Department shall notify the employee leasing company, by certified mail at its last known address, of its intention to make a transfer of contributions pursuant to this subsection. The Department shall transfer the contributions unless the employee leasing company responds with information that contradicts the information provided by the client within 20 days after the date of mailing of the notice. If the employee leasing company timely responds with information that contradicts the information provided by the client, contributions shall not be transferred unless the parties submit a joint request under subsection (a). The notice shall not be necessary if the matter has been adjudicated as described in 56 Ill. Adm. Code 2725, and the employee leasing company was added as a necessary party under Section 2725.237 of that Part and given proper notice. The total amount of contributions transferred from an employee leasing company's account to a client's account pursuant to this subsection shall not exceed $1,000,000.

EXAMPLE 1: Employee Leasing Company X erroneously reports the wages of certain workers on its wage report and pays the contributions due on these wages. It is determined that the wages should have been reported instead by its client, Company Y. Y presents evidence that X is no longer in business and that there is no one who could agree to the joint transfer of contributions. The Director shall transfer any available contributions. If the amount of contributions available in the account of X is insufficient to cover the amount of contributions owed by Y, Y must pay the unpaid contribution balance, with interest, itself.

EXAMPLE 2: Employee Leasing Company X erroneously reports the wages of certain workers on its wage report and pays the contributions due on these wages. At the time, X's contribution rate was 1%, which resulted in $100 in contributions owed. It is determined that the wages should have been reported instead by its client, Company Y. Y presents evidence that X is no longer in business and that there is no one who could agree to the joint transfer of contributions. Y's contribution rate for the year was 6%, which will result in $600 in contributions owed by Y. Upon proper application of Y, the Director shall transfer the $100 in available contributions from the account of X to the account of Y. Y must pay the $500 in unpaid contributions, with interest, itself.

EXAMPLE 3: Employee Leasing Company A had agreements with Employers B, C and D for A to assume responsibility for personnel management of workers leased to each of B, C and D during the year 2016. Company A reported the identity of its clients B and C to the Department, as required by 56 Ill. Adm. Code 2732.306, but failed to report the identity of its client D. B, C and D each had one leased worker performing services for them; each leased worker was paid $10,000 in the first quarter of 2016. A's contribution rate for 2016 was 5%. Company A timely reported to the Department the wages of the leased workers providing services to B, C and D. According to the report submitted by A, A owed a total of $1,500 in contributions for the first quarter of 2016. However, A made payments to the Department totaling only $1,200. For 2016, B, C and D each had a contribution rate of 3.75%. In 2017, it is discovered that A failed to report D's identity to the Department and, therefore, D remained liable for the payment of contributions regarding its leased worker. D presents evidence that A is no longer in business in Illinois and that there is no one who could agree to the joint transfer of contributions. Under subsection (b), the amount of contributions available for transfer to D's account cannot exceed the amount of the credit standing to A's account for the quarter, as of the time of the application, based on the adjustment with respect to the wages on which D should have reported contributions due. The amount necessary to pay the contributions owed by A for the first quarter of 2016 is $1,000 (5% x $20,000). So even though D owes a total of $375 in contributions for 2016 (3.75% x $10,000), there is only $200 in available contributions to transfer to D's account ($1,200 - $1,000). D must pay the additional $175, plus interest, itself.

c) When multiple applications have been submitted under subsection (b), the applications shall be processed in the order in which the applications were received.

d) When multiple applications have been submitted under subsection (b), available contributions shall be transferred, as they become available, to the account that submitted the application that created the available contributions.

EXAMPLE: Employee Leasing Company A had agreements with Employers B, C and D for A to assume responsibility for personnel management of workers leased to each of B, C and D during the year 2016. Company A did not report the identity of B, C or D to the Department, as required by 56 Ill. Adm. Code 2732.306. B, C and D each had one leased worker performing services for them; each leased worker was paid $10,000 in the first quarter of 2016. A's contribution rate for 2016 was 5%. Company A timely reported to the Department the wages of the leased workers providing services to B, C and D. According to the report submitted by A, A owed a total of $1,500 in contributions. However, A made payments to the Department totaling only $500. For 2016, B, C and D also had contribution rates of 5%. In 2017, it is discovered that A failed to report D's identity to the Department and, therefore, D remained liable for the payment of contributions regarding its leased worker. D presents evidence that A is no longer in business in Illinois and that there is no one who could agree to the joint transfer of contributions. Under subsection (b), the amount of contributions available for transfer to D's account cannot exceed the amount of the credit standing to A's account for the quarter, as of the time of the application, based on the adjustment with respect to the wages on which D should have reported contributions due. At the time of D's application, the Department was not aware of A's relationship to B and C, or A's failure to report its relationship with B and C, and there was no credit standing to A's account. At the time of D's application, it appeared that the employee leasing company should have paid contributions of $1,000 for the first quarter of 2016. Since A paid only $500, there are no funds available to transfer to D. Subsequently, the Department discovers A's relationship with C, and the fact that the relationship was not properly reported to the Department, as required by 56 Ill. Adm. Code 2732.306. C's wages are removed from A's account, but still, there are no contributions available to transfer to C's account. At the time of C's application, it appears that A owes $500 in contributions for the first quarter of 2016. Since that is all A paid for the quarter, there is no credit standing to its account. Subsequently, the Department discovers A's relationship with B, and the fact that the relationship was not properly reported to the Department, as required by 56 Ill. Adm. Code 2732.306. B's wages are removed from A's account, which creates a credit balance of $500 in A's account. The available balance will transfer to the account of B.

History

• Source: Amended at 43 Ill. Reg. 1585, effective January 15, 2019

56 Ill. Adm. Code 2765.65 Waiver of Interest or Penalty

a) The Director is authorized to waive the payment of all or part of any interest or penalty upon proposed application and showing of good cause that consists of any or all of the following:

1. Where the delay was caused by the death or serious illness of the employer or a member of his immediate family, or by the death or serious illness of the person in the employer's organization responsible for the preparation and filing of the report or for making the payment.

2. Where the delay was caused by the destruction of the employer's business records by fire or other casualty without fault.

3. Where the Agency, in its written communication or through a specifically identified employee in oral communication directed to a specific employer account has affirmatively misled the employer as to its duties and obligations such that the charging of interest to the employer would violate the principle of equitable estoppel.

4. For the purposes of waiver of interest only: Where the employer relied to its detriment on a certificate issued by the Director pursuant to Section 2600 of the Act and the Director agrees, at a later date, that the certificate was issued in error, such waiver shall be granted from the date the erroneous certificate was issued to a date 30 days after notice that the original certificate was issued in error.

b) Where a delinquent employer enters into a Repayment Agreement and demonstrates to the Director the financial inability to pay an additional interest during the period of the Repayment Agreement, the Director may waive the interest which would have accrued during the period of the Repayment Agreement. The employer shall submit as evidence of its inability to pay:

1. Where available, a certified audit and statement of financial condition; or,

2. A copy of latest one year tax return and sworn statement regarding inability to pay and financial condition of business; and,

3. A statement that the financial condition could not have been controlled through reasonable business judgment and the evidence supporting this statement; and,

4. Evidence that it has paid all contributions accrued to date not subject to the Repayment Agreement.

c) The Director is authorized to grant a waiver of such additional interest for the period of the Repayment Agreement if his review of the evidence indicates that the payment of the additional interest imposed will force the employer to default on the agreement or force the employer into bankruptcy. If the employer fails to make the required payment of accrued contributions, interest and penalty during the period of the Repayment Agreement, such waiver of the additional interest is withdrawn.

d) The penalty for willful failure to pay contributions with intent to defraud cannot be waived by the Director for any cause.

History

• Source: Amended at 11 Ill. Reg. 12882, effective July 22, 1987

56 Ill. Adm. Code 2765.66 Waiver of Interest Accruing Because of Certain Types of Employees for Periods Prior to January 1, 1988

a) The Director shall find good cause for the waiver of all interest, accrued upon unpaid contributions which are due and owing for any period prior to January 1, 1988, if the contributions were based on the payment of wages in employment to an individual where:

1. The employer or its predecessor has not treated any individual holding a substantially similar position as an employee for purposes of the Act, or for Federal Unemployment Tax Act (FUTA), Internal Revenue Code or Social Security Act purposes, and;

2. The employer's treatment of such individual was in reasonable reliance upon:

A) A judicial precedent or an Internal Revenue Service letter ruling for the employer; or,

B) A past agency audit of such employer where there was no assessment attributable to the treatment of individuals holding positions substantially similar to the position held by such individual; or,

C) A long-standing industry practice recognized by a significant segment of the industry in which such individual or employer is engaged.

3. Example: Pursuant to this subsection, an employer requests a waiver of interest on contributions which were due and owing for the first quarter of 1987. Contributions for the first quarter of 1987 became due and owing on April 30, 1987 but had not been paid because the employer appealed a determination and assessment covering this period. The waiver, if granted would cover all interest which accrued from May 1, 1987 through the date that payment of the contributions was made. The employer must pay all contributions due for the first quarter of 1987 as a condition precedent to the granting of a waiver.

b) The provisions of Section 2765.74 shall not be applicable to requests for waiver under this Section.

c) The payment of all contributions assessed, within 30 days from the effective date of this Section or within 30 days from the date that such assessment becomes final, if such date is later, is a condition precedent to an application for waiver (see Section 2765.75) pursuant to this Section.

1. Example: During the course of a hearing pursuant to 56 Ill. Adm. Code 2725.200 et seq., the employing unit requests, on the record, that, if the subject assessment is affirmed, in full or in part, it be granted waiver pursuant to this Section. If it is recommended that the assessment be affirmed, in full or in part, the Director's Representative shall also recommend a decision with respect to the request for waiver. If such recommendation is to deny, objections may be filed in the same manner and within the same time limits as set forth in 56 Ill. Adm. Code 2725.275. If the request for waiver is granted, but the contributions assessed are not paid within 30 days from the date that the assessment becomes final, then the request for waiver shall be deemed to have been denied as of the date of the decision which had granted the waiver.

2. Example: An employer meets the requirements for waiver pursuant to subsection (a) above with respect to wages for services which were the subject of a determination and assessment which became final on February 13, 1988. If this employer has not yet paid this assessment, it has 30 days from the effective date of this rule to pay the contributions due and file its application for waiver.

3. Example: An employer meets the requirements for waiver pursuant to subsection (a) with respect to wages for services which are the subject of a determination and assessments which becomes final after the effective date of this rule. This employer has 30 days from the date that this assessment becomes final to pay the contributions due and file its application for waiver.

d) Notwithstanding any other provisions of this Part, no employer shall be entitled to a refund or credit of any interest paid prior to the adoption of this Section.

History

• Source: Amended at 17 Ill. Reg. 308, effective December 28, 1992

56 Ill. Adm. Code 2765.67 Partial Waiver of Interest Where an Employer Has Erroneously Reported Wages to the Wrong State

Where wages should have been reported to Illinois, but the employer has erroneously reported these wages to another state, if such employer makes payment of all contributions, penalties and interest (except the amount of interest that is subject to waiver under this Section) due within 30 days after the date that notice of its erroneous reporting is mailed to the employer, the Director shall waive interest to the extent that the amount of interest due exceeds the amount of interest that would have been due if the rate of interest imposed were the same as the rate of interest paid by the Secretary of Treasury on amounts held by the Secretary in the federal Unemployment Trust Fund during the same period.

Example: Employer A erroneously reports the wages of certain workers on its Iowa Unemployment Insurance Contributions Reports. It is determined that such wages should have been reported under the Illinois Unemployment Insurance Act. If this employer pays all contributions, penalties and interest due under the Illinois Act within 30 days after being notified of its erroneous reporting, the Director will waive any interest in excess of the amount of interest that would have been credited to Illinois if the employer's contributions had been credited to this State's account in the federal Unemployment Trust Fund as of the date that the contributions were due.

History

• Source: Added at 16 Ill. Reg. 12165, effective July 20, 1992

56 Ill. Adm. Code 2765.68 Waiver of Penalty for Certain Employers for 1987 and Thereafter Wage Reports

a) Notwithstanding any other provisions of this Part to the contrary, the Director shall waive the reporting penalty provided in Section 1402 of the Act for 1987 and for any reports of wages paid in calendar year 1987 and any calendar year thereafter, if the employer, within 30 working days after the date of mailing of the notice from the Agency that its report is delinquent, shows that the delinquent report is the employer's first late report during the last 20 calendar quarters, including quarters during which the employer was not required to file reports under the Act and:

1. in the case a contributory employer, the total amount of contributions due for the calendar quarter of the report is less than $500 (the amount due is disregarded for reimbursable employers); and

EXAMPLE: Employer A is required to file two reports for a quarter under 56 Ill. Adm. Code 2760.120. The total amount of contributions attributable to the first report is $400. The total amount of contributions attributable to the second report is $200. Employer A will not be entitled to waiver of penalty under this Section with respect to either report because the total amount of contributions due for the quarter is more than $500.

2. This delinquent report is the employer's first late report during the last 20 calendar quarters, including quarters during which the employer was not required to file reports under the Act.

b) The employer's application for this waiver shall be made in the form provided in Section 2765.75, except that it need not be sworn and instead of stating the "good cause applicable", the employer shall state that it met the requirements of subsections (a)(1) and (2). In support of its statement that it met the requirements of subsection (a)(1), the employer shall attach a copy of its Contribution and Wage Report for the applicable calendar quarter.

c) If the employer is required to file two reports under 56 Ill. Adm. Code 2760.120 and both reports are filed untimely, for the purposes of subsection (a)(2), both reports will be deemed to be a single delinquent report.

d) For purposes of subsection (a), a month for which the late filing penalty has been waived under any provision of Section 2765.62 shall not be considered a month for which the employer filed a late report.

History

• Source: Amended at 44 Ill. Reg. 13339, effective July 28, 2020

56 Ill. Adm. Code 2765.69 Partial Waiver of Interest Where an Employer Has Erroneously Paid Its Federal Unemployment Tax Act (futa) Tax in Full But Has Failed to Pay Its Illinois Unemployment Insurance Contributions

Where an employer has erroneously failed to pay its Illinois Unemployment Insurance contributions when due but instead timely paid the full amount of its Federal Unemployment Tax Act (FUTA) liability (6.2% for 1990) and that employer pays the full amount of any contributions, penalties and interest (except the amount of interest that is subject to waiver under this Section) due within 30 days after the date that notice of its failure to pay its Illinois Unemployment Insurance contributions is mailed to the employer, the Director shall grant a partial waiver of interest from the date that the employer made its FUTA payment. The extent of that waiver shall be the amount by which the amount of interest due exceeds the amount of interest that would have been due if the rate of interest imposed were the same as the rate of interest paid by the Secretary of Treasury on amounts held by the Secretary in the federal Unemployment Trust Fund during the same period.

Example: On January 31, 1990, Employer A erroneously pays the full FUTA amount on all of the wages that it paid in 1989 which were subject to that Act. On March 31, 1990, the Director notifies this employer that it has failed to pay its Illinois Unemployment Insurance contributions for 1989. If this employer pays the full amount of contributions, penalties and interest due in this matter by April 30, 1990, the Director will waive the interest due for the period from January 31, 1990 to the date of payment, to the extent that the amount of interest due exceeds the amount of interest that would have been due if the rate of interest imposed were the same as the rate of interest paid by the Secretary of Treasury on amounts held by the Secretary in the federal Unemployment Trust Fund during the same period.

History

• Source: Added at 16 Ill. Reg. 12165, effective July 20, 1992

56 Ill. Adm. Code 2765.70 Waiver of Interest for Certain Nonprofit Organizations or Local Governmental Entities

a) The Director shall waive interest on any unpaid contributions for a nonprofit organization, as defined in Section 211.2 of the Act, or a local governmental entity, as determined under Section 211.1 of the Act, if:

1. The organization or entity had never filed any of the reports or forms required of it under the Act; and

2. No unemployment insurance claims had been filed for which it is determined that the organization or entity was the chargeable employer as that term is used in Section 1502.1 of the Act; and

3. The chief operating officer of the organization or entity files an affidavit with the Director in which he states that, upon learning of the organization or entity's liability under the Act, he took immediate action to bring the organization or entity into compliance.

Example: Nonprofit organization A was created in 1985. Because it is not liable under the Federal Unemployment Tax Act (FUTA), it believed that it was not liable for state unemployment insurance contributions. As a result of an audit in 1992, it is determined the organization was liable since 1985 and owes unpaid contributions since 1989. If the organization had never filed any reports or forms required of it under the Act, if it had never been found to be a chargeable employer and if the chief operating officer tenders the appropriate affidavit, any interest on the unpaid contributions will be waived.

b) Any waiver of interest under this Section shall cover the period up to sixty days after the date that the organization or entity became aware of its liability under the Act. To stop further interest from accruing after that time, the organization or entity must pay the contributions due in full. However, nothing in this Section shall be interpreted as prohibiting an employer from seeking waiver of any additional interest under the other provisions of this Part.

History

• Source: Section repealed, new Section adopted at 17 Ill. Reg. 308, effective December 28, 1992

56 Ill. Adm. Code 2765.71 Waiver of Interest Accruing Due to a Delay in the Issuance of a Decision on a Protested Determination and Assessment

a) The Director shall find good cause for the waiver of all interest accrued upon unpaid contributions due and owing pursuant to a Determination and Assessment for any period from the 181st day after the date on which the employer filed its sufficient Petition in protest to the Determination and Assessment (see 56 Ill. Adm. Code 2725.110) to 60 days after the later of the date of the decision of the Director in the matter (see 56 Ill. Adm. Code 2725.280) or the date that the Department mails the employer a statement of the balance due on its account as a result of the recommended decision in the matter (see 56 Ill. Adm. Code 2725.270) or the decision of the Director in the matter, but only to the extent that the delay was not caused by the employer or its agent.

1. EXAMPLE 1: The employer files its sufficient Petition to protest a Determination and Assessment on March 1, 2017. After completion of the administrative process within the Department, a decision of the Director, affirming the Determination and Assessment, is issued on October 16, 2017. On October 19, 2017, the Department mails the employer a statement of the balance due on its account as a result of the decision of the Director. Pursuant to this subsection (a), this employer will be entitled to a waiver of interest from August 29, 2017 (the 181st day after the date on which the employer filed its Petition) to December 15, 2017 (60 days after the Department mailed the employer a statement of the balance due on its account as a result of the decision of the Director).

2. EXAMPLE 2: The employer files a sufficient Petition to protest a Determination and Assessment on March 1, 2017. A hearing is scheduled for April 3, 2017. The employer's accountant is not available on April 3, 2017, so the employer requests a continuance until April 5, 2017. Because the Director's representative already has hearings scheduled for the month of April, a continuance is granted until May 12, 2017, the next available hearing date. After completion of the administrative process within the Department, a decision of the Director, affirming the Determination and Assessment, is issued on October 16, 2017. On the same day, the Department mails the employer a statement of the balance due on its account as a result of the decision of the Director. Pursuant to this subsection (a), this employer will be entitled to a waiver of interest from October 7, 2017 (the 181st day after the date on which the employer filed its petition plus the 39 day delay attributable to the employer's request for a continuance) to December 15, 2017.

3. EXAMPLE 3: An employer association requests that the Director not make any decision on Determination and Assessments based on a particular issue while the legislature is discussing a possible change in the statute on that issue. Any delays in issuing decisions on that particular issue caused by the Director agreeing to hold those cases are not attributable to the employer or its agent.

4. EXAMPLE 4: On March 1, 2017, an employer files a sufficient Petition to protest a Determination and Assessment. A hearing is held on April 3, 2017. At the conclusion of the hearing, the employer's attorney requests 45 days in which to submit a brief in support of its position. Because this additional delay is attributable to the agent of the employer, these additional days are added in determining the extent of waiver to be granted to this employer.

b) The provisions of Section 2765.74 shall not be applicable to requests for waiver under this Section.

c) The payment of all contributions assessed, all penalties due and any interest not subject to waiver, within 60 days after the date of the decision of the Director or the date that the Department mails the employer a statement of the balance due on its account as a result of the decision of the Director in the matter, whichever is later, is a condition precedent to a waiver of interest pursuant to this Section.

EXAMPLE: On July 1, 2016, an employer files a sufficient Petition in protest to a Determination and Assessment. The Director issues a decision affirming the Determination and Assessment on March 1, 2017. On the same day, the Department mails the employer a statement of the balance due on its account as a result of the decision of the Director. In the decision, the Director grants a conditional waiver underthis Section from December 29, 2016 to April 30, 2017. December 29, 2016 is the 181st day after the date on which the employer filed its sufficient Petition in protest to the Determination and Assessment. If this employer has not yet paid this assessment, it has until April 30, 2017 to pay the contributions due. If the contributions are not paid by April 30, 2017, the condition precedent is not met, and the employer is not entitled to waiver under this Section.

d) The granting of waiver under this Section does not foreclose the granting of waiver to the employer under another Section of this Part for another period.

e) When no objection is filed to the recommended decision of the Director's representative and that recommended decision becomes the decision of the Director pursuant to 56 Ill. Adm. Code 2725.270(d), the date of the Director's decision shall be the date on which the recommended decision of the Director's representative becomes the decision of the Director.

EXAMPLE 1: The recommended decision of the Director's representative is issued on October 2, 2017. If no objections are filed by October 22, 2017, the recommended decision becomes the decision of the Director on October 23, 2017. October 23, 2017 is the date of the decision of the Director.

EXAMPLE 2: The employer files a sufficient Petition to protest a Determination and Assessment on March 1, 2017. The recommended decision of the Director's representative is issued on October 2, 2017. The employer calls the Department on October 3, 2017 to ask for a statement of the balance due on its account as a result of the recommended decision. The Department mails the employer the statement on October 4, 2017. The employer does not file objections by October 22, 2017, so the recommended decision becomes the decision of the Director on October 23, 2017. This employer will be entitled to a waiver of interest from August 29, 2017 (the 181st day after the date on which the employer filed its petition) to December 22, 2017 (60 days after the date of the decision of the Director).

EXAMPLE 3: The employer files a sufficient Petition to protest a Determination and Assessment on March 1, 2017. The recommended decision of the Director's representative is issued on October 2, 2017. The employer calls the Department on October 3, 2017 to ask for a statement of the balance due on its account as a result of the recommended decision. The Department mails the employer the statement on November 6, 2017. If no objections are filed by October 22, 2017, the recommended decision becomes the decision of the Director on October 23, 2017. This employer will be entitled to a waiver of interest from August 29, 2017 (the 181st day after the date on which the employer filed its Petition) to January 5, 2018 (60 days after the Department mailed the employer a statement of the balance due on its account as a result of the decision of the Director).

History

• Source: Amended at 43 Ill. Reg. 1585, effective January 15, 2019

56 Ill. Adm. Code 2765.73 Waiver of Penalties and Interest for Certain Nonprofit Organizations

a) Upon application of an employer, the Director shall find good cause to grant a conditional waiver of any reporting penalty required by Section 1402 of the Act and any interest owed by the employer with respect to contributions due, and interest on past due payments in lieu of contributions, for quarters prior to calendar year 2014 and specified in the conditional waiver, provided the following conditions are met:

1. the employer is an Illinois nonprofit organization, as that term is used in Section 211.2 of the Act, and a local affiliate of a national organization that holds a congressional charter under 36 USC, whose purpose is to promote the health, social, educational, vocational, and character development of youth;

2. the employer experienced a decrease of more than $50,000 from its prior fiscal year in the value of its total net assets in:

A) each of the employer's two fiscal years preceding the first quarter specified in the conditional waiver; and

B) each of at least two of the employer's fiscal years that include one or more quarters specified in the conditional waiver; and

3. the losses described in subsection (a)(2) are established by certified, audited statements of the financial condition of the employer.

b) The Director shall waive penalties and interest covered by a conditional waiver granted under subsection (a) upon payment, within four years after the date on which the conditional waiver is granted, of the full amount of all contributions and payments in lieu of contributions due for the quarters specified in the conditional waiver.

c) A conditional waiver granted under subsection (a) shall be revoked by the Director when:

1. payment of the contributions due, and past due payments in lieu of contributions, for the quarters specified in the conditional waiver is to be made pursuant to a deferred payment agreement and the employer commits a substantial breach of that agreement; or

2. the employer fails to timely pay contributions or payments in lieu of contributions due for quarters not specified in the conditional waiver.

d) Notwithstanding subsection (a), the Director shall not grant more than one conditional waiver of interest with respect to contributions due, or past due payments in lieu of contributions, for the same quarter.

History

• Source: Amended at 43 Ill. Reg. 1585, effective January 15, 2019

56 Ill. Adm. Code 2765.74 Time for Paying or Filing Delayed Payment or Report

In order to obtain a waiver of all or part of any penalty, the employer must (in addition to filing an application for waiver as provided in Section 2765.68 or 2765.75) file the delayed report within 30 days after the date of the resolution of the occurrence or event relied upon as a ground for waiver. In order to obtain a waiver of all or part of any interest, the employer must (in addition to filing an application for waiver as provided in Section 2765.75), except if the ground for waiver is Section 2765.65(c), make the late payment of all contributions due and file all wage reports for the period covered by the waiver within 30 days from the date of the resolution of the occurrence or event relied upon as a ground for waiver.

History

• Source: Amended at 43 Ill. Reg. 1585, effective January 15, 2019

56 Ill. Adm. Code 2765.75 Application for Waiver

In order to obtain a waiver of all or part of any interest or penalty, the employer must file a signed written application for waiver of the interest or penalty, or both, with the Department within the time limits set forth in Section 2765.74. The application should be filed online using MyTax Illinois (mytax.illinois.gov) or by mail to the Illinois Department of Employment Security, in care of the Revenue Division, at the address stated in 56 Ill. Adm. Code 2712.10. An application is not complete unless it contains the name and address of the employer, the U.I. account number, the period involved and the good cause applicable. The late payment or missing report, as provided in Section 2765.74, must accompany the application. If an application for waiver has been timely filed, an employer may file additional information to be considered as part of its application within 30 days after filing the application.

History

• Source: Amended at 49 Ill. Reg. 11153, effective August 20, 2025

Chapter IV Department of Employment Security

Subchapter c Rights and Duties of Employers

Part 2765 Payment of Unemployment Contributions, Interest and Penalties

56 Ill. Adm. Code 2765.80 Approval of Application for Waiver

If the good cause relied upon in the application is sufficiently demonstrated by verifiable facts and circumstances, or supported by documentary evidence, such as a medical doctor's certificate, death certificate, or photocopies of the proof of casualty, the Director shall approve the application and issue an order granting the waiver.

56 Ill. Adm. Code 2765.85 Insufficient or Incomplete Application

If the application contains an allowable good cause but otherwise is insufficient or incomplete in other respects, the employer has 15 days after the date of the Director's notice of application deficiency within which to file an amended application based on the same ground. If an amended application for waiver has been timely filed, an employer may file additional information to be considered as part of its amended application within 30 days after the period for filing an amended application for waiver has ended.

History

• Source: Amended at 43 Ill. Reg. 1585, effective January 15, 2019

56 Ill. Adm. Code 2765.90 Disapproval of Application Conclusive

An order disapproving an application for lack of good cause, because the amended application alleges a good cause not timely alleged in the original application or because the application fails to meet the requirements for waiver set forth in Section 2765.68 shall be final and conclusive upon the employer unless he shall file an appeal therefrom with the Revenue Division within twenty days from the date of mailing of the order.

History

• Source: Amended at 12 Ill. Reg. 20484, effective November 28, 1988

56 Ill. Adm. Code 2765.95 Appeal and Hearing

The conduct of the appeal and hearing will be the same as that provided for Determination and Assessment under 56 Ill. Adm. Code 2725.

History

• Source: Amended at 11 Ill. Reg. 12882, effective July 22, 1987

56 Ill. Adm. Code 2765.200 Transfer of Trade or Business Subject to Section 1507.1 of the Act

a) Within 30 days after the date of any transfer to which Section 1507.1(A)(1) of the Act applies, the transferor and transferee shall provide the Department the number of covered workers employed by the transferor on the last day of business immediately preceding the date of transfer and the number of those workers transferred to the transferee.

b) In the case of a transfer to which Section 1507.1 (A)(1) of the Act applies:

1. Of the benefit charges that were incurred by the transferor, and wages that were paid by the transferor for insured work, for each calendar quarter prior to the quarter in which the transfer takes effect:

A) the percentage apportioned to the transferee shall equal the percentage of the covered workers transferred to the transferee; and

B) the percentage apportioned to the transferor shall equal;

i) the difference between 100% and the percentage apportioned to the transferee pursuant to this subsection (b)(1); or

ii) in the case of multiple transferees, the difference between 100% and the percentage apportioned to the transferees pursuant to this subsection (b)(1).

2. Of the benefit charges that were incurred by the transferor, and wages that were paid by the transferor for insured work prior to the transfer, for the calendar quarter in which the transfer takes effect;

A) the percentage apportioned to the transferee shall equal the percentage of the covered workers transferred to the transferee multiplied by the quotient obtained by dividing the number of the days elapsed in the quarter as of the day of the transfer, including the day of the transfer, by the total number of days in the quarter, rounded to the nearest multiple of .0001% (e.g., if the transfer occurred on November 7, the quotient would be 41.3043% because the transfer occurs on the 38th day of the quarter and there are 92 days in that quarter); and

B) the percentage apportioned to the transferor shall equal:

i) the difference between 100% and the percentage apportioned to the transferee pursuant to this subsection (b)(2); or

ii) in the case of multiple transferees, the difference between 100% and the percentage apportioned to the transferees pursuant to this subsection (b)(2).

EXAMPLE: On November 7, 2017, Employer A transfers 30.0000% of its covered workers to Employer B. At the time of the transfer, there was substantial common ownership, management, or control of Employers A and B. Thirty percent of the benefit charges incurred by A, and 30.0000% of the wages paid by A for insured work, for all quarters prior to the 4th quarter of 2017, will be transferred to Employer B. For the 4th quarter of 2017, since there are 92 days in the quarter, and since the transfer occurred on the 38th day of the quarter, 12.3913% of the benefit charges Employer A incurred, and 12.3913% of the wages Employer A paid for insured work, prior to the transfer, for the quarter (30.0000% of 41.3043%) will be apportioned to Employer B. The remainder will be apportioned to Employer A.

3. For purposes of this subsection (b), the percentage of covered workers transferred to the transferee shall equal the number of covered workers employed by the transferor on the last day of business immediately preceding the date of transfer divided into the number of those workers transferred to the transferee. The percentage shall be calculated to the nearest multiple of .0001% and, if equally near to 2 multiples of .0001%, increased to the higher multiple of .0001%;

EXAMPLE: Employer A has 165 covered workers as of November 6, 2017. On November 7, 2017, Employer A transfers 11 of those workers to Employer B. The percentage of the covered workers transferred to Employer B equals 6.6667 percent (11 divided by 165 equals 0.06666667 calculated to 8 decimal places and equals 6.6667% rounded to the nearest multiple of .0001%).

4. As of the effective date of the transfer, the transferor and transferee shall each be considered to have been liable for the payment of contributions during each calendar year during which the transferor was liable for the payment of contributions.

EXAMPLE: Employer A incurred liability for the payment of contributions in each of the calendar years 2010 through 2017. Prior to the transfer, Employer B incurred liability for the payment of contributions in calendar year 2017. On May 7, 2017, Employer A transfers a portion of its trade or business to Employer B. At the time of the transfer, there was substantial common ownership, management, or control of Employers A and B. As a result, Employers A and B will have incurred liability for the payment of contributions in each of the calendar years 2010 through 2017.

History

• Source: Amended at 43 Ill. Reg. 1585, effective January 15, 2019; expedited correction at 43 Ill. Reg. 11054, effective January 15, 2019

56 Ill. Adm. Code 2765.210 Prohibition on Withdrawal of Joint Application for Partial Transfer of Experience Rating Record

A joint application for partial transfer of the predecessor's experience record, pursuant to Section 1507B of the Act, cannot be withdrawn after it has been submitted to the Director.

a) EXAMPLE: After filing a joint application for partial transfer of the predecessor's experience rating record, one of the applicants determines that the partial transfer will result in an increase in its contribution rate. Notwithstanding the increase in its contribution rate, the applicant cannot request to withdraw its joint application for the partial transfer of the predecessor's experience rating record.

b) EXAMPLE: After the filing of a joint application for partial transfer of the predecessor's experience rating record, the Agency determines that the provisions of Section 1507B of the Act are met but that an affiliation (as described in the last paragraph of Section 1507B of the Act) exists, an applicant cannot request to withdraw its joint application for the partial transfer of the predecessor's experience rating record.

History

• Source: Amended at 43 Ill. Reg. 6480, effective May 14, 2019

56 Ill. Adm. Code 2765.220 Determination of Benefit Ratio

In determining the benefit wage or benefit ratio referred to in Section 1503.1 of the Act for any calendar year, the resulting percentage shall be increased or reduced, as the case may be, to the nearer multiple of one-ten thousandth of one percent. If the number is equally near to 2 multiples of one-ten thousandth of one percent, it shall be increased to the higher multiple of one-ten thousandth of one percent.

EXAMPLE: An employer has incurred liability for the payment of contributions within each of the three calendar years immediately preceding calendar year 1991. Its benefit charges for the 12 consecutive month period ending on June 30, 1990 are $1,659.00. The benefit conversion factor for this period is 139%. The product of its benefit charges times the benefit conversion factor for this period is $2,306.01. Its taxable wages for this period are $340,590.00. Its benefit ratio determined by dividing $2,306.01 by $340,590.00 equals .67706% when calculated to one-hundred thousandths of one percent. Under the rounding rule set forth in this section, its benefit ratio is increased to .6771%.

History

• Source: Amended at 43 Ill. Reg. 6480, effective May 14, 2019

56 Ill. Adm. Code 2765.225 Requirement for Privity in Order to Have a Predecessor Successor Relationship

In order for a predecessor successor relationship to exist under Section 1507 of the Act, there must be privity between the predecessor employing unit and the successor employing unit.

a) EXAMPLE: AAA Oil Company, that owns all the equipment and inventory at a gas station, leases the station to Company B that becomes a liable employer under the Act. When Company B's lease expires, AAA Oil Company refuses to renew the lease and, instead, leases the station to Company C. Company C is not a successor to Company B because there is no privity between Company B and Company C.

b) EXAMPLE: Mr. Johnson operates a restaurant. Bank A has a chattel mortgage on the fixtures of the restaurant and Bank B has a mortgage on the building that houses the restaurant. Both Bank A and Bank B foreclose on their mortgages and Mr. Johnson goes out of business. The banks sell their interests in the restaurant fixtures and building to Mr. Moore who opens another restaurant at this same location. Mr. Moore is not a successor to Mr. Johnson because there is no privity between Mr. Moore and Mr. Johnson.

History

• Source: Amended at 43 Ill. Reg. 6480, effective May 14, 2019

56 Ill. Adm. Code 2765.228 No Requirement for Continuous Operation in Order for a Predecessor Successor Relationship to Exist

The employing enterprise that forms the basis for a predecessor successor relationship under Section 1507 of the Act is not required to be operated without interruption during the time that predecessor employing unit is succeeding to the employing enterprises in order for the relationship to exist. However, any interruption in operations must be reasonable in light of the particular industry and, under no circumstances, may exceed one year.

a) EXAMPLE: In April, 1991, Mr. Stella purchases a cafe owned by Ms. Pauli. Mr. Stella decides that the cafe must be remodeled prior to his operating the business. Such remodeling takes three months. This three month gap in the operation of the cafe does not preclude Mr. Stella from being the successor to Ms. Pauli if the three month remodeling period is not unreasonable in the restaurant industry.

b) EXAMPLE: In February, 1991, S Company purchases the concession business at a county fairgrounds from P Company. This business normally operates between May and September. The gap between the date of purchase and the time that the business begins to operate in May will not preclude S Company from being found to be a successor to the employing enterprise of P Company.

History

• Source: Amended at 43 Ill. Reg. 6480, effective May 14, 2019

56 Ill. Adm. Code 2765.230 Effect of a Transfer of Physical Assets on a Finding That a Predecessor Successor Relationship Exists

In order for a predecessor successor relationship under Section 1507 of the Act to exist, it is not necessary that there be a transfer of physical assets from one employing enterprise to another. However, when only physical assets are transferred, without the transfer of good will, the assumption of obligation or the continuation of the enterprises, no predecessor successor relationship exists.

a) EXAMPLE: Abe and Bill operate a partnership, known as A & B House Painters, that is an employer under the Act. When the partnership dissolves, Abe retains title to the physical assets which he then sells. Bill, now a sole proprietor, continues to operate the employing enterprise by continuing to service the customers of the partnership. Even though he received none of its physical assets, Bill is a successor to the partnership.

b) EXAMPLE: Alice and Bert operate a partnership, known as A & B House Painters, which is an employer under the Act. When the partnership dissolves, Alice retains title to the physical assets which she then sells to Clyde who also operates a house painting business. Clyde does not obtain any of the good will of A & B nor does he service any of its customers. Clyde is not a successor to A & B.

History

• Source: Amended at 43 Ill. Reg. 6480, effective May 14, 2019

56 Ill. Adm. Code 2765.325 Application of "30 Day" Requirement for Determining the Chargeable Employer Pursuant to Section 1502.1 of the Act

a) Except as provided in the other subsections of this Section and in Sections 2765.326, 2765.332, 2765.333 and 2765.334, the last employer prior to the beginning of the individual's benefit year (which is defined at Section 242 of the Act) for whom the individual provided services during at least 30 days beginning with the first day of the individual's base period (which is defined at Section 237 of the Act) but prior to the beginning of his benefit year shall be liable for the benefit charges or payments in lieu of contributions, as the case may be, which result from any benefits paid to that individual.

1. Example: Immediately prior to filing his claim for unemployment benefits, the individual provides services to Company A, a liable, contributing employer, for 20 days. Prior to this period, he provides services to Company B, a liable, contributing employer, for 30 days. Prior to working for Company B and throughout his base period, the individual has provided at least 10 days of service to Company A. In this example, Company A will be the chargeable employer and will be liable for any benefit charges which might accrue as a result of any benefits paid to this individual. This is because the individual's last employer prior to the beginning of his benefit year is Company A and he provided services to Company A during at least 30 days during the period from the beginning of the individual's base period to the beginning of his benefit year. Pursuant to Section 1502.1 of the Act, it is not necessary for the 30 days of services by the individual to be consecutive.

2. Example: Prior to the beginning of his benefit year, the individual provides services only to Company A, a liable, contributing employer, for over ten years. Company A will be this individual's chargeable employer with respect to this individual's entire benefit year because Company A is the individual's last employer of at least 30 days prior to the beginning of his benefit year. If, after claiming benefits for a few weeks, this individual is employed by Company B, a liable, contributing employer, for six months, is laid off by Company B and files an additional claim, Company A will still be the chargeable employer of this individual with respect to any benefit charges which might accrue with respect to the additional claim. Company A remains liable for the benefit charges which accrue during the entire benefit year regardless of the number of times that the individual is laid off and becomes reemployed.

3. Example: Prior to the beginning of his benefit year, the individual is employed on an as-needed basis (some weeks the individual might work four days, other weeks he might not work at all) for Company A, a liable, contributing employer. While so employed by Company A, the individual is also employed on a full time basis for Company B, a liable, contributing employer. The individual is laid off by Company B and is offered two days of work by Company A. After working for these two days, no other work is currently available with Company A, and the individual files a claim for benefits. If the individual has been employed by Company A for at least 30 days from the beginning of his base period to the beginning of his benefit year, Company A will be liable for any benefit charges which might accrue as a result of any benefits which might be paid to this individual. This is because, despite the individual's full time employment with Company B, the individual's last employer for whom he provided services of at least 30 days during the applicable period was Company A, and it was his separation from Company A that caused the individual to become "unemployed."

4. Example: Assume the same facts as in subsection (a)(3), except that, instead of being an as-needed employee, the individual continues to provide less than full time services to Company A and earns less than his weekly benefit amount. In that case, Section 2765.326 shall apply, and Company B will be the chargeable employer because it caused this individual to become unemployed as defined in Section 239 of the Act.

5. Example: The individual is a substitute teacher. Whenever she is available to teach, she calls in for assignments with her school district, a local governmental entity which has elected to make payments in lieu of contributions. During the first semester of the school year, she teaches only 32 days. She, however, did not work for the school district during her base period. If she now files a claim for benefits, her school district will be liable for 50% of any payments in lieu of contributions which would result if she would be paid benefits. This is because, despite her services being performed over a five month period, the school district is the last employer prior to the beginning of her benefit year and she has provided the required 30 days of services during the applicable period. The employer is only liable for 50% of the amount of the benefits paid because the individual performed no services for this employer during her base period (see Section 1405(B) of the Act.)

6. Example: The individual is employed for 25 days during his base period for City A, a local governmental entity which has elected to make payments in lieu of contributions. He then works for Company B, a liable, contributing employer for approximately ten months. After being laid off by Company B, he is again employed by City A which then lays him off after five days. City A will be liable for payments in lieu of contributions equal to 100% of the benefits paid to this individual. This is because City A is the individual's last employer prior to the beginning of his benefit year, and this individual was employed for at least 30 days beginning with the start of his base period and prior to the beginning of his benefit year. City A is liable for 100% of the benefits paid because, in addition to being the chargeable employer as provided in this subsection, the individual also provided services for this employer during his base period. If this employer had met the requirements to be the chargeable employer but this individual had not provided services to this employer during his base period, then this employer would have been liable for only 50% of the payments in lieu of contributions made to this individual as in subsection (a)(5).

7. Example: The individual is employed by several different employers from the beginning of his base period until he first files a claim for benefits. However, he does not provide services for at least 30 days to any single employer during this period. Therefore, there is no chargeable employer, and no employer will be liable for either the benefit charges or payments in lieu of contributions as a result of payments made to this individual during this claim for benefits.

8. Example: An individual is employed during his entire base period for Company A, a liable, contributing employer. After being laid off by Company A, he works for at least 30 days for the State of Illinois, which makes payments in lieu of contributions pursuant to Section 1403 of the Act. If this individual files a claim for benefits, the State of Illinois will be liable for an amount equal to 50% of the benefits paid to this individual since the State of Illinois is the chargeable employer but not a base period employer.

b)

If the last organization or person for whom the individual provided at least 30 days of service is not an employer, as defined by Section 205 of the Act, then no employer shall be the chargeable employer, and any benefit charges or payments in lieu of contributions which accrue as a result of benefits paid to the individual shall not become the benefit charges or the amounts due of any employer. Whether the last organization or person for whom the individual provided at least 30 days of service is an employer, as defined by Section 205 of the Act, is determined as of the effective date of the claim and is unaffected by a later determination of liability based on events which occur after the effective date of the claim.

1. Example: An individual is employed during his entire base period for Company A, a liable, contributing employer. He then leaves Illinois and obtains work in California for at least 30 days for an organization which is not liable under the Act. If this individual is laid off from his California job and files a claim against Illinois based on his Illinois base period wages, no employer shall be liable for any benefit charges for any benefit payments made to this individual. This is because the California organization is not an employer under the Act and, therefore, cannot be the chargeable employer under this Section.

2. Example: An individual is employed during his entire base period for Company A, a liable, contributing employer. After being laid off by Company A, he works for at least 30 days for the U. S. Postal Service, which is not an employer under the Act and for which reimbursement for any benefits paid is determined pursuant to Federal Regulations. He is then laid off by the Postal Service. If this individual files a claim for benefits, no employer shall be liable for any benefit charges for any benefit payments made to this individual. This is because the U. S. Postal Service is not an employer under the Act and, therefore, cannot be the chargeable employer under this Section.

3. Example: An individual files a claim for benefits, effective March 11, 1990, after having last been employed by Company A which began business as of January 1, 1990. As of March 11, 1990, Company A is not an employer under the Act because it has not yet had one or more employees in each of twenty or more weeks nor has it paid at least $1,500 in wages in a calendar quarter. However, as of September 10, 1990, it has one or more employees in each of twenty or more weeks, and, therefore, its liability is made retroactive to January 1, 1990. In this case, Company A will not be the chargeable employer because its liability is a result of a retroactive determination based on events subsequent to the effective date of the individual's claim.

4. Example: An individual files a claim for benefits, effective March 11, 1990, after having last been employed by Company A which claims that it is not liable under the Act because it has no employees. On September 10, 1990, there is a determination and assessment, which becomes final, which holds that Company A is liable for unpaid contributions on the wages of workers whom Company A had not considered employees. This is not a retroactive determination, and Company A can be held to be the chargeable employer of this individual.

c) Notwithstanding any other provision of this Subpart, no employer shall be the chargeable employer of an individual who was either discharged for misconduct connected with the work or voluntarily left such employer without good cause or refused to accept an offer of or to apply for suitable work from that employer without good cause. Unless the next subsequent employing unit, if it is an employer under the Act and paid the individual an amount equal to his weekly benefit amount in each of four weeks after the beginning of the individual's benefit year, any payments which might result in benefit charges will be pooled and not charged to any employer. However, if the circumstances of the voluntary quit are those described in Section 601(B)(1) or Section 601(B)(2) of the Act, then, any payments which might result in benefit charges will become pooled costs and not be charged to any employer.

1. Example: The individual quits Company A where he was employed for at least 30 days. He then accepts employment with Company B where he works for two weeks and earns in excess of his weekly benefit amount. He is then laid off and files a claim for benefits. Pursuant to Section 601(B)(2) of the Act, this individual is not ineligible for benefits. However, if it is decided that the individual quit this job without good cause, no employer will be charged for the benefits paid to the individual. This is because the individual quit his job with Company A without good cause but under the circumstances described in Section 601(B)(2) of the Act.

2. Example: The individual is held to be ineligible for benefits by the claims adjudicator, Referee, Board of Review or court as a result of his discharge for misconduct by Company A, a liable, contributing employer. Thereafter, he returns to work and performs services for Company B, a liable, contributing employer, for three days per week for three weeks and is then laid off. However, he does earn an amount in excess of his weekly benefit amount in each of these weeks. He then performs services for Company C for one week and earns in excess of his weekly benefit amount before being laid off for lack of work. The individual is eligible for benefits because he met the requalification requirements of Section 602 of the Act. No employer will be the chargeable employer of this individual because he was discharged for misconduct connected with his work and because the next subsequent employing unit after his discharge did not pay him an amount equal to or in excess of his weekly benefit amount in each of four weeks.

3. Example: The individual is discharged from Company A, files a claim for benefits and is determined to be ineligible under Section 602 of the Act. He then returns to work for Company B, a liable, contributing employer, and earns in excess of his weekly benefit amount in each of four weeks. He is then laid off by Company B. Thereafter he is employed by Company C before being laid off. Company B will be this individual's chargeable employer because it was the individual's single employer following his discharge for misconduct from Company A, is an employer under the Act, paid the individual an amount necessary to requalify for benefits and the requalification occurred after the beginning of the individual's benefit year.

4. Example: Assume the same facts as in subsection (d)(3) except that Company B discharged the individual for misconduct connected with his work. In this case, no employer will be the chargeable employer because Company B cannot be the chargeable employer of an individual if it discharged him for misconduct connected with his work and, though Company C was the individual's next subsequent employer following his discharge for misconduct from Company B and paid the individual the amount necessary to requalify for benefits and the requalification occurred after the beginning of the individual's benefit year, the disqualifying event occurred after the beginning of the individual's benefit year.

5. Example: Assume the same facts as in subsection (d)(3) except that Company B is not an employer under the Act. In this case, no employer will be charged as a result of any benefits paid to this individual. This is because the individual was discharged for misconduct connected with his work by Company A and earned an amount equal to or in excess of his weekly benefit amount in each of four weeks after the beginning of his benefit year from Company B, an organization which is not subject to the Act. However, because it is not an employer under the Act, it cannot be charged and, therefore, the charges will be pooled.

6. Example: An individual is employed by Company A for several months before being laid off for lack of work. The individual does not file a claim for benefits immediately but goes on vacation. When he returns from vacation, Company A offers the individual a suitable job which he refuses without good cause. However, during that same week, he is hired by Company B where he then works less than 30 days but earns in excess of his weekly benefit amount in each of four weeks. When he is laid off by Company B, the individual files a claim for benefits and is not subject to disqualification for his refusal of work from Company A because he has had sufficient earning from Company B to purge any possible disqualification. Company A will not be charged for benefit charges which result from payments to this individual because the individual refused the Company's offer of suitable work without good cause. Company B will not be charged either because it paid this individual the amounts necessary to purge the possible disqualification before the beginning of the individual's benefit year. Therefore, in this case, no employer will be the chargeable employer, and the benefit charges will be pooled.

d) If no employer meets the requirements of this Subpart to be the chargeable employer for the second of two consecutive benefit years but there was a chargeable employer for the first benefit year, that employer will be the chargeable employer for that second benefit year.

Example: The individual is discharged for misconduct connected with his work by Company A, files a claim for benefits and is held ineligible pursuant to Section 602 of the Act. He then returns to work for Company B, a liable and contributing employer, and earns an amount equal to or in excess of his current weekly benefit amount in each of four calendar weeks, which is sufficient to requalify for benefits. He is then laid off by Company B and is now eligible for benefits. Under these circumstances, Company B will be charged for any benefit charges which accrue because it was the single employer which paid the individual the amount necessary to requalify for benefits and the requalification occurred after the beginning of the individual's benefit year. If this individual later files a second benefit year claim, Company B did not employ the individual for at least 30 days and paid the amount necessary for the individual to requalify prior to the beginning of the second benefit year. However, Company B will be the chargeable employer because there is no other employer that meets the requirements for chargeability and because it was the chargeable employer for the individual's first benefit year.

e) Whether the last employer for whom the individual provided at least 30 days of service is the chargeable employer is determined based on the circumstances as of the effective date of the initial claim for that benefit year and is unaffected by events which occur after that date.

Example: Company A is determined to be the chargeable employer of an individual who is laid off for lack of work and has filed an initial claim for unemployment insurance benefits. After a few weeks, this individual is recalled to work by Company A. A few months later, he quits his job with Company A and files an additional claim. Company A is still the chargeable employer since chargeability is determined based on the circumstances as of the effective date of the initial claim and is unaffected by the separation which occurred after that date.

f) Notice that a claim for benefits has been filed will be sent by the Agency to every employing unit for whom the individual provided services, subsequent to the services provided to the chargeable employer, prior to the beginning of the individual's benefit year.

History

• Source: Amended at 16 Ill. Reg. 12165, effective July 20, 1992

56 Ill. Adm. Code 2765.326 Requirement for a Separation or a Reduction in the Work Offered in Determining the Chargeable Employer Pursuant to Section 1502.1 of the Act

There must be either a separation from the employer or a reduction in the work offered which causes the individual to become unemployed, as defined in Section 239 of the Act, for the employer to be the chargeable employer under Section 1502.1 of the Act.

Example: For six months, an individual is employed on a full time basis for Company A and, at the same time, works part time for Company B, both liable, contributing employers. The individual is laid off by Company A but does not have sufficient base period earnings to immediately file a valid claim for unemployment benefits. He remains employed on a less than full time basis by Company B for several months until the base periods change. He now meets the requirements of Section 500E of the Act for establishing a valid claim based on his base period earnings from both Company A and Company B. If the individual continues to work, without a reduction in the work offered by Company B and earns less than his weekly benefit amount, even though he has not worked for Company A for several months, Company A will be held to be liable for any benefit charges which might accrue as a result of benefit payments to this individual. This is because Company B, while it meets the 30 day requirement, did not cause the individual to become unemployed because it neither caused his separation nor reduced the work offered to him.

History

• Source: Added at 13 Ill. Reg. 17410, effective October 30, 1989

56 Ill. Adm. Code 2765.328 What Constitutes a Day for Purposes of the "30 Day" Requirement in Section 1502.1 of the Act

a) The 30 day requirement, set forth in Section 2765.325, shall include any day on which any services are actually performed for the employer by the individual prior to the date of separation. The 30 day requirement, set forth in Section 2765.329, shall include any day on which any services are actually performed for the employer by the individual prior to the first of the week (Sunday) with respect to which the chargeable employer is being determined. If a shift covers two calendar days, only one day shall be included in determining whether the 30 day requirement has been met. The day included is the one on which the individual's shift begins. Paid sick days, vacation days, holidays or other similar paid, non-working days (e.g., "show-up" or stand-by pay days) shall not be counted toward meeting the 30 day requirement. Payments for wages in lieu of notice, pension or other retirement type payments or for severance pay also do not meet the requirements of this Section.

1. Example: The individual works a shift which begins at 10 pm on Monday and ends at 7 am on Tuesday. While this individual performs services for this employer on two calendar days, for the purpose of determining whether the 30 day requirement set forth in Section 1502.1 of the Act has been met, the individual's shift counts as only one day of service, Monday.

2. Example: The individual begins his shift at noon but becomes ill fifteen minutes later. Since the individual performed services for the employer for fifteen minutes, one day is counted toward meeting the 30 day requirement.

3. Example: The individual is scheduled to work on a certain day but fails to report for work because he is ill. Even if the employer provides paid sick leave to the individual for that day, it will not be counted toward the 30 day requirement.

4. Example: The individual receives paid sick leave from Company A, a nonprofit corporation, which elects to make payments in lieu of contributions, for 35 days during his base period. He has no other employment with Company A during his base period. He also performs services during his base period for Company B, a liable, contributing employer. After being laid off by Company B, he returns to Company A for 30 days before being again laid off. Company A will be liable for an amount equal to 100% of the benefits paid to this individual as payments in lieu of contributions. This is because Company A is the last employer of this individual; the 30 day requirement is met by the individual's employment; and the paid sick leave constitutes wages for insured work paid during the individual's base period.

5. Example: Upon the permanent layoff of an individual, the employer pays that individual for any unused, accrued vacation time that the individual is due and grants him severance pay in the amount of one day's pay for each year of continuous service. These payments are not included for the purpose of determining whether this employer has met the 30 day requirement.

6. Example: The individual works a four day work week, that is, instead of working eight hours per day, five days per week, he works ten hours per day, four days per week. Even if the individual's ten hour shift extends over two calendar days, each shift still counts as only one day, and this individual will have worked only four days in a normal work week.

7. Example: The individual had filed a new benefit year claim, effective January 10, 1993. He then works on Thursday, January 21, 1993, Friday, January 22, 1993, Saturday, January 23, 1993, and Sunday, January 24, 1993, for Company A before being laid off for lack of work. He files a claim for and is paid benefits for the week ending January 30, 1993. In determining the chargeable employer for that week, Sunday, January 24, 1993, is not counted in determining if this individual performed services for Company A for 30 days. This is because Sunday, January 24, 1993, does not occur prior to the beginning of the week with respect to which a chargeable employer is being determined.

b) Overtime work or working additional shifts shall not be included in determining whether the 30 day requirement has been met unless there is at least 6 hours between the beginning of the overtime work or the additional shift and the end of the prior shift and the overtime work or additional shift does not occur on a day which will be otherwise included in meeting the 30 day requirement.

1. Example: The individual's normal shift ends at 3 am, and he is asked to work the next shift which begins at 4 am. Even if he works both shifts, since there is not at least 6 hours between the shifts, only one day will be counted toward meeting the 30 day requirement.

2. Example: The individual's shift ends at 3 am on Saturday, and he is asked to return to work for an additional overtime shift from 9 am until 2 pm. He must then return to work at 7 pm to work his regular shift. This overtime work does not count as an additional day toward meeting the 30 day requirement because his regular shift begins that same day and would already be included in meeting the 30 day requirement.

3. Example: The individual's normal shift begins at 3 pm and ends at 11 pm. However, he is required to work four hours of overtime every day so that he does not complete his shift until 3 am. This shift still counts as only one day toward the 30 day requirement.

History

• Source: Amended at 17 Ill. Reg. 614, effective January 4, 1993

56 Ill. Adm. Code 2765.329 Application of "30 Day" Requirement for Determining the Chargeable Employer Pursuant to Section 1502.1 of the Act for Benefit Years Beginning on or After January 1, 1993

a) Effective with benefit years beginning on or after January 1, 1993, except as provided in the other subsections and in Sections 2765.326, 2765.330, 2765.332, 2765.333 and 2765.334, the last employer, prior to the beginning of each week claimed by the individual, for whom the individual provided services during at least 30 days beginning with the first day of the individual's base period (defined in Section 237 of the Act) but prior to the beginning of the week claimed shall be liable for the benefit charges or payments in lieu of contributions, as the case may be, that result from any benefits paid to that individual for that week of unemployment. Unless stated to the contrary, each of the examples in this Section assumes a benefit year beginning date on or after January 1, 1993.

1. EXAMPLE: Prior to the beginning of the week beginning on January 24, 1993, the individual provides services only to Company A, a liable, contributing employer, for over ten years. Company A is this individual's chargeable employer with respect to this individual for the week ending January 30, 1993 because Company A is the individual's last employer of at least 30 days prior to the beginning of the week beginning on January 24, 1993. If, after claiming benefits for a few weeks, this individual provides services to Company B, a liable, contributing employer, for six months, is laid off by Company B and files an additional claim, Company B will be the chargeable employer of this individual with respect to any benefit charges that might accrue with respect to weeks which are paid to the individual after the effective date of the additional claim.

2. EXAMPLE: Immediately prior to filing his claim for unemployment benefits for the week beginning on January 24, 1993, the individual provides services to Company A, a liable, contributing employer, for 20 days. Prior to this period, he provides services to Company B, a liable, contributing employer, for 30 days. Prior to working for Company B and throughout his base period, the individual has provided at least 10 days of service to Company A. Company A is the chargeable employer and is liable for any benefit charges that might accrue as a result of any benefits paid to this individual for the week ending January 30, 1993. Company A is the individual's last employer prior to the beginning of the week beginning on January 24, 1993 because he provided services to Company A during at least 30 days during the period from the beginning of his base period to the beginning of the week beginning on January 24, 1993. Pursuant to Section 1502.1 of the Act, it is not necessary for the 30 days of services by the individual to be consecutive.

3. EXAMPLE: The individual is employed on an as-needed basis (some weeks the individual might work four days, other weeks he might not work at all) for Company A, a liable, contributing employer. While so employed by Company A, the individual is also employed on a full time basis for Company B, a liable, contributing employer. The individual is laid off by Company B and is offered two days of work by Company A. After working for these two days, no other work is currently available with Company A, and the individual files a claim for benefits for the week ending January 23, 1993. If the individual has provided services to Company A for at least 30 days since the beginning of his base period, Company A will be liable for any benefit charges which might accrue as a result of any benefits that might be paid to this individual for this week. This is because, despite the individual's full time employment with Company B, the individual's last employer for whom he provided services of at least 30 days during the applicable period was Company A, and it was his separation from Company A that caused the individual to become "unemployed".

4. EXAMPLE: Assume the same facts as in subsection (a)(3), except that, instead of being an as-needed employee, the individual continues to provide less than full time services to Company A and earns less than his weekly benefit amount. In that case, Section 2765.326 shall apply, and Company B will be the chargeable employer because it caused this individual to become unemployed as defined in Section 239 of the Act.

5. EXAMPLE: The individual is a substitute teacher. Whenever he or she is available to teach, he calls in for assignments with his school district, a local governmental entity that has elected to make payments in lieu of contributions. During the first semester of the school year, he teaches only 32 days. He, however, did not work for the school district during his base period. If he now files a claim for benefits, his school district will be liable for 50% of any payments in lieu of contributions that would result if he would be paid benefits. This is because, despite his services being performed over a five month period, the school district is the last employer prior to the first day of the week with respect to which he is claiming benefits and he has performed the required 30 days of services during the applicable period. The employer is only liable for 50% of the amount of the benefits paid because the individual performed no services for this employer during his base period (see Section 1405(B) of the Act).

6. EXAMPLE: The individual performed services for 25 days during his base period for City A, a local governmental entity that has elected to make payments in lieu of contributions. He then performs services for Company B, a liable, contributing employer, for approximately 10months. After being laid off by Company B, he is again employed by City A that then lays him off after he has performed services five days. City A will be liable for payments in lieu of contributions equal to 100% of the benefits paid to this individual. This is because City A is the individual's last employer prior to the first day of the week with respect to which the individual claimed benefits, and this individual performed services for at least 30 days beginning with the start of his base period and prior to the beginning of the week with respect to the individual claimed benefits. City A is liable for 100% of the benefits paid because, in addition to being the chargeable employer as provided in this subsection, the individual also provided services for this employer during his base period. If this employer had met the requirements to be the chargeable employer but this individual had not provided services to this employer during his base period, then this employer would have been liable for only 50% of the payments in lieu of contributions made to this individual as in subsection (a)(5). Should this individual return to work for Company B and again become eligible for benefits, Company B would be the chargeable employer with respect to any weeks that occur after this subsequent separation.

7. EXAMPLE: The individual is employed by several different employers from the beginning of his base period until the beginning of the first week he claims benefits. However, he does not perform services for at least 30 days for any single employer during this period. Therefore, there is no chargeable employer for that week or for any subsequent weeks, and no employer will be liable for either the benefit charges or payments in lieu of contributions as a result of payments made to this individual until the claimant has performed services for an employer for at least 30 days.

8. EXAMPLE: An individual is employed during his entire base period for Company A, a liable, contributing employer. After being laid off by Company A, he performs services for at least 30 days for the State of Illinois, which makes payments in lieu of contributions under Section 1403 of the Act. If this individual files a claim for benefits, the State will be liable for an amount equal to 50% of the benefits paid to this individual since the State is the chargeable employer but not a base period employer.

9. EXAMPLE: An individual files a claim with a benefit year that begins on December 1, 1992. Company A is determined to be the chargeable employer with respect to this claim. The individual returns to work on January 5, 1993, and performs services for 30 days for Company B before being laid off and filing an additional claim. Despite having worked for Company B for 30 days, Company A remains the chargeable employer in this case because the benefit year began prior to January 1, 1993.

10. EXAMPLE: An individual is laid off of work by Company A and files a new claim, effective January 24, 1993. Company A is found to be the chargeable employer. Thereafter, the individual obtains a part time job with Company B and works four days each week. However, she never earns over her weekly benefit amount in any week. Even after working for Company B for more than 30 days, Company A remains the chargeable employer. This is because Company B has not separated this individual nor caused her to become unemployed as a result of a reduction of the work offered, as required by Section 1502.1.

11. EXAMPLE: An individual is employed by Easy Living Realty as a secretary for 45 days during his base period. He leaves Easy Living Realty and obtains work as a secretary for Victorian Realty for 10 days. He is then promoted to real estate salesman, paid solely by commission. After working as salesman for several months, he is laid off from this job. He then files a claim for benefits. Easy Living Realty is the chargeable employer in this case. The time that this individual spent as a real estate salesman for Victorian Realty is not included in determining whether he was employed for 30 days for that employer because those services do not constitute employment under the Act.

12. EXAMPLE: An individual is employed by Company A for 29 days before being laid off from his job. He then files an unemployment insurance claim with a benefit year beginning date of January 24, 1993. On February 15, 1993, this individual returns to work for Company A and works only one day. For any weeks beginning after February 15, Company A meets the requirements to be the chargeable employer.

b) If, with respect to a week, the last organization or person for whom the individual provided at least 30 days of service is not an employer, as defined by Section 205 of the Act, then no employer shall be the chargeable employer for that week, and any benefit charges or payments in lieu of contributions which accrue as a result of benefits paid to the individual for that week shall not become the benefit charges or the amounts due of any employer. Whether the last organization or person for whom the individual provided at least 30 days of service is an employer, as defined by Section 205 of the Act, is determined as of the last day of the week for which the claim is made and is unaffected by a later determination of liability based on events which occur after that week. However, if it is later determined that the organization or person has become an employer under the Act, the organization or person can be the chargeable employer for any weeks occurring after the date on which the organization or person became liable.

1. EXAMPLE: An individual is employed during his entire base period for Company A, a liable, contributing employer. He then leaves Illinois and performs services in California for at least 30 days for an organization that is not liable under the Act. If this individual is laid off from his California job and files a claim against Illinois based on his Illinois base period wages, no employer shall be liable for any benefit charges for any benefit payments made to this individual with respect to weeks when the California organization was the last entity to employ the individual. This is because the California organization is not an employer under the Act and, therefore, cannot be the chargeable employer under this Section. However, if this individual would return to work for Company A and then again become eligible for benefits, Company A would be the chargeable employer with respect to any weeks which occur after this later separation from Company A.

2. EXAMPLE: An individual is employed during his entire base period for Company A, a liable, contributing employer. After being laid off by Company A, he performs services for at least 30 days for the U.S. Postal Service, which is not an employer under the Act and for which reimbursement for any benefits paid is determined under federal regulations. He is then laid off by the U.S. Postal Service. If this individual files a claim for benefits, no employer shall be liable for any benefit charges for any benefit payments made to this individual. This is because the U.S. Postal Service is not an employer under the Act and, therefore, cannot be the chargeable employer under this Section. However, if this individual would return to work for Company A and then again become eligible for benefits, Company A would be the chargeable employer with respect to any weeks that occur after this later separation from Company A.

3. EXAMPLE: An individual files a claim for benefits, effective March 28, 1993, after having last been employed by Company A that began business as of January 1, 1993. As of March 28, 1993, Company A is not an employer under the Act because it has not yet had one or more employees in each of twenty or more weeks nor has it paid at least $1,500 in wages in a calendar quarter. However, as of September 4, 1993, it has one or more employees in each of 20 or more weeks, and, therefore, its liability is made retroactive to January 1, 1993. In this case, Company A will be the chargeable employer only with respect to any weeks that begin after September 3, 1993, because, while the effective date of its liability is January 1, 1993, it did not meet the criteria for liability under the Act until September 4, 1993.

4. EXAMPLE: An individual files a claim for benefits for the week ending January 23, 1993, after having last been employed by Company A, an employing unit that claims it is not liable under the Act because it has no employees. On September 10, 1993, there is a determination and assessment, covering all of 1992 and the first two quarters of 1993, which becomes final and which holds that Company A is liable for unpaid contributions on the wages of workers whom Company A had not considered employees. This determination and assessment is based on events that occurred prior to the week beginning January 17, 1993. Therefore, Company A can be held to be the chargeable employer of this individual for the week ending January 23, 1993.

c) Notwithstanding any other provision of this Subpart, with respect to a week of benefits claimed, no employer shall be the chargeable employer of an individual who was either discharged for misconduct connected with the work or voluntarily left the employer without good cause or refused to accept an offer of or to apply for suitable work from that employer without good cause. Unless a subsequent employer paid the individual an amount equal to his or her weekly benefit amount in each of four weeks after the beginning of the week in question, any payments that might result in benefit charges for that week will be pooled and not charged to any employer. However, if the circumstances of the voluntary quit are those described in Section 601(B)(1), or (2), (6) or (7) of the Act, then, any payments that might result in benefit charges will become pooled costs and not be charged to any employer.

1. EXAMPLE: The individual quits Company A where he performed services for at least 30 days to accept employment with Company B where he works for two weeks and earns in excess of his weekly benefit amount. He is then laid off and files a claim for benefits for the week ending January 23, 1993. Company A is the individual's last employer prior to the beginning of the week ending on January 23, 1993, and the individual provided services to Company A during at least 30 days during the period from the beginning of the individual's base period to the beginning of the week beginning on January 17, 1993. Under Section 601(B)(2) of the Act, this individual is not ineligible for benefits. However, no employer will be charged for the benefits paid to the individual for the week ending January 23, 1993. This is because the individual quit his job with Company A without good cause but under the circumstances described in Section 601(B)(2) of the Act.

2. EXAMPLE: The individual is held to be ineligible for benefits by the claims adjudicator, Referee, Board of Review or court as a result of his discharge for misconduct by Company A, a liable, contributing employer. Thereafter, he returns to work and performs services for Company B, a liable, contributing employer, for three days per week for three weeks and is then laid off. However, he does earn an amount in excess of his weekly benefit amount in each of these weeks. He then performs services for Company C for one week and earns in excess of his weekly benefit amount before being laid off for lack of work and claims benefits for the week ending March 6, 1993. The individual is eligible for benefits because he met the requalification requirements of Section 602 of the Act. No employer will be the chargeable employer of this individual for the week ending March 6, 1993 because he was discharged for misconduct connected with his work and because, after his discharge, there was no single employer that paid him an amount equal to or in excess of his weekly benefit amount in each of four weeks. However, if this individual later returns to work for Company B and performs services for an additional 21 days before being laid off, Company B could be the chargeable employer with respect to any weeks that occur subsequent to this separation.

3. EXAMPLE: The individual is discharged from Company A, files a claim for benefits for the week ending January 23, 1993 and is determined to be ineligible under Section 602 of the Act. He then returns to work for Company A and earns in excess of his weekly benefit amount in each of four weeks. He is then laid off by Company A. Thereafter, he performs services for Company B for less than 30 days before being laid off. Company A will be this individual's chargeable employer with respect to any weeks subsequent to this second separation from it because it was the individual's single employer following his discharge for misconduct, is an employer under the Act and paid the individual an amount necessary to requalify for benefits. If this individual had performed services for Company B for 30 days, then it would be this individual's chargeable employer.

4. EXAMPLE: Assume the same facts as in subsection (c)(3) except that, after performing services 30 days for Company B, the individual was discharged for misconduct connected with his work. In this case, no employer will be the chargeable employer with respect to this subsequent separation because Company B cannot be the chargeable employer of an individual if it discharged him for misconduct connected with his work.

5. EXAMPLE: Assume the same facts as in subsection (c)(3) except that Company B, that employed the individual for 30 days, is not an employer under the Act. In this case, no employer will be charged as a result of any benefits paid to this individual after his second separation (unless a later chargeable employer is found for subsequent weeks). This is because, even though the individual requalified for benefits by earning an amount equal to or in excess of his weekly benefit amount in each of four weeks from Company A, he was subsequently employed for 30 days by Company B, an organization that is not subject to the Act.

6. EXAMPLE: An individual is employed by Company A for several months and performs services for Company A for at least 30 days before being laid off for lack of work. The individual does not file a claim for benefits immediately but goes on vacation. When he returns from vacation, Company A offers the individual a suitable job that he refuses without good cause. However, during that same week, he is hired by Company B where he then performs services for less than 30 days but earns in excess of his weekly benefit amount in each of four weeks. When he is laid off by Company B, the individual files a claim for benefits for the week ending January 23, 1993. He is not subject to disqualification for his refusal of work from Company A because he has had sufficient earnings from Company B to purge any possible disqualification. Company A will not be charged for benefit charges that result from payments to this individual because the individual refused the Company's offer of suitable work without good cause. Company B is not the employer that paid the claimant earnings that allowed him to requalify because the individual was never disqualified. Company B did not employ this individual for at least 30 days. Therefore, in this case, no employer will be the chargeable employer for the week ending January 23, 1993 and thereafter until such time as there is an employer that meets the requirements of the Act to be chargeable.

d) If no employer meets the requirements of this Subpart to be the chargeable employer for the second of two consecutive benefit years, then no employer will be the chargeable employer for that second benefit year (effective with benefit years beginning on or after September 22, 1992).

EXAMPLE: The individual files a claim after being employed at several temporary jobs. Company A employed this individual for 30 days during the first quarter of his base period. No subsequent employer employed this individual for 30 days. Company A is the chargeable employer. This individual then files a second benefit year claim. His employment with Company A occurred prior to the base period of the second benefit year claim, and no subsequent employer employed him for at least 30 days. Therefore, no employer will be chargeable for this claim. However, if the second benefit year began after January 1, 1993, while no employer might initially be liable for any benefit charges, should this individual become employed and then later unemployed, a subsequent employer could be liable for any charges that might accrue after that period of unemployment.

e) Notice that a claim for benefits has been filed will be sent by the Agency to every employing unit for whom the individual provided services, subsequent to the services provided to the chargeable employer.

History

• Source: Amended at 43 Ill. Reg. 6480, effective May 14, 2019

56 Ill. Adm. Code 2765.330 Chargeability Where the Individual Is Discharged as a Result of His Incarceration

Effective with respect to the payment of benefits for weeks which begin after September 22, 1992, an employer shall not be the chargeable employer, if that employer would otherwise be the chargeable employer but the individual is separated from that employer as a result of the individual's detention, incarceration or imprisonment under State, local or federal law. The benefit charges or payments in lieu of contributions with respect to this individual for this period shall be pooled and not chargeable to any employer.

a) Example: An individual is arrested on his way to work. He calls the employer to inform it that he cannot make bail so he cannot report to work. The employer replaces the individual because it needs to continue its production uninterrupted. The charges are later dismissed against the individual, and he files a new benefit year claim effective November 1, 1992. Because he was discharged for a reason other than misconduct connected with his work, the individual is eligible for benefits. It is determined that the employer would otherwise be the chargeable employer. Any benefit charges or payments in lieu of contributions as a result of benefits paid to this individual shall be pooled and not chargeable to any employer.

b) Example: The individual informs his employer that he has been sentenced to jail for 30 days for a non-work related offense. He requests a leave of absence for this period, but it is denied because he does not meet the employer's criteria for such a leave. While the claimant is in jail, the employer, Company A, replaces the individual. After he is released from jail, the individual returns to the employer, but no work is available. He then files a new benefit year claim effective January 10, 1993. The individual is eligible for benefits, and is paid for the period from January 17, 1993 through January 30, 1993, when he goes to work for another employer, Company B. Any benefit charges or payments in lieu of contributions as a result of benefits paid to this individual for the period from January 17, 1993 through January 30, 1993 shall be pooled and not chargeable to any employer. If this individual is subsequently separated from Company B and if Company B is determined to be the chargeable employer for any subsequent weeks, any benefit charges or payments in lieu of contributions as a result of benefits paid to this individual for the subsequent weeks will be charged to Company B. However, if Company A would otherwise be the chargeable employer with respect to this subsequent period, any benefit charges or payments in lieu of contributions as a result of benefits paid to this individual for this subsequent period shall be pooled.

c) Examples: An individual is arrested on his way to work. He calls the employer to inform it that he cannot make bail so he cannot report to work. The employer replaces the individual because it needs to continue its production uninterrupted. The charges are later dismissed against the individual, and he files a new benefit year claim effective March 1, 1992. Because he was discharged for a reason other than misconduct connected with his work, the individual is eligible for benefits. It is determined that the employer is the chargeable employer. However, any benefit charges or payments in lieu of contributions as a result of benefits paid to this individual for weeks beginning on or after September 22, 1992 shall be pooled and not chargeable to any employer. This employer remains the chargeable employer for weeks beginning prior to September 22, 1992.

History

• Source: Added at 17 Ill. Reg. 614, effective January 4, 1993

56 Ill. Adm. Code 2765.332 Effect of Ineligibility Under Section 602(b) on Chargeability Under Section 1502.1 of the Act

Pursuant to Section 602(B) of the Act, whenever it is determined that an individual has been discharged for the commission of a felony or theft connected with his work and that the employer has met certain conditions set forth in that subsection of the Act, all wages earned by the individual prior to the date of discharge shall be cancelled, thus making the individual ineligible for benefits on the basis on such wages. An employer cannot be the chargeable employer pursuant to this Subpart on the basis of wages earned prior to the date of the discharge. However, if that employer were to reemploy the individual after the date of discharge, such employer could be the individual's chargeable employer pursuant to this subpart if the requirements of the Subpart are met based only on the period of employment following the date of the discharge for the felony or theft.

History

• Source: Added at 13 Ill. Reg. 17410, effective October 30, 1989

56 Ill. Adm. Code 2765.333 Effect of Ineligibility Under Section 612 on Chargeability Under Section 1502.1 of the Act

Whenever the individual's last employer is an educational institution or is an educational service agency, then the educational institution or educational service agency shall not be liable for benefit charges on the basis of benefits paid to that individual during the period between two consecutive academic years or terms if the individual has a reasonable assurance that he or she will perform service in any capacity for any educational institution or educational service agency in the second of the academic years or terms. In these instances, it is not necessary that the individual be ineligible under Section 612 of the Act if Section 612 would have applied if the individual had had wages from an educational institution or educational service agency during his or her base period. This Section shall also apply to payments in lieu of contributions.

a) EXAMPLE: An individual is employed as a teacher for a public school. However, during his base period, he earned sufficient wages from a non-educational employer to qualify for benefits. If this individual is held to be ineligible during a period between academic terms on the basis of his wages from the public school, he could still qualify for benefits based on his wages from the non-educational employer. Even if the public school would otherwise be the individual's last employer pursuant to this Subpart, the public school will not be liable for any benefit charges that might accrue as a result of payments to that individual during his period of ineligibility under Section 612 of the Act.

b) EXAMPLE: The individual is employed by a private employer during his entire base period. Thereafter, he obtains work as a teacher for a public school. When he is off of work during the summer, the individual applies for unemployment insurance benefits. If this individual has a reasonable assurance in the second academic year or term, then the public school is the last employer during this period, but it will not be liable for any benefit charges or payments in lieu of contributions that might accrue as the result of payments made to this individual. In this case, any benefit charges will be pooled.

c) EXAMPLE: The individual is employed by a private employer during his entire base period. Thereafter he obtains work as a teacher for a public school. He is discharged by the school for non-disqualifying reasons and files a new claim with a benefit year beginning January 10, 1993. He is then paid benefits for the period from January 10, 1993 through January 30, 1993, at that time he is rehired by this same public school. If the school meets the other requirements for chargeability, it will be liable for any benefit charges or payments in lieu of contributions that accrue for this period. However, if this same individual is then off of work during the summer and has a reasonable assurance of similar employment in the second academic year or term, while the public school would otherwise be the chargeable employer during this period, it will not be liable for any benefit charges or payments in lieu of contributions that might accrue as the result of payments made to this individual during the period. In this case, any benefit charges will be pooled. However, this pooling occurs only for the period of ineligibility or potential ineligibility under Section 612 of the Act.

d) EXAMPLE: Assume the same facts as in subsection (c), except that the individual is later laid off for lack of work by the school district for the week ending October 16, 1993. The school district will be the chargeable employer for this week.

e) EXAMPLE: The individual is employed by Company A for 2 years until his layoff in May 1993. He is then employed for 20 days by a public school district as a teacher. He is laid off for the summer vacation but has a reasonable assurance of reemployment by the school district when the new academic year or term begins. The individual is not ineligible for benefits under Section 612 of the Act because he was not employed by the school district during his base period. Because Company A is the last employer for whom this individual performed services for at least 30 days, it is the chargeable employer for any weeks paid to this individual during the summer period. Section 1502.1A(3)(a)(ii)(5) of the Act does not apply to this situation because Company A is not the employer that laid the individual off between academic years or terms.

History

• Source: Amended at 43 Ill. Reg. 6480, effective May 14, 2019

56 Ill. Adm. Code 2765.334 Effect of Ineligibility Under Section 614 on Chargeability Under Section 1502.1 of the Act

Pursuant to Section 614 of the Act, an individual shall be ineligible, on the basis of wages earned during his base period unless he was either lawfully admitted to this country for permanent residence or otherwise is permanently residing in this country under color of law. Because this ineligibility could effect some, but not all, of the individual's base period wages, it is possible that the individual could be held ineligible under Section 614 of the Act but still qualify for benefits based on base period wages paid after he was either lawfully admitted to this country for permanent residence or otherwise is permanently residing in this county under color of law. In determining whether an employer is the individual's chargeable employer under this Subpart, no day on which the individual was not either lawfully admitted to this country for permanent residence or otherwise was permanently residing in this country under color of law will be counted in determining whether the individual was employed by the employer for at least 30 days.

a) Example: The individual applied for and was granted permanent resident status on July 1, 1988. He worked for Company A, a liable, contributing employer, continuously from January 1, 1988, to the date of his separation on May 1, 1989. His base period began on January 1, 1988. Under Section 614 of the Act, the individual is not eligible for benefits based on the wages paid prior to July 1, 1988, because he was not either lawfully admitted to this country for permanent residence or otherwise was permanently residing in this country under color of law during this time. However, he might still be eligible for benefits based on his earnings during the third and fourth quarters of 1988. Company A will be the individual's chargeable employer under this Subpart because, even not counting the days of employment from January 1, 1988 to June 30, 1988, the individual was employed by Company A for 30 days from the beginning of his base period to the beginning of his claim for unemployment insurance benefits.

b) Example: The individual applied for and was granted permanent resident status on July 1, 1992. He worked full time for Company A, a liable, contributing employer, continuously from January 1, 1988, to the date of his separation on April 30, 1993. He filed his new benefit year claim, beginning May 2, 1993. His base period began on January 1, 1992. Under Section 614 of the Act, the individual is not eligible for benefits based on the wages paid prior to July 1, 1992, because he was not either lawfully admitted to this country for permanent residence or otherwise was permanently residing in this country under color of law during this time. However, he is eligible for benefits based on his earnings during the third and fourth quarters of 1992, and he is paid benefits from May 2, 1993 through May 29, 1993. Company A will be the individual's chargeable employer under this Subpart because, even not counting the days of employment from January 1, 1988 to June 30, 1992, this individual performed services for Company A for 30 days from the beginning of his base period to the beginning of the week with respect to which he files a claim for unemployment insurance benefits.

c) Example: The individual applied for and was granted permanent resident status on July 1, 1992. He worked full time for Company A, a liable, contributing employer, continuously from January 1, 1988, to the date of his separation on June 30, 1992. He then worked for Company B for the period from July 1, 1992 to the date of his separation on March 15, 1993. He then returned to work for Company A and performed services for this employer for five weeks (25 days). He filed his new benefit year claim, beginning May 2, 1993. His base period began on January 1, 1992. Under Section 614 of the Act, the individual is not eligible for benefits based on the wages paid prior to July 1, 1992, because he was not either lawfully admitted to this country for permanent residence or otherwise was permanently residing in this country under color of law during this time. However, he is eligible for benefits based on his earnings during the third and fourth quarters of 1992, and he is paid benefits from May 2, 1993 through May 29, 1993. Company B will be the individual's chargeable employer under this Subpart because this individual performed services for Company B for 30 days from the beginning of his base period to the beginning of the week with respect to which he files a claim for unemployment insurance benefits. Company A cannot be the chargeable employer with respect to these weeks because the individual had not performed services for it for 30 days since the days on which he performed services prior to July 1, 1992 cannot be counted in determining whether the individual performed services for 30 days. However, if this individual would return to work for Company A and perform services for an additional 5 days, Company A would be the chargeable employer for any weeks which begin after the individual performed services for these additional days.

History

• Source: Amended at 17 Ill. Reg. 614, effective January 4, 1993

56 Ill. Adm. Code 2765.335 Procedural Requirements and Right of Appeal

a) Whenever, pursuant to Section 701 of the Act, the claims adjudicator decides that an employer is the "last employer" of an individual (employer subject to benefit charges or payments in lieu of contributions) as provided in this Subpart, or, pursuant to Section 706 of the Act, decides that charges must be assessed against the employer pursuant to Section 2765.336 for benefits for which a claimant was ultimately determined to be ineligible, the claims adjudicator shall promptly notify the employer of this decision. A decision that an employer is the "last employer" of an individual shall apply to the week beginning with the effective date of the claim and each week thereafter until the claims adjudicator finds that the individual is no longer unemployed.

EXAMPLE: An individual files a claim with a benefit year beginning January 10, 1993, and Company A is notified that it is the "last employer". The employer fails to file a timely request for reconsideration of this decision. The individual is then paid benefits for the period from January 10, 1993 through January 30, 1993. Company A is the chargeable employer for this period. The individual returns to work for Company A and earns over his weekly benefit amount for the week ending February 6, 1993. He is then laid off of work and files an additional claim beginning February 7, 1993. Company A is notified that it is the "last employer" with respect to this claim. Company A can file a timely request for reconsideration of this decision. However, this request will affect only weeks after February 6, 1993.

b) If the employer disagrees with the decision of the claims adjudicator that it is the "last employer", or that charges must be assessed against the employer pursuant to Section 2765.336, the employer must file a written request for reconsideration of this decision within 10 days after the date of mailing of the decision.

c) A request for reconsideration of the decision of the claims adjudicator must comply with the requirements of 56 Ill. Adm. Code 2720.130. In the case of a decision that the employer is the last employer of the individual, the request shall specify the full name and social security number of the individual and the reasons why the employer believes that it is not the chargeable employer under this Subpart. The employer may not allege the misapplication of Section 2765.336 with respect to any claim that was part of the basis for charges assessed against an employer pursuant to that Section, if the claim was the basis of a previous decision that assessed charges against the employer pursuant to Section 2765.336 and that decision has become legally final. An employer's request for reconsideration of a decision issued pursuant to Section 706 may not challenge a legally final determination or decision that the employer failed to file a timely and sufficient protest for purposes of Section 2765.336.

EXAMPLE 1: Employer X receives a decision that charges must be assessed against Employer X for benefits paid to Claimant A even though Claimant A was finally determined to be ineligible for those benefits. Employer X files a timely request for reconsideration of that decision. It will be Employer X's burden to show that Section 2765.336 does not apply to the charges for Claimant A's benefits. However, the request may not challenge a legally final determination or decision that Employer X failed to file a timely and sufficient protest for purposes of Section 2765.336.

EXAMPLE 2: Employer X receives a Notice of Claim indicating that Claimant A has filed a claim for benefits. Employer X does not file a timely protest of the claim. The Department issues a determination, allowing A's claim, and A receives benefits during October 2021. That same month, X sends the Department information, indicating that it had discharged A for misconduct. In November 2021, the Department issues a reconsidered determination, denying A's claim. A does not appeal, and the reconsidered determination becomes legally final. According to Department records, during 2021, there were 4 prior claims with respect to which: X was the last chargeable employer; the Department had properly notified X; the Department initially paid benefits due to X's failure to file a timely and sufficient protest pursuant to Section 2720.130; and the Department ultimately issued a reconsidered determination denying benefits, with the reconsidered determination becoming legally final. Employer X receives a decision that charges must be assessed against Employer X for benefits paid to Claimant A even though Claimant A was finally determined to be ineligible for those benefits. The decision notes the four prior claims that caused X to remain chargeable for the benefits that were paid to A. To be relieved of the charges for A's benefits, X must file a timely request for reconsideration of the decision. It will be Employer X's burden to show that Section 2765.336 does not apply to the charges for Claimant A's benefits. However, the request may not challenge a legally final determination or decision that Employer X failed to file a timely and sufficient protest for purposes of Section 2765.336.

EXAMPLE 3: Employer X receives a Notice of Claim, indicating that Claimant A has filed a claim for benefits. Employer X does not file a timely protest of the claim. The Department issues a determination, allowing A's claim, and A receives benefits during September 2021. That same month, X sends the Department information indicating that it had discharged A for misconduct. In October 2021, the Department issues a reconsidered determination, denying A's claim. A does not appeal, and the reconsidered determination becomes legally final. According to Department records, during 2021, there were 4 prior claims with respect to which: X was the last chargeable employer; the Department had properly notified X; the Department initially paid benefits due to X's failure to file a timely and sufficient protest pursuant to Section 2720.130; and the Department ultimately issued a reconsidered determination denying benefits, with the reconsidered determination becoming legally final. Employer X receives a decision that charges must be assessed against Employer X for benefits paid to Claimant A even though Claimant A was finally determined to be ineligible for those benefits. The decision notes the four prior claims that caused X to remain chargeable for the benefits that were paid to A. X does not file a request for reconsideration, and the decision becomes legally final. In November 2021, Employer X receives a Notice of Claim indicating that Claimant B has filed a claim for benefits. Employer X does not file a timely protest of the claim. The Department issues a determination, allowing B's claim, and B receives benefits during November 2021. That same month, X sends the Department information, indicating that it had discharged B for misconduct. In December 2021, the Department issues a reconsidered determination, denying B's claim. B does not appeal, and the reconsidered determination becomes legally final. Employer X receives a decision that charges must be assessed against Employer X for benefits paid to Claimant B even though Claimant B was finally determined to be ineligible for those benefits. The decision notes the five prior claims that caused X to remain chargeable for the benefits that were paid to B. X may not allege the misapplication of Section 2765.336 with respect to any of the five prior claims because each was part of the basis for charges assessed against X pursuant to Section 2765.336 for benefits for which a claimant was ultimately determined to be ineligible, and the decision assessing the charges became legally final.

d) After reviewing the allegations of the employer and any other relevant facts in the record, the claims adjudicator shall issue a reconsidered decision. If the employer disagrees with the reconsidered decision of the claims adjudicator, the employer must file a written appeal of the reconsidered decision within 30 days after the date of mailing of the reconsidered decision or the reconsidered decision will become final.

e) An Application made pursuant to Section 1508 of the Act and 56 Ill. Adm. Code 2725.100 regarding revision of the Statement of Benefit Charges, that includes benefit charges the employer believes are incorrect because it is not the chargeable employer shall be sufficient only if the Application contains a reference to, and a copy of, the decision that reverses the claims adjudicator and holds that the employer is not the chargeable employer and that the employer is not subject to charges for the claim pursuant to Section 2765.336. These same requirements must be met by an employer that is questioning payments in lieu of contributions on its Statement of Amount Due for Benefits Paid.

f) Unless the employer has filed a timely request for reconsideration of the decision that the claims adjudicator has found it to be the chargeable employer, or of the decision that charges must be assessed against the employer pursuant to Section 2765.336, as the case may be, the employer shall not be entitled to a revision of its Statement of Benefit Charges under 56 Ill. Adm. Code 2725.100, nor shall it be entitled to a revision of the amounts shown on its Statement of Amount Due for Benefits Paid for payments in lieu of contributions.

EXAMPLE: Employer A is notified that it is the chargeable employer with respect to a claim for unemployment insurance benefits within a benefit year beginning on or after January 1, 1993. The employer does not request reconsideration of this decision. Several weeks later, this employer is served with its Statement of Benefit Charges for the weeks paid to this individual. At this time, the employer requests a revision of the Statement on the grounds that this individual did not perform services for it for 30 days prior to the beginning of the weeks for which it is being charged. The employer shall not be entitled to a revision of these charges because it failed to file a timely request for reconsideration of the initial decision that it was the chargeable employer.

g) Appeals of decisions under this Section shall be filed with the local office where the original decision was made.

h) The conduct of the hearing shall be the same as that provided under Section 2200 of the Act and 56 Ill. Adm. Code 2725.

History

• Source: Amended at 44 Ill. Reg. 8234, effective April 28, 2020

56 Ill. Adm. Code 2765.336 Non-Cancellation of Benefit Charges Due to Employer's Pattern of Failing to Respond Timely and Adequately

a) For purposes of Section 706 of the Act, if benefits are paid pursuant to a finding or determination, or a reconsidered finding or determination, that is finally reversed or modified in subsequent proceedings, the benefit charges, for purposes set forth in Section 1502.1 of the Act, shall be treated in the same manner as if the reversal or modification had not occurred if:

1. The employer was the last employer with respect to the claim at issue;

2. The employer was properly notified with respect to the claim at issue;

3. The finding or determination, or reconsidered finding or determination, was attributable to the employer's failure to file a sufficient protest within the time required by 56 Ill. Adm. Code 2720.130(a)(1) or (d)(3), whichever is applicable; and

4. During the same calendar year, there were at least 4 prior benefit claims with respect to which:

A) subsections (a)(1), (2) and (3) applied with respect to the employer; and

B) benefits were paid, and the finding, determination or reconsidered finding or determination under which benefits were paid was finally reversed or modified in subsequent proceedings.

EXAMPLE: The employer fails to file a timely and sufficient protest when notified initially that the claimant has filed a claim for benefits and does not preserve party status. The claimant receives benefits. When the employer receives its quarterly Statement of Benefit Charges, it raises a question regarding the claimant's eligibility for benefits. Upon investigation, the claims adjudicator determines the claimant to be ineligible for benefits and establishes an overpayment for the entire amount of the benefits paid to the claimant. The overpayment becomes legally final. The employer's charges for this claimant's benefits will not be cancelled if, within the same calendar year, there were at least four other cases to which subsections (a)(4)(A) and (B) apply.

b) For purposes of subsection (a)(3), with respect to a claim in which benefits are initially paid pursuant to a finding or determination, or a reconsidered finding or determination, the timing of the protest shall be determined without regard to 56 Ill. Adm. Code 2720.130(e) if the finding or determination, or the reconsidered finding or determination, was attributable to the employer's failure to initially submit a sufficient protest.

c) Only claims filed on or after April 1, 2020 shall be considered for purposes of subsection (a).

d) The applicability of this Section shall be based on the date of the reconsidered finding or determination, or decision of a Referee, the Board of Review or a court that finally reverses the finding or determination, or the reconsidered finding or determination, pursuant to which benefits were paid with respect to the claim.

EXAMPLE: The employer fails to file a timely and sufficient protest when notified initially that the claimant has filed a claim for benefits and does not preserve party status. A separation issue is detected on the claim application. The claims adjudicator mails out an "Allow" determination. The claimant collects benefits for several weeks. The employer then submits a request for reconsideration and appeal. On December 3, 2020, the claims adjudicator mails out a "Deny" reconsidered determination. The claimant does not submit a request for reconsideration and appeal. The reconsidered determination becomes final on January 4, 2021. The application of this Section will be based on the date of the reconsidered determination, December 3, 2020, and not the date when the reconsidered determination became final on January 4, 2021.

e) This Section will apply regardless of whether the employer has contracted with one or more attorneys or other representatives for representation in connection with benefit claims.

History

• Source: Added at 44 Ill. Reg. 8234, effective April 28, 2020

56 Ill. Adm. Code 2765.337 Benefits Paid During the Period Created by Section 1502.4 of the Act Attributable to Covid-19

For purposes of Section 1502.4 of the Act, due to the unprecedented rate of displacement and employer closings, both temporary and permanent, the vast majority of unemployment giving rise to the payment of benefits from March 15, 2020 through January 2, 2021 is presumed to be directly or indirectly attributable to COVID-19. Contributing employers shall identify, in the Application for Revision of a Statement of Benefit Charges, the benefit charges resulting from reasons other than COVID-19, as well as any basis not related to COVID-19 for seeking the cancellation of benefit charges for weeks of unemployment that do not fall within that period. Employers making payments in lieu of contributions shall identify, in the Application for Revision of a Statement of Amount Due for Benefits Paid, the amounts due resulting from reasons other than COVID-19, as well as any basis not related to COVID-19 for seeking the cancellation of any amounts due for benefits paid for weeks of unemployment that do not fall within that period.

History

• Source: Added at 44 Ill. Reg. 19678, effective December 11, 2020

Part 2770 Determination of Unemployment Contributions

56 Ill. Adm. Code 2770.100 Pre 2003 Industrial Classification (repealed)

History

• Source: Repealed at 32 Ill. Reg. 155, effective January 1, 2008

56 Ill. Adm. Code 2770.101 Post 2002 Industrial Classification

a) Each employer subject to the Act shall be assigned an industrial classification number based on its primary activity.

1. Each employer shall be assigned to a major Economic Sector based on the first two digits of the industrial classification number:

Digits

Economic Sector

11

Agriculture, Forestry, Fishing and Hunting

21

Mining

22

Utilities

23

Construction

31-33

Manufacturing

42

Wholesale Trade

44-45

Retail Trade

48-49

Transportation and Warehousing

51

Information

52

Finance and Insurance

53

Real Estate and Rental and Leasing

54

Professional, Scientific and Technical Services

55

Management of Companies and Enterprises

56

Administrative and Support and Waste Management

61

Educational Services

62

Health Care and Social Assistance

71

Arts, Entertainment and Recreation

72

Accommodation and Food Services

81

Other Services (except Public Administration)

92

Public Administration

99

Unclassified

2. The methodology for the classifications in subsection (a)(1) shall be based upon the North American Industry Classification System Manual, U.S. Office of Management and Budget (2002), which shall be incorporated and adopted by reference.

3. The general classifications to be used shall be those set forth in the above cited Manual.

b) Each employer not eligible for an experience rate and in an Economic Sector where the mean average contribution rate for experience rated employers is greater than the rates set forth in Section 2770.106(a)(1) or (2) or (3), as applicable, shall be notified in writing of its industrial classification and rate of contribution.

c) An industrial classification that is properly assigned pursuant to subsection (a)(2) at the beginning of each calendar year or the date of liability, whichever is later, shall be final and conclusive for rate determination purposes for that entire calendar year.

d) This Section shall apply with respect to the calculation of contribution rates for calendar year 2003 and each calendar year thereafter.

History

• Source: Added at 27 Ill. Reg. 2598, effective February 01, 2003

56 Ill. Adm. Code 2770.105 Pre 2003 Contribution Rate for Non-Experience Rated Employers (repealed)

History

• Source: Repealed at 32 Ill. Reg. 155, effective January 1, 2008

56 Ill. Adm. Code 2770.106 Post-2002 Contribution Rate for Non-Experience Rated Employers

a) For calendar year 2003 and each calendar year thereafter, the contribution rate under Section 1500(B) of the Act, for each employer who has not incurred liability for the payment of contributions within each of the three calendar years immediately preceding the calendar year for which a rate is being determined, shall be the greater of:

1. 2.7%, plus any applicable fund building rate, as imposed by Section 1506.3 of the Act [820 ILCS 405/1506.3]; or

2. 2.7%, multiplied by the adjusted State experience factor, plus any applicable fund building rate, as imposed by Section 1506.3 of the Act; or

3. The employer's contribution rate calculated pursuant to Sections 1501 through 1507 of the Act [820 ILCS 405/1501 through 1507], but only if this employer has had at least 13 consecutive months experience with the risk of unemployment by the June 30 preceding the calendar year for which a rate is being determined, plus any applicable fund building rate, as imposed by Section 1506.3 of the Act; or

4. The mean average contribution rate of all experience rated employers within the specific Economic Sector, plus any applicable fund building rate, as imposed by Section 1506.3 of the Act.

A) The mean average contribution rate for an Economic Sector shall be determined by adding the rates of all experience rated employers in that sector and dividing the sum by the number of the employers. The rate computation shall be made for each of the applicable years as of July 31 of the preceding year. Any change in the industrial classification or the contribution rate of the experience rated employers made after the date of computation shall not affect the established average rate for the Economic Sector.

B) Experience rated employers whose liability was terminated on or before July 31 of the calendar year used in the computation in subsection (a)(4)(A) shall be included for computation purposes, unless prior to such date, a successor has succeeded to the experience rating record of the employer. In these instances, only the successor rate shall be used.

b) The mean average contribution rate for each Economic Sector, determined pursuant to subsection (a)(4)(A) and (B), shall be announced annually by the Director, during the last quarter of the year preceding the applicable year. For calendar year 2009 and each calendar year thereafter, the Director shall announce the contribution rate calculated for an Economic Sector pursuant to subsection (a)(4) by posting it on the Department's website, www.ides.state.il.us, during the last quarter preceding the applicable year, and not by rulemaking.

c) Appeals from any determinations under Section 2770.101 or 2770.106 shall be taken pursuant to and governed by Section 1509 of the Act.

History

• Source: Amended at 32 Ill. Reg. 18966, effective December 1, 2008

56 Ill. Adm. Code 2770.110 Average Contribution Rates by Standard Industrial Classification (sic) Codes (repealed)

History

• Source: Repealed at 32 Ill. Reg. 155, effective January 1, 2008

56 Ill. Adm. Code 2770.111 Average Contribution Rates by North American Industry Classification System (naics) Assignment (repealed)

History

• Source: Repealed at 43 Ill. Reg. 6503, effective May 14, 2019

56 Ill. Adm. Code 2770.150 Eligibility to Elect the Alternative Benefit Wage Ratio (repealed)

History

• Source: Repealed at 14 Ill. Reg. 18280, effective October 30, 1990

56 Ill. Adm. Code 2770.155 Approval of Election of the Alternative Benefit Wage Ratio (repealed)

History

• Source: Repealed at 14 Ill. Reg. 18280, effective October 30, 1990

56 Ill. Adm. Code 2770.160 Adjustment of Benefit Wage Charges and the Determination of the Alternative Benefit Wage Ratio (repealed)

History

• Source: Repealed at 14 Ill. Reg. 18280, effective October 30, 1990

56 Ill. Adm. Code 2770.165 Revocation of Election of Alternative Benefit Wage Ratio (repealed)

History

• Source: Repealed at 14 Ill. Reg. 18280, effective October 30, 1990

56 Ill. Adm. Code 2770.170 Appeals (repealed)

History

• Source: Repealed at 14 Ill. Reg. 18280, effective October 30, 1990

56 Ill. Adm. Code 2770.400 Definitions (repealed)

History

• Source: Repealed at 15 Ill. Reg. 8553, effective May 24, 1991

56 Ill. Adm. Code 2770.405 Application of Base Period Wages (repealed)

History

• Source: Repealed at 15 Ill. Reg. 8553, effective May 24, 1991

56 Ill. Adm. Code 2770.410 Restriction on Benefit Wage Transfers (repealed)

History

• Source: Repealed at 15 Ill. Reg. 8553, effective May 24, 1991

56 Ill. Adm. Code 2770.415 Benefit Wage Transfer Procedural Requirements (repealed)

History

• Source: Repealed at 15 Ill. Reg. 8553, effective May 24, 1991

56 Ill. Adm. Code 2770.420 Petition for Hearing (repealed)

History

• Source: Repealed at 15 Ill. Reg. 8553, effective May 24, 1991

56 Ill. Adm. Code 2770.501 Effective Date of Benefit Wage Cancellations Pursuant to Section 1508.1 of the Act (repealed)

History

• Source: Repealed at 43 Ill. Reg. 6503, effective May 14, 2019

56 Ill. Adm. Code 2770.TABLE A General Sic Classifications (repealed)

History

• Source: Repealed at 32 Ill. Reg. 155, effective January 1, 2008

Subchapter d Collection and Refund

Part 2790 Collection of Unemployment Contributions

56 Ill. Adm. Code 2790.1 Collection Remedies the Same for Contributions and Payment in Lieu of Contributions

All the remedies available to the Director for collecting unpaid contributions are also available for collecting payments in lieu of contributions payable by a reimbursable employer.

56 Ill. Adm. Code 2790.5 When Collection in Jeopardy, Payment Period Shortened

a) In every case where the collection of the full amount of the accrued contributions or payments in lieu of contributions may be jeopardized by delay, the Director may at any time, in writing, demand and enforce payment of any such contributions, or reimbursements without waiting for the last day of the month next following the calendar quarter for which the contributions have accrued, or the last day of the thirty days from the mailing date of the statement of amounts of the benefits to be reimbursed.

b) Examples of when the Director may shorten the payment period in case of jeopardy are where an employer voluntarily or involuntarily ceases business, liquidates, transfers his assets, merges or consolidates with some other individual or employment unit, assigns for benefit of creditors, or is adjudicated bankrupt, or in case of death of the proprietor or dissolution of the employing unit.

56 Ill. Adm. Code 2790.10 Cases When Collection May Be Deferred

The Director may desist from collecting an unpaid account if from all the facts presented to him, it is shown that the amount that can be realized is not commensurate with the cost of collection. He may also defer collection if upon proper application and showing of all pertinent facts, a nonprofit organization or governmental entity proves to the satisfaction of the Director that collection enforcement at a particular time would make its continued operation not possible. The Director shall deny the application to defer collection if the collection of taxes will be jeopardized by delay.

56 Ill. Adm. Code 2790.15 Contributions of Less Than $2.00 Disregarded

If, at any time, the total amount payable with respect to a quarter, including any contributions, payments in lieu of contributions, interest or penalties is less than $2.00, that amount shall be disregarded. For experience rating and certification purposes, amounts disregarded pursuant to this Section shall be considered as paid.

History

• Source: Amended at 43 Ill. Reg. 1606, effective January 15, 2019

56 Ill. Adm. Code 2790.20 No Refund of Disregarded Contributions

No refund or adjustment under Section 2201 of the Act will be granted for an amount disregarded but not actually paid (see Section 56 Ill. Adm. Code 2790.15).

History

• Source: Amended at 43 Ill. Reg. 1606, effective January 15, 2019

56 Ill. Adm. Code 2790.25 Reimbursement of Lien Recording Fee

Except in instances in which the Department filed its lien in error, and except when an employing unit's liability covered by a lien arose solely under Section 2600 of the Act, the Director shall not issue a release, withdrawal or partial release of his or her lien unless and until the employer reimburses the Director for any recording fees paid with respect to the lien. If a recorded lien covers multiple quarters, recording fees will be attributed to the oldest quarter covered by the lien that is not attributable to liability that arose solely under Section 2600 of the Act.

EXAMPLE: An employer owes contributions, penalties and interest for a quarter totaling $500. The Director has incurred $50 in recording fees with respect to the filing of a lien. The employer sends a payment of $500 to the Department and requests a release of the recorded lien. The Department will not release the recorded lien because the first $50 was applied to reimburse the Director for the lien recording fee under the application of payment provisions at Section 2765.45 and, therefore, the liability that gave rise to the lien has not been paid in full.

History

• Source: Added at 43 Ill. Reg. 1606, effective January 15, 2019

Subchapter e Rights and Duties of Employees

Part 2815 Employees' General Rights and Duties

56 Ill. Adm. Code 2815.100 Benefit Rights Not Subject to Waiver, Transfer, or Claims of Creditors

The right to receive unemployment benefits cannot be waived, transferred, or released by agreement. Neither can it be the subject of assignment, pledge, encumbrance, or claim of creditors. Any such agreement is against public policy and void. However, where the agreement to deduct from benefits or the assignment of benefits is made under the conditions provided in Section 2815.105 of this Part, such agreement or assignment may be enforced pursuant to the provisions of Section 1300 of the Unemployment Insurance Act [820 ILCS 405/1300] (Act).

History

• Source: Amended at 33 Ill. Reg. 9668, effective July 1, 2009

56 Ill. Adm. Code 2815.105 Deductions from Unemployment Benefits for Past Due Child Support

a) Whenever the Director is served by the Illinois Department of Healthcare and Family Services with a copy of a court or administrative order for withholding of income on behalf of the persons specified in subsection (c), the Director shall deduct from an individual's benefits past due child support in the designated amount.

b) Whenever an individual enters into an agreement for the deduction of a specified sum from his benefits under the Act in order to pay past due child support, this agreement may be enforced by the Illinois Department of Healthcare and Family Services by presenting to the Director the original of the agreement and requesting that the support payments sought to be satisfied be deducted out of the benefits payable to an individual required to provide support. The agreement must be signed by the individual and state clearly the amounts to be deducted from his benefits, in whose favor the support payments are payable, during which periods the deductions are to be made, and by what authority the individual is required to make support payments. If the Director is satisfied that the agreement meets the requirements of this subsection (b), deductions shall be made in the amounts specified in the agreement.

c) The Illinois Department of Healthcare and Family Services may enforce and collect from the Director any assignment of benefits to, or agreement for deductions for the benefit of, the following persons:

1. Those receiving a grant of financial aid under Article IV of the Illinois Public Aid Code [305 ILCS 5/Art. 4];

2. Those whose application for support services under Section 10-1 of the Illinois Public Aid Code [305 ILCS 5/10-1] has been approved; and

3. Those receiving public aid or support services from other states.

d) In every case where there is a court-ordered assignment of wages for past due child support, this assignment of wages shall also be considered an order for withholding of income which can be enforced for collection under subsection (a).

History

• Source: Amended at 33 Ill. Reg. 9668, effective July 1, 2009

56 Ill. Adm. Code 2815.110 Deductions from Benefits to Be Paid to the Illinois Department of Healthcare and Family Services

All deductions authorized under Section 2815.105 shall be paid to the Illinois Department of Healthcare and Family Services. These payments are considered constructively made to the individual and they shall be defense to the Director against claims of the individual whose benefits have been reduced by the deductions taken.

History

• Source: Amended at 33 Ill. Reg. 9668, effective July 1, 2009

56 Ill. Adm. Code 2815.115 Illinois Department of Healthcare and Family Services Acting for the Director

In order to insure prompt action on all orders for withholding of income or agreements to deduct referred to in Section 2815.105 and to insure speedy review of the Director's orders granting deductions, the Director appoints the Division of Child Support Services, Illinois Department of Healthcare and Family Services, as the Director's agent to act for and on behalf of the Director in the following cases:

a) To receive service of the court or administrative order for withholding of income or to accept the presentation of an agreement to deduct from the Illinois Department of Healthcare and Family Services required in Section 2815.105(a) and (b);

b) To determine the sufficiency of the order or the agreement in accordance with the requirements provided in Section 2815.105;

c) To design and adopt a compatible program that could be entered in the Agency's computer system and enable the Director:

1. To know if the beneficiary of the order or the party to the agreement is a claimant receiving benefits under the Act;

2. To start or stop the deductions from benefits after the issuance of the appropriate order by the Director;

d) To receive all filings of appeals connected with the Director's order granting the deduction from benefits and forward them to the Department of Employment Security, in care of the Appeals Division, at the address stated in 56 Ill. Adm. Code 2712.10;

e) To receive and respond to all inquiries relating to the implementation of orders to stop further deductions, the enforcement and collection of orders for withholding of income or agreements to deduct, and the procedure for making an appeal from an order granting deductions. The inquiries shall be addressed to: Illinois Department of Healthcare and Family Services, Attn.: Division of Child Support Services, P.O. Box 19405, Springfield, Illinois 62794.

History

• Source: Amended at 49 Ill. Reg. 11159, effective August 20, 2025

Chapter IV Department of Employment Security

Subchapter e Rights and Duties of Employees

Part 2815 Employees' General Rights and Duties

56 Ill. Adm. Code 2815.120 Order of Deductions from Benefits

After the Division of Child Support has made a determination that the order or the agreement meets the requirements in Section 2815.105 and that the subject of the order or the party to the agreement is a claimant receiving benefits under the Act, it must recommend to the Director the issuance of an order of deduction from benefits and certify as to its correctness. The Division of Child Support shall not initiate a deduction from benefits unless and until such an order has been issued by the Director.

History

• Source: Amended at 11 Ill. Reg. 7270, effective April 3, 1987

56 Ill. Adm. Code 2815.125 Notice of Deductions and Right of Appeal

a) The Director shall give notice to the individual whose benefits will be affected by the Director's order of deduction at the same time that the order for withholding or the agreement to deduct is entered into the Director's computer system by the Division of Child Support of the Illinois Department of Healthcare and Family Services. The notice shall state the amount of deductions, the authority for the deductions, and the claimant's right to appeal the order of deduction in the same manner as appeals under Sections 800 and 803 of the Act [820 ILCS 405/800 and 803], and of 56 Ill. Adm. Code 2720. The appeal shall be filed pursuant to Section 2815.115 of this Part. However, deductions shall continue during the pendency of the appeal.

b) At the hearing on appeal, the only issue to be resolved is the validity of the order or deduction agreement. If there has been a previous proceeding conducted by the Illinois Department of Healthcare and Family Services for this purpose, the claimant contesting the validity of the order or the agreement must show why the decision of the Illinois Department of Healthcare and Family Services should not be given full faith and credit.

History

• Source: Amended at 33 Ill. Reg. 9668, effective July 1, 2009

56 Ill. Adm. Code 2815.130 Improper Deductions from Benefits

When in the appeal process or in any proceedings, it is found that deductions from the claimant's benefits pursuant to Section 2815.105 are improper or not in accordance with the law, the Director shall, after due notice to all parties, stop further deductions. Requests for reimbursements of improper deductions must be directed to the Illinois Department of Healthcare and Family Services, Division of Child Support, at the address specified in Section 2815.115(e).

History

• Source: Amended at 33 Ill. Reg. 9668, effective July 1, 2009

Part 2830 Payment of Benefits

56 Ill. Adm. Code 2830.10 Mailing Address for Benefit Checks and Debit Cards

a) The Department uses a third-party vendor to issue, mail and manage all benefit checks and debit cards. Benefit checks and debit cards will be mailed to the address provided by the claimant in accordance with 56 Ill. Adm. Code 2720.35. The vendor will only mail a benefit check or debit card to the address given to the vendor by the Department. It is the claimant's responsibility to ensure the Department has the claimant's correct address.

b) Neither benefit checks nor debit cards will be mailed to a Post Office box unless the claimant provides the local office with a home address and an explanation of why the claimant wants the benefit check or debit card sent to a Post Office box.

c) Neither benefit checks nor debit cards will be mailed to an address outside of the United States or Canada unless the claimant provides a reason that indicates only a temporary absence from this country or Canada.

History

• Source: Amended at 46 Ill. Reg. 5671, effective March 24, 2022

56 Ill. Adm. Code 2830.50 Calculating the "national Average of This Ratio" Under Section 401 of the Act (repealed)

History

• Source: Repealed at 43 Ill. Reg. 1610, effective January 15, 2019

56 Ill. Adm. Code 2830.200 Payment of Benefits Due a Deceased or Comatose Claimant

a) When the Department becomes aware that a claimant has died or become comatose before receiving benefits to which the claimant is entitled, the Department will make payment to the account designated by the individual for direct deposit or the debit card assigned to the claimant by the Department. If the Department is unable to make payment to the deceased or comatose claimant's direct deposit account, the Department will make payment by debit card, or, if at the time of such payment, the payment cannot be made by way of debit card then the benefits will be paid by way of a paper check that will be made payable to the order of “The Estate or Heirs of” the claimant. However, any benefit checks previously issued to the individual that have not been presented for payment must be returned to the Director, or an affidavit must be submitted stating that the benefit checks were lost, stolen, or destroyed. In the event of a benefit payment to a deceased or comatose claimant, under no circumstances will a check be made payable to the order of more than one payee nor to a named individual.

b) In the case of a claimant who became and remains comatose or who died prior to certifying for benefits, a completed certification form must be submitted by an individual with first-hand knowledge of the matters asserted in the certification, together with an affidavit attesting that the individual has first-hand knowledge and that the matters asserted are true to the best of that individual's knowledge. The completed certification form must be submitted within nine months after the date of death or entry into the comatose state. Unless the certification form is received within nine months after the date of death or entry into the comatose state, any benefits due the deceased or comatose claimant shall revert to and be returned to the State's unemployment trust fund. The certification form shall be submitted to a local unemployment office either in person or by certified mail, shall be supported by an affidavit setting forth the relationship to the deceased or comatose claimant, and shall be accompanied by a certified copy of the death certificate for the deceased claimant or, in the case of a comatose claimant, the statement of a licensed and practicing physician indicating the date as of which the claimant became comatose. The forms required to certify for a deceased or comatose claimant are available at local unemployment offices or by calling Claimant Services. The telephone number for Claimant Services is 800-244-5631 and is available on the Department's website (ides.illinois.gov). Under no circumstances shall the claimant's eligibility extend beyond the date that the claimant died. Under no circumstances shall a claimant be eligible for benefits for the period during which the claimant was in a comatose state.

History

• Source: Amended at 46 Ill. Reg. 5671, effective March 24, 2022

56 Ill. Adm. Code 2830.205 Order of Payment to Survivors of a Deceased Claimant (repealed)

History

• Source: Repealed at 43 Ill. Reg. 1610, effective January 15, 2019

56 Ill. Adm. Code 2830.206 Order of Payment on Behalf of a Comatose Claimant (repealed)

History

• Source: Repealed at 43 Ill. Reg. 1610, effective January 15, 2019

56 Ill. Adm. Code 2830.210 Payment to a Minor Survivor of a Deceased Claimant or to a Minor When the Claimant Is Comatose (repealed)

History

• Source: Repealed at 43 Ill. Reg. 1610, effective January 15, 2019

56 Ill. Adm. Code 2830.215 Time and Manner for Claiming Benefits Due a Deceased or a Comatose Claimant (repealed)

History

• Source: Repealed at 43 Ill. Reg. 1610, effective January 15, 2019

56 Ill. Adm. Code 2830.220 Right of Appeal (repealed)

History

• Source: Repealed at 43 Ill. Reg. 1610, effective January 15, 2019

56 Ill. Adm. Code 2830.300 Requests for Reissuance of Checks Or Replacement of Electronic Payments

a) With respect to benefit payments made by paper check:

1. If the claimant is filing an intrastate claim (see 56 Ill. Adm. Code 2714 for interstate claims) and is seeking the reissuance of a benefit payment check, the claimant shall contact the Department by calling Claimant Services, obtain a required form provided by the Department, provide the Department with Department-requested documents that prove the claimant's identity, and, on the required Department form, request reissuance of the check. The documents required to prove the claimant's identity are a copy of both sides of the claimant's current and valid driver's license or State identification card and a copy of both sides of the claimant's valid Social Security card. The telephone number for Claimant Services is 800-244-5631 and is available on the Department's website (ides.illinois.gov).

A) If the original check has been returned to the Department by either the claimant or the Post Office, the Department will promptly cause a replacement check to be issued to the claimant.

B) If the original check has not been processed by the payor financial institution and has not been returned, the Department will cause payment to not be issued on the check. After confirmation that the stop on the payment of the check has been processed, the Department will promptly cause a replacement check to be issued to the claimant.

C) If the original check has already been processed by the payor financial institution and has not been returned, the claimant will be sent instructions as outlined in Section 2830.305.

2. Requests by a second endorser for replacement of a benefit check that has not already been processed by the payor financial institution shall be made in writing to the Illinois Department of Employment Security, in care of the Accounting Services Division, Trust Fund Unit, at the address stated in 56 Ill. Adm. Code 2712.10.

A) If the original benefit check was lost, mutilated or stale-dated after receipt by the second endorser, and if proof of that action is provided to the Department, disbursement of the funds to cover the check will be made to the second endorser.

B) If the original benefit check was subject to a stop payment order initiated by the claimant pursuant to subsection (a)(1)(B), the matter will be sent to the Benefit Payment Control Division for an investigation pursuant to Section 2830.310.

b) With respect to benefit payments made by way of debit card or direct deposit:

1. Any issue concerning a benefit payment that, in the case of a debit card, was deposited into an account assigned to the claimant or, in the case of direct deposit, was deposited into an account designated by the claimant, must be resolved between the claimant and the financial institution at which the payment was deposited according to the terms and conditions of the cardholder or account agreement.

2. When the claimant alleges that a debit card was mailed to an address that the claimant did not authorize, that a benefit payment was not deposited into an account that the claimant authorized, or that a benefit payment was not credited to the debit card assigned to the claimant, the claimant may file a request for review of the payment at a local office, on a form provided by the Department, or by calling Claimant Services (see 56 Ill. Adm. Code 2714 for interstate claims). The telephone number for Claimant Services is 800-244-5631 and is available on the Department's website (ides.illinois.gov). If a claimant's telephone inquiry cannot be resolved over the phone, the Department will provide the claimant with any forms needed to proceed. All requests for review of payment shall be submitted to the Department's Accounting Services Division to determine if the issue can be resolved by the Department or if the claimant should be referred to the financial institution in which the payment was deposited. If the request is made in person at the local office, the forms needed to request review by the Department's Accounting Services Division will be forwarded by local office staff. Forms submitted by the claimant directly must be mailed to the Department's address provided on the form. When identity theft has been alleged, the Department's Accounting Services Division will refer the matter to the Department's Benefit Payment Control Division for an investigation as provided in Section 2830.310.

History

• Source: Amended at 49 Ill. Reg. 11163, effective August 20, 2025

Chapter IV Department of Employment Security

Subchapter e Rights and Duties of Employees

Part 2830 Payment of Benefits

56 Ill. Adm. Code 2830.303 Lost or Stolen Debit Cards

A claimant must report a lost or stolen debit card immediately to the financial institution that issued the card by calling the telephone number provided on the cardholder agreement provided by the financial institution. The telephone number will also be available on the Department's website. A replacement card will be issued in accordance with the terms and conditions of the cardholder agreement.

History

• Source: Added at 32 Ill. Reg. 13183, effective July 24, 2008

56 Ill. Adm. Code 2830.305 Where Original Benefit Check Has Been Processed By The Payor Financial Institution

a) When a claimant makes a request for reissuance of a payment pursuant to Section 2830.300 and the Department determines that the check has already been processed by the payor financial institution, the Department will send the claimant a copy of the check and an Affidavit of Non-Endorsement. If the claimant believes that neither the claimant nor the claimant's authorized agent endorsed the check, then within 30 days after the mailing of the copy of the check the claimant must file the completed Affidavit of Non-Endorsement with the Department. Instructions for making the filing appear on the document.

b) When a request for reissuance of a benefit check is made by a second endorser and the original benefit check has been processed by the payor financial institution, the request must be made within 90 days after the date that the check was paid by the payor financial institution.

History

• Source: Section 2830.305 repealed at 43 Ill. Reg. 1610, effective January 15, 2019; New Section added at 46 Ill. Reg. 5671, effective March 24, 2022

Chapter IV Department of Employment Security

Subchapter e Rights and Duties of Employees

Part 2830 Payment of Benefits

56 Ill. Adm. Code 2830.310 Check, Debit Card or Direct Deposit Authorization Investigation

a) When an investigation is to be conducted because the claimant claims nonreceipt of a benefits check or the proceeds of a payment, the claimant must file a completed Affidavit of Non-Endorsement, in the case of a paper check, or a Payment Tracer and Affidavit of Non-Receipt of UI Benefits Form, in the case of an electronic payment, in accordance with the filing instructions stated on the appropriate form. Each of these forms will be provided by the Department, and the claimant may request these forms by calling Claimant Services. The telephone number for Claimant Services is 800-244-5631 and is available on the Department’s website (ides.illinois.gov). When submitting the appropriate completed Affidavit, the claimant must also submit proof of identification by including photocopies of requested documents. The documents required to prove the claimant's identity are a copy of both sides of the claimant's current and valid driver's license or State identification card and a copy of both sides of the claimant's valid Social Security card. When an Affidavit has been filed at a local office, all materials relevant to the investigation shall be forwarded to the Department's Benefit Payment Control Subdivision.

b) The Department's Benefit Payment Control Subdivision will conduct an investigation, including an interview of the claimant as provided in Section 2830.325, and will issue a decision either allowing or denying the request for reissuance of payment as provided in Section 2830.335.

c) Prior to the interview required by Section 2830.325, the Department employee who conducted the initial investigation shall record the results of the following in chronological order:

1. Any contact with the second endorser or payor financial institution. Any relevant information or evidence, such as check cashing registration cards or direct deposit information, should be noted and included in the file;

2. Contact with additional witnesses as might be deemed necessary by the Department employee who conducted the investigation; and

3. Any contact with the claimant, including any background information that might have been discovered.

History

• Source: Amended at 46 Ill. Reg. 5671, effective March 24, 2022

56 Ill. Adm. Code 2830.315 Notice of Interview

a) Written notice of the date, time and place of the interview will be mailed to the claimant, at the address shown on the Affidavit of Non-Endorsement or on the Payment Tracer and Affidavit of Non-Receipt of UI Benefits Form submitted by the claimant, at least 10 days prior to the date of the interview.

b) The notice of interview will identify the facts and issues to be covered by the interview.

History

• Source: Amended at 46 Ill. Reg. 5671, effective March 24, 2022

56 Ill. Adm. Code 2830.320 Continuances

The Department employee to whom the matter is assigned shall grant continuances only for good cause shown. When a continuance is granted, the interview shall be rescheduled for the earliest possible time convenient to all parties. All parties shall be informed of the date, time and place of the rescheduled interview either orally or in writing.

History

• Source: Amended at 43 Ill. Reg. 1610, effective January 15, 2019

56 Ill. Adm. Code 2830.325 Check, Debit Card or Direct Deposit Authorization Interview

a) The Department employee assigned to the matter shall conduct an interview of the claimant that is limited to the issues set forth in the notice of interview.

b) All testimony at the interview shall be made under oath or affirmation.

c) At the interview, the Department employee assigned to the matter shall:

1. Inform the parties of the purpose of the interview and of their rights under the Act and the rules promulgated thereunder;

2. Present to the claimant all relevant material obtained during the investigation;

3. If the second endorser is present, take any testimony offered by the second endorser on the cashing of the benefit check;

4. Provide the claimant with an opportunity to explain any reasons or to present any evidence that would show that the signature on the benefit check, change of address or direct deposit authorization form is not the claimant's (or otherwise that one of these forms is not authentic if it was submitted via the internet), and then allow the claimant to cross-examine any witnesses at the hearing or rebut any other evidence presented; and

5. Issue a decision on the available facts, even if the claimant does not appear at the interview (there shall be no defaults for want of prosecution, though the claimant may withdraw the request for reissuance).

History

• Source: Amended at 46 Ill. Reg. 5671, effective March 24, 2022

56 Ill. Adm. Code 2830.330 The Record

A complete record shall be maintained of the interview by the Department employee assigned to the matter. The record will consist of a written summary of the testimony of the parties and their witnesses and copies of all documents, reports, briefs, motions and findings in the matter.

History

• Source: Amended at 43 Ill. Reg. 1610, effective January 15, 2019

56 Ill. Adm. Code 2830.335 Decision

a) A decision shall be made in writing, shall separately state findings of fact and conclusions of law, and shall be mailed to the parties.

b) A decision to allow or deny a claim for reissuance of payment under this Subpart shall be based on the testimony and evidence in the record and not solely on an analysis of the claimant's handwriting. The formal rules of evidence shall not, however, apply in these matters.

c) No decision shall be based solely on unobjected to hearsay testimony when the claimant has testified to the contrary under oath unless the Department employee assigned to the matter finds that the claimant's testimony is incredible, inconsistent or inherently improbable.

d) No decision shall be based on evidence that the claimant has not had an opportunity to review and rebut. The claimant shall be deemed to have waived his or her right to review and rebut when he or she fails to appear at the scheduled hearing.

History

• Source: Amended at 43 Ill. Reg. 1610, effective January 15, 2019

56 Ill. Adm. Code 2830.340 Appeals

The decision described in Section 2830.335 shall constitute a final administrative decision, subject to review under the Administrative Review Law [735 ILCS 5/Art. III].

History

• Source: Amended at 43 Ill. Reg. 1610, effective January 15, 2019

Part 2835 Recovery of Benefits

56 Ill. Adm. Code 2835.1 Recovery of Benefits by Recoupment

a) The Director may recover by recoupment any unemployment insurance benefits that are determined to have been overpaid to an individual. Recoupment is a method by which the Director deducts from any benefits payable to a claimant the amounts of benefits he was found not entitled to receive under the law.

b) The recoverable amounts may be either regular or extended benefits paid under either the Unemployment Insurance Act [820 ILCS 405] (Act), or the Federal Unemployment Compensation Act for Federal Employees (5 USC 8501 et seq.) or Ex-Servicemen (5 USC 8521 et seq.) (UCFE and UCX) programs administered by the Director or any other federal unemployment insurance program administered by the Director (see Table A).

(Source Amended at 32 Ill. Reg. 18978, effective December 1, 2008)

56 Ill. Adm. Code 2835.5 Amounts Recoverable by Recoupment

a) Benefits paid under state law subject to recoupment:

1. The entire amount of benefits previously paid to a claimant later found ineligible pursuant to a reconsidered Finding or reconsidered Determination, or pursuant to a Decision of a Hearings Referee or of the Director under Section 604 of the Act, which modifies or sets aside a Finding or Determination or a reconsidered Finding or reconsidered Determination. To the extent allowed by law, such benefits will be recouped from future State or federal benefits payable to a claimant as set forth in Table A. For purposes of this Section only, if the Board of Review remands a case to the Hearing Referee who then decides that the claimant is ineligible for benefits, such Decision shall make any benefits for which the claimant is then ineligible subject to recoupment.

EXAMPLE: The Referee affirms a Determination by an Adjudicator holding a claimant eligible for benefits which have been paid to the claimant. Upon appeal, the Board of Review remands the case back to the Referee who then sets aside the Adjudicator's Determination and holds the claimant ineligible. The benefits for which the claimant was overpaid are now subject to recoupment.

2. Benefits paid to a claimant for weeks with respect to which he or she received wages by reason of a back pay award made by a governmental agency or pursuant to arbitration proceedings or by reason of payment of wages wrongfully withheld by an employing unit.

b) Benefits paid under federal programs subject to recoupment:

1. Benefits paid to UCFE-UCX claimants who have been found ineligible to receive such benefits in a reconsidered Finding or Determination, or in a Decision of a Hearings Referee or the Director, may be recouped from either future UCFE-UCX benefits, or State or other federally funded benefits payable to such claimant.

2. Recoupment of benefits paid to ineligible claimants under other federal programs administered by the Director shall be governed by the applicable federal law.

c) Waiver of Recoupment − Recoupment from future benefits referred to in subsections (a) and (b) may be waived from week to week in the manner provided in Section 2835.30 of this Part.

History

• Source: Amended at 32 Ill. Reg. 18978, effective December 1, 2008

56 Ill. Adm. Code 2835.10 Time Limits Within Which to Recoup Benefits

a) Benefits obtained by means of fraud: When the claimant knowingly makes a false statement or knowingly fails to disclose a material fact in order to receive regular or extended benefits to which he or she is ineligible, such benefits may be recouped at any time from future benefits payable to the claimant. See Table A for the time limits regarding recoupment of benefits obtained by means of fraud under federal programs, including UCFE-UCX and special programs.

b) Benefits obtained without fraud: When a claimant has been found ineligible to receive regular or extended benefits for any reason other than reasons stated in subsection (a), the benefits received may be recouped within five years from the date the claimant was found ineligible by a Claims Adjudicator, Hearings Referee or by the Director. The same time limit of five years shall apply to the recoupment of regular or extended UCFE-UCX benefits paid to ineligible claimants for any reason other than the reason stated in subsection (a).

c) With respect to other federally funded benefits administered by the Director, the provisions of the appropriate federal law shall be applicable.

History

• Source: Amended at 32 Ill. Reg. 18978, effective December 1, 2008

56 Ill. Adm. Code 2835.15 Extent of Recoupment

a) Benefits recoverable under Section 2835.5(a) shall be recouped in full or to the extent of the benefits payable to the claimant, subject to the time limits provided in Section 2835.10.

1. The amount to be recouped in any particular week shall not exceed 25% of the claimant's weekly benefit amount provided that the recoverable benefits were not obtained by fraudulent means stated in Section 2835.10(a). The same limitation on the amount of recoupment shall apply to UCFE-UCX and Trade Readjustment Allowance (TRA) benefits (see 19 USC 2291-2298).

2. With respect to other federally funded benefits administered by the Director, the provisions of the appropriate federal law shall be applicable.

b) If the claimant knowingly makes a false statement or knowingly fails to disclose a material fact in order to receive benefits to which he or she is not entitled, the entire weekly benefit amount payable to the claimant is subject to recoupment until the full amount of the recoverable benefits has been completely recovered.

c) The extent and period of time for recoupment, as defined in Section 2835.10 and this Section, except for TRA benefits, shall be as set forth in Table A.

History

• Source: Amended at 32 Ill. Reg. 18978, effective December 1, 2008

56 Ill. Adm. Code 2835.20 Notice of Recoupment Decision

The individual whose benefits have been decided by the claims adjudicator to be the subject of recoupment shall be given prompt notice of the decision, which shall state the reason for recoupment, the weeks with respect to which such sum was received by the individual, the time within which the benefits may be recouped, and the right to seek waiver or recoupment and the grounds for such waiver.

56 Ill. Adm. Code 2835.25 Reconsideration or Appeal of Recoupment Decision

a) The individual who has received a notice of recoupment decision may ask for a reconsideration of this decision by the claims adjudicator at any time within one year from the date of the decision, or appeal the decision to a hearings referee within thirty days after it has been delivered to him or mailed to his last known address.

b) The reconsidered decision, if any, is also appealable to a hearings referee within thirty days after it has been delivered to him or mailed to his last known address.

56 Ill. Adm. Code 2835.30 Waiver of Recoupment

a) Recoupment from benefits payable to an individual for any week may be waived as to that week, upon the claimant's request in writing.

1. The application for waiver shall identify the recoupment decision provided in 56 Ill. Adm. Code 2835.20, or shall have attached to it a copy of the recoupment decision.

2. The application shall state the circumstances that would cause the claimant extreme financial hardship, provided in 56 Ill. Adm. Code 2835.45, if the recoupment decision is enforced.

3. The claimant shall produce to the claims adjudicator any evidence in his possession that would establish the basis for the waiver of the recoupment.

b) The Director shall approve the request for waiver of recoupment from benefits for a week or weeks for which the claimant certified as to his eligibility if the benefits have not been paid and if the claimant is able to prove that he received the recoverable benefits without fault, and recoupment in the week(s) would be against equity and good conscience pursuant to 56 Ill. Adm. Code 2835.45.

56 Ill. Adm. Code 2835.33 Waiver of Recovery (tra)

The Agency shall waive the recovery of any overpayment of TRA benefits, to the extent authorized to do so under 20 CFR 617.55, as it is on December 1, 2008 without regard to any later amendments.

History

• Source: Added at 32 Ill. Reg. 18978, effective December 1, 2008

56 Ill. Adm. Code 2835.35 Benefits Received with Fault

If, as a result of a reconsidered finding or reconsidered determination, or a decision of a hearings referee or of the Director, the claimant is denied benefits for which he had previously been held to be eligible because he was found to have fraudulently obtained such benefits as provided in 56 Ill. Adm. Code 2835.10(a), such reconsideration or decision shall be conclusive proof that the claimant received the recoverable benefits with fault.

56 Ill. Adm. Code 2835.40 Benefits Received Without Fault

The receipt of any sum paid to a claimant as benefits, due to agency error, is without fault. A good faith mistake of fact by the claimant in the filing of his claim for benefits which results in an overpayment of benefits does not constitute fault.

56 Ill. Adm. Code 2835.45 Recoupment Against Equity and Good Conscience

a) Recoupment will be considered to be against equity and good conscience if the recoupment would cause the individual extreme financial hardship. For this purpose, extreme financial hardship shall mean the inability to meet vital financial obligations that cannot be deferred. These obligations include:

1. Rent, if the individual has received an eviction notice or five day notice from the landlord;

2. Utility bills, if the individual has received a utility cutoff notice;

3. Unexpected medical bills not covered by insurance; and

4. Other debts incurred for essential living expenses, the payment of which cannot be deferred.

b) The decision whether the recoupment would cause an individual extreme financial hardship shall be based on an assessment of the individual's complete financial situation. Factors such as the extent of an individual's savings and his or her eligibility for welfare or other forms of public assistance shall be relevant in making this decision.

c) Notwithstanding subsections (a) and (b), whenever an individual is overpaid a sum as benefits and the payment of that sum was the result of the individual having claimed a dependent, under Section 401 of the Act, when a dependent child of that same parent had already been claimed as a dependent by the other parent who was also entitled to claim the dependent and the individual had responded negatively to the question on this subject on his/her claim application because the other parent who claimed the dependent had returned to work, recoupment of the overpaid sum shall be deemed to be against equity and good conscience.

History

• Source: Amended at 43 Ill. Reg. 6512, effective May 14, 2019

56 Ill. Adm. Code 2835.50 Request for and Decision Regarding Waiver of Recoupment

a) The initial request for waiver of recoupment must be made in person by the claimant requesting the waiver, unless he or she is physically unable to appear at the local unemployment office closest to his or her place of residence. The request must be made in person, online or through the Teleserve system prior to submitting the certification for benefits for the week recoupment is scheduled to begin.

b) The local unemployment office shall decide promptly whether or not to approve the request for waiver of recoupment. The claimant whose request for waiver of recoupment has been disapproved shall be promptly informed, in writing, of the reasons for the denial of the waiver.

History

• Source: Amended at 43 Ill. Reg. 6512, effective May 14, 2019

56 Ill. Adm. Code 2835.55 Reconsideration or Appeal of Denial of Request for Waiver

a) A denial of the request for waiver of recoupment may be considered by the claims adjudicator within one year from the date of the decision.

b) The decision denying waiver or the reconsideration thereof, is also appealable to a hearings referee within thirty days after it has been delivered to the claimant or mailed to his last known address.

56 Ill. Adm. Code 2835.60 Periods When Waiver of Recoupment Allowed

a) Recoupment waiver may be allowed or denied for weeks for which the claimant has certified and has been found to have met the eligibility requirements for the payment of benefits which have not yet been paid.

b) If the Director is satisfied that recoupment would cause extreme financial hardship over a number of weeks, he may authorize that a request for waiver filed for a particular week be approved for up to a period of two weeks plus any prior weeks for which benefits have not yet been paid.

c) If the conditions which qualified the claimant for a waiver persist beyond the end of the waiver period approved by the Director, the claimant must request waiver for the new period.

56 Ill. Adm. Code 2835.65 Waiver Certifications by Mail

In situations where the individual seeking waiver of recoupment shows that the grounds for waiver relied on under 56 Ill. Adm. Code 2835.30 are of a continued nature, or where the claimant's reporting in person works a hardship on the claimant, as indicated in 56 Ill. Adm. Code 2835.50, the claims adjudicator may permit the claimant requesting periods of waiver under 56 Ill. Adm. Code 2835.50 to certify his eligibility for waiver by submitting the required information by mail.

56 Ill. Adm. Code 2835.67 Waiver of Recovery of Overpayments of Non-Federally Funded Regular and Extended Benefits and Short-Time Compensation (workshare, Il)

a) The Department will permanently waive recovery of any overpayment of non-federally funded regular and extended unemployment insurance benefits and short-time compensation (WorkShare, IL) benefits received by an individual on or after March 8, 2020 and prior to the last day of a disaster period established by the gubernatorial disaster proclamation in response to COVID-19, dated March 9, 2020, and any consecutive gubernatorial disaster proclamation in response to COVID-19, if the Department determines that:

1. The overpayment was without fault on the part of the recipient; and

2. Recovery would be contrary to equity and good conscience.

b) For purposes of subsection (a)(1), the provisions of Section 2835.35 are applicable in determining whether the benefits giving rise to the overpayment were received with fault on the part of the recipient, and the provisions of Section 2835.40 are applicable in determining whether the benefits giving rise to the overpayment were received without fault on the part of the recipient. The examples below give guidance as to whether the overpayment was without fault on the part of the recipient or whether the overpayment was not without fault on the part of the recipient.

1. EXAMPLE 1: The claimant was discharged from a job. A claims adjudicator issues a determination holding that the discharge was for reasons other than misconduct. The claimant is paid benefits. The employer appeals and an Administrative Law Judge issues a decision that reverses the claims adjudicator's determination, resulting in an overpayment being established. This overpayment is without fault on the part of the claimant because the benefits paid to the claimant were based on the claims adjudicator's finding that the discharge was not misconduct.

2. EXAMPLE 2: In filing a claim for benefits a claimant presents the claims adjudicator with paycheck stubs evidencing that during the claimant's base period, the claimant received remuneration for services performed for Employing Unit A and Employing Unit A had not reported to the Department these payments as wages. The claims adjudicator makes a determination that the payments that the claimant received from Employing Unit A constituted wages, and consequently, the claimant's weekly benefit amount is increased by $100 per week. Employing Unit A appeals and an Administrative Law Judge issues a decision reversing the claims adjudicator, and holding that the payments from Employing Unit A did not constitute wages since the claimant's services for Employing Unit A fell within an exemption from the definition of "employment". The Administrative Law Judge's decision results in the claimant having an overpayment in the amount of $100 for each week that the claimant received benefits with respect to this claim. This overpayment is without fault on the part of the claimant because the benefits paid to the claimant were based on the claims adjudicator's finding that the payments constituted wages for Act-insured employment.

3. EXAMPLE 3: The claimant is a full-time teacher and also works part time at a gym. Although the claimant is paid the full teaching salary during the pandemic, the claimant is laid off by the gym due to the State's closure order. The claimant files a claim for benefits and names the gym as the last employer. When a claimant certifies for benefits each week, all wages earned must be reported. The claimant certifies for benefits each week but does not report the school wages because of the erroneous belief that the claim is being filed "against" the gym. When the failure to report the school wages is discovered, an overpayment is established. This overpayment is not without fault on the part of the claimant because, while certifying for benefits, the claimant made a material misrepresentation in answering the question about wages earned.

4. EXAMPLE 4: The claimant is held to be ineligible for benefits for the weeks between April 12, 2020 and May 2, 2020, in a determination that became final. Also, in a determination that became final, the claimant's overpayment for those weeks is held to be for fraud under Section 901 of the Unemployment Insurance Act [820 ILCS 405]. Since the claimant's overpayment was adjudicated to finality to be for fraud, the overpayment is not without fault on the part of the claimant. Consequently, the claimant is not eligible to make a request for a waiver of recovery of these overpayments. Therefore, the claimant is not entitled to receive the notice provided in subsection (f) informing an individual that the individual may request a waiver of recovery of the overpayment with respect to the overpayments for these weeks.

c) For purposes of this subsection, “financial hardship” means the inability to meet vital financial obligations that cannot be deferred. For purposes of subsection (a)(2), the provisions of Section 2835.45 are not applicable. Instead, for purposes of subsection (a)(2), recovery of the overpayment will be considered to be against equity and good conscience if:

1. It would cause financial hardship to the person from whom it is sought; or

2. Regardless of the recipient's financial circumstances, the recipient can show that, based on the overpayment or notice that a benefit payment would be made, the recipient has:

A) relinquished a valuable right; or

B) changed positions for the worse; or

3. Recovery would be unconscionable under the circumstances.

d) For purposes of this Section, if the Department has previously recovered overpayment funds from a recipient and that recipient is granted a waiver pursuant to this Section, then that recipient will not be refunded those recovered monies as no authority has been provided to the Department to refund those recovered monies in the Unemployment Insurance Act [820 ILCS 405].

e) A claimant's request for a waiver of recovery of an overpayment of non-federally funded regular or extended unemployment insurance benefits, or short-time compensation (WorkShare, IL) benefits, during the time period in which the Federal Pandemic Unemployment Compensation (FPUC) program provided a supplement to the claimant's weekly benefit amount, and for which the FPUC supplemental amount is included in the overpayment amount, will be treated as a request to waive recovery of the FPUC overpayment, as described in Section 2835.70, as well as recovery of the overpayment based on the non-federally funded regular or extended unemployment insurance benefits or short-time compensation (WorkShare, IL) benefits. The determination or decision will set forth the findings for allowing or denying waiver of recovery of the overpayment based on the non-federally funded regular or extended unemployment insurance benefits or the short-time compensation (WorkShare, IL) benefits and the FPUC overpayment, and will include the reason for the determination or decision, and when waiver is allowed, the time period of the waiver and the amount waived.

EXAMPLE: A claimant files a request for waiver and provides related information to waive a regular unemployment insurance overpayment from the week beginning June 7, 2020 through the week ending August 15, 2020. In this case, the FPUC program provided a $600 supplement to the claimant's weekly benefit amount for weeks between June 7, 2020 through the week ending July 25, 2020, and the FPUC supplements are included as part of the overpayment. The adjudicator determines that the claimant's request meets the criteria for a waiver of both overpayments, and states in the determination:

1. the reasons for the waivers;

2. a waiver of recovery of the regular overpayment is granted for the period from the week beginning June 7, 2020 through the week ending August 15, 2020;

3. the FPUC waiver is granted for the period from the week beginning June 7, 2020 through the week ending July 25, 2020; and

4. the amount waived for each program.

f) The Department will identify the individuals who have received an overpayment of non-federally funded regular or extended unemployment insurance benefits or short-time compensation (WorkShare, IL) benefits during the period provided in subsection (a), and to each individual, the Department will mail a notice informing the individual that the individual may request a waiver of recovery of the overpayment. Pursuant to 56 Ill. Adm. Code 2720.5, the notice will be sent to the last known address of the individual as the term "last known address" is defined at 56 Ill. Adm. Code 2720.35. In order to be eligible for the waiver of recovery of the overpayment, the individual must file the request within 45 days after the mailing date of the notice.

EXAMPLE: The Department sends the notice provided in subsection (f) to the claimant at the last address that the claimant had provided to the Department. However, the claimant moved to a different address, notified the United States Postal Service of the new address, but did not provide the Department with the new address. Service of the notice to the claimant at the last address provided to the Department is proper, and the fact that the claimant notified the United States Postal Service of the new address does not extend the 45 days within which the claimant must file the request for waiver in order for the request for waiver to be timely.

g) The notice provided in subsection (f) will:

1. be a letter generated by the Department that provides the claimant with notice that the claimant may request waiver of recovery of one or more overpayments;

2. be used by the claimant in making the claimant’s request for a waiver of recovery of any overpayment;

3. contain a questionnaire for the claimant to provide the information required in subsection (a); and

4. provide filing instructions for the claimant.

h) A determination by an adjudicator for a waiver of recovery of an overpayment pursuant to this Section may be based on the claimant's interview or written responses contained in the notice described in subsection (g). An interview need not be conducted unless the adjudicator determines that more information is needed to make the determination.

i) A determination, pursuant to this Section, on a recipient's request for a waiver of recovery of an overpayment will be subject to reconsideration and appeal as set forth in Sections 703, 800, 801, and 803 of the Unemployment Insurance Act [820 ILCS 405].

History

• Source: Added at 46 Ill. Reg. 5683, effective March 24, 2022

56 Ill. Adm. Code 2835.70 Waiver of Recovery of Overpayments Under Pandemic Unemployment Assistance (pua), Federal Pandemic Unemployment Compensation (fpuc), Pandemic Emergency Unemployment Compensation (peuc), and Mixed Earner Unemployment Compensation (meuc) Programs, and the First Week of Benefits Funded by the Federal Government

a) The Department will waive recovery of any overpayment under the Pandemic Unemployment Assistance (PUA), Federal Pandemic Unemployment Compensation (FPUC), Pandemic Emergency Unemployment Compensation (PEUC), and/or Mixed Earner Unemployment Compensation (MEUC) programs, and the first week of benefits funded by the federal government under any State or federal unemployment program, paid to a recipient if the Department determines that:

1. The overpayment was without fault on the part of the recipient; and

2. Recovery would be contrary to equity and good conscience.

b) For purposes of subsection (a), recovery of the overpayment will be considered to be against equity and good conscience if:

1. It would cause financial hardship to the person from whom it is sought;

2. Regardless of the recipient's financial circumstances, the recipient can show that, based on the overpayment or notice that a benefit payment would be made, the recipient has:

A) relinquished a valuable right; or

B) changed positions for the worse; or

3. Recovery would be unconscionable under the circumstances.

c) If the Department has previously recovered overpayment funds from a recipient and that recipient is granted a waiver pursuant to this Section, then that recipient shall be refunded those monies.

d) A claimant's request for a waiver of recovery of an overpayment under PUA, PEUC, or the first week of benefits funded by the federal government under any State or federal unemployment program, during the time period in which the FPUC program provided a supplement to the claimant's weekly benefit amount, and for which the FPUC supplemental amount is included in the overpayment amount, shall be treated as a request to waive recovery of the FPUC overpayment as well as recovery of the overpayment based on the PUA or PEUC programs, or first week of benefits funded by the federal government under any State or federal unemployment program. The determination or decision shall set forth the findings for allowing or denying waiver of recovery of the overpayment based on the PUA or PEUC programs, or the first week of benefits funded by the federal government and the FPUC overpayment separately, including the reason for the determination or decision, and when waiver is allowed, the time period of the waiver and the amount waived.

EXAMPLE: A claimant files a request for waiver and provides related information to waive a PUA overpayment from the week beginning June 7, 2020 through the week ending August 15, 2020. In this case, the FPUC program provided a $600 supplement to the claimant's weekly benefit amount for weeks between June 7, 2020 through the week ending July 25, 2020, and the FPUC supplements are included as part of the overpayment. The adjudicator determines that the claimant's request meets the criteria for a waiver of both PUA and FPUC, and states in the determination: the reasons for the waivers; that a waiver of the PUA overpayment is granted from the week beginning June 7, 2020 through the week ending August 15, 2020; that the FPUC waiver is granted from the week beginning June 7, 2020 through the week ending July 25, 2020; and the amount waived for each program.

e) When a claimant requests a waiver of recovery of an FPUC overpayment that supplemented a weekly benefit amount of an underlying unemployment program other than PUA and PEUC, the determination for waiver of recovery of the FPUC amount shall be made as provided by this Section. However, the determination shall indicate that waiver of recovery of the overpayment of benefits paid pursuant to the underlying unemployment program (other than PUA or PEUC) is not authorized by law and is denied.

f) When a claimant requests a waiver of recovery of an overpayment of the first week of benefits funded by the federal government under any State or federal unemployment program, the determination for waiver of recovery of the overpayment of that first week of benefits shall be made as provided in this Section. However, the determination shall indicate that waiver of recovery of the overpayment of benefits paid after the first week pursuant to the underlying unemployment program (other than PUA or PEUC) is not authorized by law and is denied.

g) A determination by an adjudicator for a waiver of recovery of a PUA, FPUC, PEUC, or MEUC overpayment, or an overpayment for the first week of benefits funded by the federal government under any State or federal unemployment program, overpayment may be based on the claimant's interview or written responses contained in a request form or questionnaire generated by the Department. An interview need not be conducted unless the adjudicator determines that more information is needed to make the determination.

h) A determination on a claimant's request for a waiver of recovery of a PUA, FPUC, PEUC, MEUC overpayment, or an overpayment for the first week of benefits funded by the federal government under any State or federal unemployment program, shall be subject to reconsideration and appeal as set forth in Sections 703, 800, 801, and 803 of the Unemployment Insurance Act [820 ILCS 405].

i) Notwithstanding the provisions of this Section, based upon authority provided by the U.S. Department of Labor the Department will waive recovery of the following overpayments under a single set of facts ("blanket waiver") without a claimant requesting a waiver:

1. When an individual is eligible for payment under an unemployment benefit program for a given week, but through no fault of the individual that individual was paid incorrectly under either the PUA or PEUC program at a higher weekly benefit amount (WBA); or

2. Specific to PUA, when, through no fault of the individual that individual was paid a minimum WBA higher than the minimum WBA set by federal law and U.S. Department of Labor guidance.

History

• Source: Added at 45 Ill. Reg. 8310, effective June 23, 2021

56 Ill. Adm. Code 2835.72 Waiver of Recovery of Overpayments Under Lost Wages Assistance (lwa) Program

a) The Department will waive recovery of any overpayment under the Lost Wages Assistance (LWA) Program paid to a recipient if the Department determines that:

1. The overpayment was without fault on the part of the recipient; and

2. Recovery would be contrary to equity and good conscience.

b) For purposes of subsection (a), recovery of the overpayment will be considered to be against equity and good conscience if:

1. It would cause financial hardship to the person from whom it is sought;

2. Regardless of the recipient's financial circumstances, the recipient can show that, based on the overpayment or notice that a benefit payment would be made, the recipient has:

A) relinquished a valuable right; or

B) changed positions for the worse; or

3. Recovery would be unconscionable under the circumstances.

c) For purposes of this Section, pursuant to guidance provided by the Federal Emergency Management Agency (FEMA) which oversees the LWA program, if the Department has previously recovered LWA overpayment funds from a recipient and that recipient is granted a waiver pursuant to this Section, then LWA funds shall not be used to refund that recipient those recovered monies. Additionally, there is no language authorizing the payment of such refunds in the enabling laws of unemployment insurance programs, including, but not limited to, the Illinois Unemployment Insurance Act [820 ILCS 405] and the CARES Act [P.L. 116-136].

d) When determining requests for a waiver of recovery of an overpayment of LWA benefits paid in conjunction with benefits paid under PUA, PEUC, or the first week of benefits funded by the federal government under any State or federal unemployment program:

1. If a claimant requests a waiver of recovery of an overpayment under PUA, PEUC, or the first week of federally-funded benefits under any State or federal unemployment program (see Section 2835.70), it will also be considered to be a request to waive recovery of an LWA overpayment if the overpayment occurred while the LWA program supplemented the claimant's weekly benefit amount and the payment under LWA has also been determined to be an overpayment. The Department’s determination or decision regarding the request for a waiver will list the findings for allowing or denying waiver of recovery of multiple overpayments separately according to the program under which the benefits were paid. The Department’s determination or decision will include the reason for the determination or decision, and when waiver is allowed, the time period of the waiver, and the amount waived.

2. EXAMPLE: A claimant files a request and provides supporting information for a waiver of recovery of a PUA overpayment covering the period from the week beginning August 16, 2020 through the week ending September 12, 2020. In this case, the LWA program provided a $300 supplement to the claimant's weekly benefit amount for the weeks between August 16, 2020 and September 5, 2020, and the LWA supplements have been determined to be an overpayment. The adjudicator determines that the claimant's request meets the criteria for a waiver of recovery of both PUA and LWA overpayments, and states in the determination:

A) the reasons for the waivers;

B) that a waiver of recovery of the PUA overpayment is granted for the period from the week beginning August 16, 2020 through the week ending September 12, 2020;

C) that a waiver of recovery of the LWA overpayment is granted for the period from the week beginning August 16, 2020 through the week ending September 5, 2020; and

D) the amount waived for each program.

3. The standard for allowing the request for waiver of recovery of the overpayment attributable to payments under PUA, PEUC, or the first week of benefits funded by the federal government under any State or federal unemployment program is set forth in Section 2835.70.

4. The standard for allowing the request for waiver of recovery of the overpayment attributable to payments under LWA is set forth in this Section.

5. The provisions of Section 2835.70(g) relating to an adjudicator’s determination on a claimant’s request for a waiver of recovery of an overpayment under PUA, FPUC, PEUC, MEUC, or the first week of benefits funded by the federal government under any State or federal unemployment program also apply to a request for waiver of recovery of an overpayment of LWA benefits made in conjunction with benefits paid under one or more of those programs.

6. The provisions of Section 2835.70(h) relating to the reconsideration and appeal of an adjudicator’s determination on a claimant’s request for a waiver of recovery of an overpayment under PUA, FPUC, PEUC, MEUC, or the first week of benefits funded by the federal government under any State or federal unemployment program also apply to a request for waiver of recovery of an overpayment of LWA benefits made in conjunction with benefits paid under one or more of those programs.

e) When determining requests for a waiver of recovery of an overpayment of LWA benefits paid in conjunction with the payment of non-federally funded regular or extended unemployment insurance benefits:

1. If a claimant requests a waiver of recovery of an overpayment of non-federally funded regular or extended unemployment benefits (see Section 2835.67), it will also be considered to be a request to waive recovery of an LWA overpayment if the overpayment occurred while the LWA program supplemented the claimant's weekly benefit amount and the payment under LWA has also been determined to be an overpayment. The Department’s determination or decision regarding the request for a waiver will list the findings for allowing or denying waiver of recovery of multiple overpayments separately according to the program under which the benefits were paid. The Department’s determination or decision will include the reason for the determination or decision, and when waiver is allowed, the time period of the waiver, and the amount waived.

2. EXAMPLE: A claimant files a request and provides supporting information for a waiver of recovery of a regular unemployment insurance overpayment covering the period from the week beginning August 16, 2020 through the week ending September 12, 2020. In this case, the LWA program provided a $300 supplement to the claimant's weekly benefit amount for the weeks between August 16, 2020 and September 5, 2020, and the LWA supplements have been determined to be an overpayment. The adjudicator determines that the claimant's request meets the criteria for a waiver of recovery of both overpayments, and states in the determination:

A) the reasons for the waivers;

B) that a waiver of recovery of the regular unemployment insurance overpayment is granted for the period from the week beginning August 16, 2020 through the week ending September 12, 2020;

C) that a waiver of recovery of the LWA overpayment is granted for the period from the week beginning August 16, 2020 through the week ending September 5, 2020; and

D) the amount waived for each program.

3. The standard for allowing the request for waiver of recovery of the overpayment attributable to payments of non-federally funded regular or extended unemployment insurance benefits is set forth in Section 2835.67.

4. The standard for allowing the request for waiver of recovery of the overpayment attributable to payments under LWA is set forth in this Section.

5. The provisions of Section 2835.67(h) relating to an adjudicator’s determination on a claimant’s request for a waiver of recovery of an overpayment of non-federally funded regular or extended unemployment insurance benefits also apply to a request for waiver of recovery of an overpayment of LWA benefits made in conjunction with benefits paid under one or more of those programs.

6. The provisions of Section 2835.67(i) relating to the reconsideration and appeal of an adjudicator’s determination on a claimant’s request for a waiver of recovery of an overpayment of non-federally funded regular or extended unemployment insurance benefits also apply to a request for waiver of recovery of an overpayment of LWA benefits made in conjunction with benefits paid under one or more of those programs.

History

• Source: Added at 46 Ill. Reg. 14206, effective July 29, 2022

56 Ill. Adm. Code 2835.100 Cross-Matching

The Department regularly matches its benefit payments records against the Illinois Directory of New Hires and the Department's own wage record system. Where the cross-matches suggest the possibility that a claimant has worked during the period for which he or she was claiming benefits, the Department will investigate further.

Example: An individual receives regular State benefits for the week beginning January 18, 2009, continuing through April 18, 2009. In certifying to his/her continued eligibility for benefits for those weeks, the individual indicates he/she did not work during any of those weeks. A December 2009 cross-match against the Department's wage records for the first quarter of 2009 indicates the individual worked and was paid wages during that quarter. The follow-up investigation results in a determination, dated December 14, 2009, that the individual fraudulently claimed benefits for the week beginning January 18, 2009 through April 18, 2009, a total of 13 weeks, and the determination becomes legally final. The individual files a new claim for benefits, effective January 24, 2010, without yet having repaid any of the benefits he/she fraudulently obtained. The individual will not receive any benefits until he/she repays the entire amount fraudulently received. After repaying the benefits, the individual will remain ineligible for benefits under Section 901 of the Act [820 ILCS 405/901] until he/she has served 26 "penalty weeks" or December 18, 2011, whichever occurs first. A penalty week is a week in which the claimant is otherwise eligible to receive benefits but is precluded from doing so because of a fraud determination. Six penalty weeks are assessed for the first week for which a claimant fraudulently obtained benefits, and two penalty weeks are assessed for each week thereafter for which the claimant fraudulently obtained benefits, up to a maximum of 26 penalty weeks. There is no durational limit on an individual's liability to repay fraudulently obtained benefits. The individual is also subject to criminal prosecution under the State Benefits Fraud Act [720 ILCS 5/17-6] for the fraudulent receipt of benefits. A conviction for State benefits fraud can result in imprisonment for generally up to five years and a fine of generally up to $25,000. The individual is also subject to a civil lawsuit for recovery of the overpayments.

History

• Source: Added at 34 Ill. Reg. 8515, effective June 16, 2010

56 Ill. Adm. Code 2835.TABLE A Recoupment Matrix

Overpaid Under The Programs And Subprograms Listed Below

% Of Benefits Recoupable From Benefits Presently Payable Under Programs And Subprograms

STATE

UCX/

UCFE

STATE/

UCX/UCFE

FPUC

TRA

PUA

PROGRAM/

SUBPROGRAM

TYPE OF OVER-PAYMENT

REG

EB

REG/EB

PEUC

LENGTH OF RECOUPMENT PERIOD

STATE/

REG/EB

NONFRAUD Sec. 900A2

25

25

25

25

25

25

25

5 Years from Determination Date

STATE/

REG/EB

FRAUD

100

100

100

50

50

100

50

Indefinite

UCX/UCFE/

REG/EB

NONFRAUD Sec. 900A2

25

25

25

25

25

25

25

5 Years from Determination Date

UCX/UCFE/

REG/EB

FRAUD

100

100

100

50

50

100

50

2 Years from

Determination

Date

STATE/ UCX/UCFE/

PEUC

FRAUD

100

100

100

50

50

100

50

3 Years from Payment Date

STATE/ UCX/UCFE/

PEUC

NONFRAUD

25

25

25

25

50

25

50

3 Years from Payment Date

FPUC

NONFRAUD

25

25

25

25

50

25

50

3 Years from Payment Date

FPUC

FRAUD

50

50

50

50

50

50

50

3 Years from Payment Date

TRA

FRAUD

50

50

50

50

0

0-I

50

Indefinite

TRA

NONFRAUD

25

25

25

25

0

25

25

5 Years from Determination Date

PUA

NONFRAUD

25

25

25

50

50

25

25

5 Years from Determination Date

PUA

FRAUD

100

100

100

50

50

100

**

5 Years from Determination Date

KEY TO RECOUPMENT MATRIX

25

=

25% of Weekly Benefit Amount may be withheld for recoupment.

50

=

50% of Weekly Benefit Amount may be withheld for recoupment.

100

=

100% of benefits payable may be withheld for recoupment.

0-I

=

Recoupment is not allowable:

a)

If the week claimed ends prior to fraud determination date, claimant receives all benefits payable for the week;

b)

If the week claimed ends on or after fraud determination date, claimant is ineligible to receive any benefits for the week.

**

=

a)

If the fraud occurred in the initial application for PUA benefits, the claimant is ineligible for any PUA benefits.

b)

If the fraud occurred in connection with a claim for a week of PUA benefits, the claimant is ineligible for that week and the next two weeks of PUA benefits.

UCX

=

5 USC 8521 et seq., Unemployment Compensation for Ex-Servicemen.

UCFE

=

5 USC 8501 et seq., Unemployment Compensation for Federal Employees.

EB

=

820 ILCS 405/409, Extended Benefits.

Sec. 900A2

=

820 ILCS 405/900A2.

PEUC

=

Coronavirus Aid, Relief, and Economic Security (CARES) Act of 2020, Section 2107, Pandemic Emergency Unemployment Compensation, Public Law 116-136.

FPUC

=

Coronavirus Aid, Relief, and Economic Security (CARES) Act of 2020, Section 2104, Federal Pandemic Unemployment Compensation, Public Law 116-136.

PUA

=

Coronavirus Aid, Relief, and Economic Security (CARES) Act of 2020, Section 2102, Pandemic Unemployment Assistance, Public Law 116-136.

TRA

=

Trade Act of 1974, as amended, 19 USC 2271-2322.

History

• Source: Amended at 44 Ill. Reg. 14684, effective August 27, 2020

Subchapter f Eligibility for Benefits

Part 2840 Claimant's Reason for Separation from Work

56 Ill. Adm. Code 2840.25 What Is Meant by "harm"

The phrase "...has harmed the employing unit or other employees" in the general definition of misconduct in Section 602A of the Act [820 ILCS 405/602A] includes, but is not limited to:

a) physical or quantitatively measurable damage or injury;

b) other damage or injury to other employees' well-being or morale or to the employer's property, operations or goodwill;

1. EXAMPLE: An individual is dissatisfied because he does not receive a raise. He confronts his supervisor and threatens to injure him, if not immediately, at some time soon. The threat itself, even in the absence of a physical assault resulting in a tangible injury, constitutes harm.

2. EXAMPLE: Without authorization, an individual enters the company president's office, opens a desk drawer and removes and photocopies trade secrets. Even if the individual decides not to pass along this information to others, the removal and photocopying of trade secrets constitutes harm.

3. EXAMPLE: An employer has a point system for evaluating tardiness and absence. When the worker exceeds the allotted number of points in a particular period, he is subject to discharge. Absences and tardiness always cause harm to the employer, even if a worker is allowed to make up the time. This is because absences and tardiness cause disruption to the general operations of any business. However, even before reaching the question of harm, the worker's reason for tardiness or absence must be reviewed in order to determine if the worker's conduct was willful.

c) damage or injury that could be reasonably foreseen to occur but for the individual being prevented from either carrying out his or her act or continuing to work;

1. EXAMPLE: At the end of her shift, a grocery store checker is stopped at the exit by a security guard. The security guard removes from the checker's purse a can of fruit cocktail and a package of sandwich cookies belonging to the employer. Because the checker was caught, the employer was not deprived of its property. Still, this constitutes harm.

2. EXAMPLE: An individual applies for a job that requires that he have a valid driver's license. On his application, he fails to disclose that his driver's license has been suspended. One year later, the employer learns of the suspension. Although the individual has not yet been involved in any accidents on the employer's premises, it is reasonable to foresee that one may occur and that the employer's insurance company would deny liability because of the individual's omission. The individual's omission on his application constitutes harm.

3. EXAMPLE: Federal law provides that a commercial carrier may not permit its vehicles to be operated by an individual if there is, within the individual's system, the presence of unlawful, controlled substances beyond a particular level. The presence of such a substance during working hours within the system of a commercial driver employed by the carrier constitutes harm to the carrier. To continue to employ the individual as a driver would result in the carrier's violating federal law.

4. EXAMPLE: The individual is driving a forklift truck through the employer's warehouse at excessive speeds. It is reasonably foreseeable that this conduct could result in both injuries and property damage. Even if the conduct is stopped before injuries or damage occur, there is still harm to the employer.

d) It should be noted that harm is only one element of the definition of misconduct and that all of the elements set forth in the Act must be analyzed before a finding of misconduct can be made.

History

• Source: Amended at 43 Ill. Reg. 6517, effective May 14, 2019

56 Ill. Adm. Code 2840.101 General Principles for Interpreting Section 601 of the Act [820 Ilcs 405/601]

a) For an individual's separation from work to be a voluntary leaving, the individual must have the option to remain employed by the employing unit. The separation is a discharge if the individual does not have the option to remain employed by the employing unit. Notwithstanding any other provision to the contrary, when obtaining or maintaining a "tool of the trade" necessary to perform a job, including but not limited to an occupational or other license required by federal or State law, is within an individual's control, a work separation that results from the individual's failure to obtain or maintain the tool of the trade is a voluntary leaving. An individual who is allowed to resign in lieu of discharge is considered as having been discharged.

1. Example: The individual is told that he/she will be discharged because of his/her poor attendance. However, in order to avoid having a discharge on his/her record, he/she is allowed to submit a resignation. This separation is not a voluntary leaving because the individual does not have the option to remain employed.

2. Example: The employing unit tells the individual that his/her position on the second shift has been eliminated. However, a position is available to the claimant on the first shift. The individual leaves rather than accept the first shift. This is a voluntary leaving.

3. Example: An individual is involved in an automobile accident, will be unable to work until released by his/her doctor and so advises his/her employer. The employing unit advises the individual that it cannot offer him/her a leave of absence and cannot keep his/her job open. This is a discharge because the employing unit has not given the individual the option of remaining employed.

4. Example: On Day 1, upon returning home from work, an individual is advised by his/her babysitter that, effective immediately, the sitter can no longer watch the individual's two pre-school children. Before work on Day 2, the individual telephones his/her employer to advise it of the situation and says he/she may need a few days to find a new sitter. The employer indicates that he/she must come to work that day or it will consider him/her as having resigned. On Day 3, he/she telephones the employer to advise that he/she has some leads for a new sitter, but will need a few more days. He/she is advised the employer has accepted his/her resignation. The individual was discharged. By presenting the individual with the choice between keeping his/her job and ensuring his/her two pre-school children were properly attended, the employer did not provide the individual with the opportunity to remain employed.

5. Example: Upon returning home from work, an individual is advised by his/her babysitter that, effective immediately, the sitter can no longer watch the individual's two pre-school children. Before work the next day, the individual telephones his/her employer to advise it of the situation. The employer acknowledges the importance of finding a sitter with whom the individual is comfortable, indicates the company will work around his/her absence while he/she looks for a sitter and instructs him/her to telephone it at the end of two weeks if he/she still has not found a sitter. Without contacting the employer in the interim, he/she reports to work at the employer's premises one month later. He/she is advised that the employer assumed he/she was no longer interested in the job and hired a replacement, and there is no work available to him/her. The individual left work voluntarily. He/she had the option to remain in contact with his/her employer and thereby preserve the possibility of returning to work but did not avail himself/herself of that option.

6. Example: An individual's job requires that he/she maintain a valid driver's license. After learning that the individual's driver's license has been suspended because of traffic violations, the employing unit instructs the individual that it no longer needs his/her services. The separation is considered a voluntary leave. The individual failed to maintain a tool of his/her trade, in this case, a valid driver's license.

7. Example: An individual is hired with the understanding that he/she must pass a State mandated licensing test within one year of his/her date of hire. The individual takes all of the training courses available to prepare for the test but still fails it on three occasions. The individual is told that his/her services are no longer needed as a result of his/her failure to obtain the required license by the one-year deadline. The resulting separation is not a voluntary leaving because the individual made a reasonable and substantial effort to obtain the required license. Obtaining the license was not within his/her control, and he/she did not have the option to remain employed by the employing unit.

8. Example: Pursuant to the terms of the collective bargaining agreement governing labor-management relations at the individual's workplace, the payment of union dues was a condition of employment. The individual refused to pay the dues, although he/she was financially able to do so. After the individual ignored warnings from the employer that he/she needed to pay the dues, the employer indicated that it was no longer able to employ him/her. The separation was a voluntary leave. The individual had the option of remaining employed by paying the dues, which he/she had the means to do, but failed to avail himself/herself of that option.

9. Example: Rumors of a shutdown circulate within a plant, although the employer has not given any indication that it intends to close the plant or lay off any employees. After hearing the rumors, a worker at the plant quits to begin looking for work elsewhere, indicating he/she is not going to wait around to find out what happens at the plant. The separation was a voluntary leave, since the worker had the option of remaining at the plant.

10. Example: An individual becomes temporarily bed ridden after contracting the flu on a Sunday. When he/she telephones the employer the following day (Monday) to indicate that he/she is unable to go to work, the employer indicates that if he/she is not at work by the next day (Tuesday), he/she will be considered as having resigned. The individual is unable to return to work on Tuesday. When he/she calls the employer on Tuesday to indicate he/she is still unable to go to work, the employer indicates that it has accepted the individual's resignation. The individual was discharged. He/she did not have the option of remaining employed by the employer.

b) An individual has good cause for leaving work when there is a real and substantial reason that would compel a reasonable person who was genuinely desirous of remaining employed to leave work and the individual has made a reasonable effort to resolve the cause of his/her leaving, when such effort is possible.

1. Example: When hired, the individual commuted 5 miles each way to work. The employing unit then relocated its plant to a town over 150 miles from the individual's residence, causing a substantial increase in the individual's commuting costs and commuting time. As a result, the individual leaves his/her job. The individual had good cause for leaving work.

2. Example: An individual retires at the same time a coworker retires, because he/she believes work would not be as enjoyable without the coworker. The individual does not have good cause for leaving the job.

3. Example: An individual's paychecks are repeatedly returned due to insufficient funds, despite the individual's numerous complaints to the employer. Upon having yet another paycheck returned due to insufficient funds, the individual resigns. The individual has good cause for leaving the job.

4. Example: When hired, the individual was able to walk to work from his/her home in 15 minutes. Thereafter, the employing unit relocates to a distance approximately 5 miles from the individual's home, requiring the individual to use public transportation. The commute on public transportation is approximately 45 minutes each way. The individual quits his/her job because of the increase in commuting time. The individual does not have good cause for quitting.

c) To be attributable to an individual's employing unit, his or her reason for leaving work must be within the control of the employing unit. Situations in which the reason for leaving is attributable to the employer include, but are not limited to, situations in which the employing unit has implemented a substantial change in the conditions of employment.

1. Example: The individual relocates to a town over 150 miles from the job site. Because the commute would take more than 2 hours each way, the individual resigns. The individual's reason for leaving is not attributable to the employing unit because the employing unit had no control over where the individual chose to reside.

2. Example: When hired, the individual commuted 5 miles each way to work. The employing unit then relocated its plant to a town over 150 miles from the individual's residence, causing a substantial increase in the individual's commuting costs and commuting time. As a result, the individual leaves his/her job. The reason for his/her leaving is attributable to the employing unit since the employing unit changed the conditions of employment by moving its plant to a location substantially farther from the individual's residence.

3. Example: An individual concludes he/she is not living up to his/her full potential in his/her present job and quits to return to school. The employer has made no changes in the terms or conditions of his/her employment and has not given the individual any reason to suspect any such changes are forthcoming. The individual's reason for leaving is not attributable to the employing unit.

4. Example: An individual quits his/her job to work for a different employer. The employing unit that the individual leaves has made no changes in the terms or conditions of his/her employment and has not given the individual any reason to suspect any such changes are forthcoming. The individual's reason for leaving is not attributable to the employing unit.

5. Example: The employer announces that, as a result of a loss of a major client, hourly wages will be reduced from $15 to $10, whereupon an employee quits. The employee's reason for leaving is attributable to the employer, since the reduction is a substantial change in working conditions. The employee will still have to demonstrate that there was good cause for leaving.

6. Example: An individual quits work because his/her supervisor is demeaning and abusive to him/her, but he/she has not complained to higher management about the supervisor even though the employer has a policy encouraging employees to report abusive supervisors, and higher management is not otherwise aware of the supervisor's conduct. The individual's leaving is not attributable to his/her employer. Since higher management was not aware of the supervisor's conduct, the reason for the individual's leaving was not within the employer's control.

7. Example: An individual assigned to clean an area in the facility where he/she works objects to the odor of the cleaning fluid the employer provides and requests the employer to switch to a fluid the individual considers preferable. The employer denies the request, stating that there is no indication the fluid it uses is unsafe, and no one else has objected to the odor. The individual quits because the request is denied. The type of cleaning fluid used is within the employer's control, so the reason for quitting is attributable to the employer. However, to avoid disqualification, the individual will have to demonstrate he/she had good cause for quitting.

d) Subsection B of Section 601 of the Act [820 ILCS 405/601B] lists situations in which an individual will not be disqualified from receiving unemployment benefits even though he or she has left work voluntarily for a reason that is not necessarily attributable to his or her employer. The following provides examples of some of those situations, but is not an exhaustive list of circumstances, in which subsection B would apply:

1. Example: The individual is employed as a full time bank teller. His/her spouse develops a serious medical condition that requires constant supervision. A friend can watch the claimant's spouse each morning. The individual asks if he/she can work mornings only so that he/she can be home to watch his/her spouse during the afternoon. The employer indicates that it is unable to switch the individual to part time hours. If the claimant leaves work to care for his/her spouse, he/she is not subject to disqualification because his/her case falls within the exception provided at Section 601B(1).

2. Example: The individual works the third shift. The individual's spouse becomes ill and needs 24-hour assistance. The individual is able to obtain county services to care for the spouse during the day, but the only option for nighttime care is prohibitively expensive. The employer indicates that it is unable to move the individual to the first shift. If the individual leaves work to care for his/her spouse, he/she is not subject to disqualification because his/her case falls within the exception set forth in Section 601B(1).

3. Example: The individual is a skilled metalworker. He/she quits his/her job to start his/her own metal working business. For a few weeks, the business is quite successful, and he/she earns over his/her weekly benefit amount in each of at least two weeks. However, after a while, business falls off substantially. He/she files a claim for unemployment insurance benefits. He/she is not subject to disqualification because his/her case falls within the exception provided at Section 601B(2).

4. Example: An individual complains to his/her supervisor about persistent sexual advances by a coworker. The supervisor takes no further action believing the individual can take care of himself/herself. The advances continue causing the individual to quit his/her job. The individual is not subject to disqualification because his/her case will fall within the exception at Section 601B(4) since the employer knew of the harassment and failed to take any action.

5. Example: An individual's ex-boyfriend/girlfriend periodically waits outside his/her job site and threatens him/her when he/she arrives and leaves work. Fearing for his/her safety, he/she stops coming to work, informing the employing unit of his/her reason for leaving and providing the Department with a copy of a letter signed by the individual's social worker, indicating the individual is receiving domestic violence services. His/her case falls within Section 601B(6).

6. Example: An individual who works nights lives with his/her 17-year-old child. His/her child's ex-boyfriend/girlfriend has been harassing the child, repeatedly following the child in public and making threatening telephone calls to the child at his/her home at night. Fearing for the child's safety, the individual quits his/her job to be home at night with the child. He/she informs the employer of his/her reason for quitting and provides the Department with a copy of the police report regarding the threatening calls. His/her case falls within Section 601B(6).

7. Example: An individual's ex-boyfriend/girlfriend periodically waits outside his/her job site and threatens him/her when he/she arrives and leaves work. Fearing for his/her safety, he/she stops coming to work. He/she informs the employer of his/her reason for leaving but fails to provide the Department with any of the evidence enumerated in Section 601B(6) as acceptable proof of domestic violence. His/her case will not fall within Section 601B(6).

8. Example: An individual lives and works in Chicago with his/her spouse. The spouse accepts a new job in Los Angeles, CA, and the individual and his/her spouse both agree they will move to Los Angeles together. The individual leaves his/her job when it is time to move to Los Angeles. The individual is not disqualified for leaving the job. It would be impractical for him/her to commute from Los Angeles to his/her job in Chicago, and his/her case, therefore, falls within Section 601B(7) of the Act.

9. Example: An individual's drive to work from Lincoln to Bloomington took about 45 minutes. The individual moved to Decatur when his/her spouse was transferred to that city. The individual quits his/her job to look for work in Decatur, although there is no reason that he/she could not have continued driving to work in Bloomington as the drive to Bloomington would only have been 15 minutes longer from Decatur. The individual's case does not fall within Section 601B(7) because commuting from Decatur to Bloomington would not be impractical.

10. Example: An individual's commute to work within the City of Chicago by bicycle took about 45 minutes. The individual and his/her spouse move to Skokie, a Chicago suburb, when his/her spouse is transferred to Buffalo Grove, another Chicago suburb. While the individual's commute time by automobile would still be about 45 minutes, the individual refuses to use an automobile even though one is available to him/her. Leaving under these circumstances would not fall within the exception in Section 601B(7) of the Act [820 ILCS 405/601B(7)] because commuting would not be impractical. Bicycling is the individual's personal preference.

History

• Source: Added at 34 Ill. Reg. 8520, effective June 16, 2010

56 Ill. Adm. Code 2840.125 Early Retirement or Employment Buyout Packages

a) An individual who accepts his employer's offer of an early retirement or employment buyout package and leaves work according to the terms and conditions of the offer is ineligible under Section 601 of the Act unless, at the time the offer is accepted:

1. the individual knows or reasonably believes that, within the proximate future, his employment will be terminated by the employer under terms and conditions substantially less favorable than the terms and conditions of the offer, or

2. the individual knows or reasonably believes that his employment will continue, in the proximate future, but under terms and conditions substantially less favorable than the terms and conditions of his employment immediately prior to the offer, or

3. the individual knows that a layoff will follow if a sufficient number of employees do not accept the offer of an early retirement or employment buyout package and the individual accepts the offer to avoid the layoff of another employee.

b) The circumstances under which an individual may be found to have the reasonable belief required by subsection (a)(1) and (a)(2) above include but are not limited to circumstances in which the individual seeks but does not receive assurances from the employer that his employment will not in the proximate future be terminated under terms and conditions of the offer or that the terms and conditions of his employment will not in the proximate future become substantially less favorable than the terms and conditions immediately prior to the offer, as the case may be.

1. Example: An employer operates a plant that has consistently earned a profit. The employer offers an early retirement package. There is no indication from the employer that the offer is intended to avert layoffs and there are no rumors to that effect within the plant. An employee at the plant accepts the offer and applies for unemployment benefits after separating from the employer. These facts alone do not establish the reasonable belief required by subsection (a)(1) or (a)(2) above; the individual is ineligible under Section 601.

2. Example: An employer who operates a plant with 800 employees offers an early retirement plan on October 1 and indicates that, if by December 31 of the same year fewer than 150 employees have accepted the offer, the employer may begin laying off "nonessential" employees in no particular order of seniority, with no benefits. On October 2 of that year an employee at the plant seeks but does not receive assurances from the employer that she is considered "essential," whereupon she accepts the offer. Without other evidence to the contrary, these facts establish the reasonable belief required by subsection (a)(1) above; the individual is not ineligible under Section 601.

3. Example: An employer who operates a plant with 900 employees announces it intends to downsize by 25 percent and offers an early retirement package on October 15. Rumors circulate through the plant that, if a sufficient number of employees do not accept the offer by the end of the year, layoffs will follow, with no benefits, although the employer has made no announcement to that effect. The employer is aware of the rumors and does not take any action to dispel them. An employee seeks but does not receive assurances from the employer that he would not be laid off. Without other evidence to the contrary, if the employee accepts the offer, these facts establish the reasonable belief required by subsection (a)(1) above; the employee is not ineligible under Section 601.

4. Example: An employer operates a plant with 1,000 employees. On September 15, the employer offers an early retirement package to its most senior workers. Thereafter, rumors circulate throughout the plant that the employer is considering eliminating and restructuring jobs. In conversation with the employer, a senior employee is assured the employer has no plans to eliminate or restructure his job. However, the employer does observe that, if the next few years are as unprofitable as the current one, everybody's job could be at risk and the employer might not be able to offer early retirement packages as generous as the one now being offered. Troubled by the employer's observation, the employee accepts the offer. These facts alone are not sufficient to establish the reasonable belief required by subsection (a)(1) above; the employee is ineligible under Section 601. An employer's abstract statement of concern over what the future may bring is too speculative to establish a reasonable belief that the employee's job will be affected in the proximate future.

5. Example: An employer asks for "volunteers" to be laid off, explaining that each volunteer will receive two months of wages and extended health insurance coverage upon separation. The employer indicates that, if 250 volunteers are not found, it will lay off, with no benefits, a number of employees equal to the difference between 250 and the number of volunteers, irrespective of seniority. Any employee volunteers after seeking but not receiving assurances from the employer that he would not be laid off. Without other evidence to the contrary, these facts establish the reasonable belief required by subsection (a)(1) above; the employee is not ineligible under Section 601.

6. Example: On January 2, an employer offers an employee an early retirement package. The offer is effective through April 15 of the same year. There is no indication from the employer that the offer is intended to avert layoffs and there are no rumors to that effect within the workplace. The package would provide the employee with a greater pension than would otherwise have been available to her had she immediately retired and would provide the employee with the same medical benefits that are currently provided to her as a full time employee, including full medical insurance for the employee's sick husband. The employer indicates to the employee that, if she does not accept the offer, the employer will, as of April 16, discontinue medical insurance for her husband. These facts establish the reasonable belief required by subsection (a)(2) above; the employee is not ineligible under Section 601.

7. Example: On January 2, an employer offers an employee an early retirement package. The offer is effective through April 15 of the same year. There is no indication from the employer that the offer is intended to avert any layoffs and there are no rumors to that effect within the workplace. The package would provide the employee with a greater pension than would otherwise have been available to her had she immediately retired and would provide full medical insurance for the employee and her sick husband, even though the employer does not currently provide medical insurance for employees, retirees or the families of employees or retirees. There is no indication that the terms and conditions of the employee's employment will change if she does not accept the offer, although by not accepting the offer, she will forego any medical insurance furnished by the employer. The employee accepts the offer. These facts do not establish the reasonable belief required by subsection (a)(2) above; the employee is ineligible under Section 601.

8. Example: An employer who operates a plant with 1,000 employees asks for "volunteers" to be laid off, explaining that each volunteer will receive two months of wages and extended health insurance coverage upon separation. The employer indicates that, if 250 volunteers are not found, it will lay off, with no benefits, a number of employees equal to the difference between 250 and the number of volunteers. An individual who, because of his seniority, knows he will not be laid off, volunteers to be laid off in place of his son, who has little seniority. According to subsection (a)(3) above, the individual is not ineligible under Section 601.

c) An individual who accepts his employer's offer of an early retirement or employment buyout package and leaves work according to the terms and conditions of the offer and is not ineligible under Section 601 of the Act may still be ineligible under other provisions of the Act.

1. Example: An employer announces it intends to downsize by 25 percent and offers an early retirement package which includes a generous pension package financed solely by the employer. Rumors circulate through the plant that, if a sufficient number of employees do not accept the offer by the end of the year, layoffs will follow, with no benefits, although the employer has made no announcement to that effect. The employer is aware of the rumors and does not take any action to dispel them. An employee seeks but does not receive assurances from the employer that he would not be laid off. Without other evidence to the contrary, if the employee accepts the offer, these facts establish the reasonable belief required by subsection (a)(1) above; the employee is not ineligible under Section 601. However, because the individual's retirement pension is financed solely by the employer, it will be 100% disqualifying income for each week for which the individual qualifies for the pension.

2. Example: An employer announces it intends to downsize by 25 percent and offers an early retirement package. Rumors circulate through the plant that, if a sufficient number of employees do not accept the offer by the end of the year, layoffs will follow, with no benefits, although the employer has made no announcement to that effect. The employer is aware of the rumors and does not take any action to dispel them. An employee seeks but does not receive assurances from the employer that he would not be laid off. Without other evidence to the contrary, if the employee accepts the offer, these facts establish the reasonable belief required by subsection (a)(1) above; the employee is not ineligible under Section 601. However, the individual decides that he will retire from the labor force and relocate to Florida. This individual will be ineligible for each week during which he is not able to, available for or actively seeking work.

History

• Source: Added at 17 Ill. Reg. 17929, effective October 4, 1993

Part 2865 Claimant's Availability for Work, Ability to Work and Active Search for Work

56 Ill. Adm. Code 2865.1 Definitions

All other terms used in this Part shall have the meanings ascribed in Sections 200 through 247 of the Unemployment Insurance Act [820 ILCS 405], unless the context requires otherwise.

"Act" means the Unemployment Insurance Act [820 ILCS 405].

"Claimant" means a person who applies for benefits under the Act.

"Customary occupation" means the work in which the individual was last engaged or the occupation for which he or she is best qualified by training, experience and education.

"Department" means the Illinois Department of Employment Security.

"Employing unit" shall have the same meaning ascribed in Section 204 of the Act.

"Full-time work" is the number of hours a class of workers would customarily work if the employing unit had all of the work it could handle without working overtime. Except when the contrary is provided by a collective bargaining agreement or company policy, full-time work is customarily 40 hours per week. For example, 37.5 hours per week is full-time work for Illinois State employees because it is so provided by State personnel policy.

"Local office" means the office of the Department servicing claimants who live in a specific geographical area.

"Regular employing unit" is either the employing unit for which an individual expects to continue working and to work full time if business warrants it, or any employing unit for which the individual worked full time for nine consecutive weeks during the preceding 52 weeks.

"Temporary help firm" means an employing unit that hires its own employees and assigns them to clients to support or supplement the client's workforce in work situations such as employee absences, temporary skill shortages, seasonal workloads, and special assignments and projects.

History

• Source: Amended at 43 Ill. Reg. 6522, effective May 14, 2019

56 Ill. Adm. Code 2865.50 Union Registration in Satisfaction of Active Search Provisions

a) Upon request, a claimant will satisfy the active search for work provisions of Section 500(C) of the Act by registering for work with a union qualified under Section 2865.55.

1. A claimant who is unemployed, belongs to the job classification of workers represented by the union and reports periodically (but not less than monthly), as required by the union, to his or her local union placement service, shall meet the work search requirements of Section 500(C) of the Act.

2. Meeting the requirements set forth in subsection (a)(1) shall not relieve the claimant from satisfying all other requirements of the Act regarding eligibility for benefits, including the additional work search requirements of Section 409(K) of the Act.

b) The Agency shall maintain an updated listing of all unions qualified under Section 2865.55.

c) Any local union certified by the Director before July 1, 1986 shall continue to be certified, without further action on its part, so long as it continues to meet the requirements of Section 2865.55(a).

History

• Source: Amended at 35 Ill. Reg. 6154, effective March 25, 2011

56 Ill. Adm. Code 2865.55 Requirements for Union Local Certification

a) To meet the placement service requirements of Section 2865.50(a)(1), a union local must establish that:

1. It maintains a placement service which is available during all reasonable hours, and is available to Agency personnel for information regarding such workers;

2. It maintains accurate records of a claimant's original registration, referrals to work, refusal of work with reasons therefor, and records of job orders and their status; and,

3. All employers which are contractually bound to that local must fill all of their job openings by first hiring from that local's placement service. In such a situation, that local then controls referral to all the job opportunities in that designated locale in the trade or occupation, as though the users of its placement service personally visited each of these contractually bound employers.

4. In the absence of such contractual obligation, a local may still be approved upon showing that it does, as a practical matter, fill substantially all of the job openings in the designated locale.

b) If a union local fails to maintain any of the above requirements of this Section, it shall lose its certified status until such time as it requalifies under the procedures set forth in Section 2865.60.

c) After being granted certified status, such local shall submit, not more than annually, such information maintained in writing pursuant to Section 2865.55(a)(2) that will show that the union local still meets the requirements of subsection (a).

56 Ill. Adm. Code 2865.60 Procedures for Approval as a Certified Union

a) Any union local may seek approval under Section 2865.55 by requesting from the local office of the Unemployment Insurance Support unit of the Department a Union Registration and Placement Questionnaire (Ben-629) that requests the information necessary to insure compliance with the requirements on placement services in Section 2865.55. The form shall be completed and returned to the Illinois Department of Employment Security, in care of Unemployment Insurance Support, at the address stated in 56 Ill. Adm. Code 2712.10.

b) If a union local is disapproved, written notice for the reasons for the disapproval shall be provided to the union local. All inquiries for supplementary information, explanations or assistance shall be directed to the Unemployment Insurance Support unit that shall:

1. Explain the basis for disapproval; and

2. Advise the union local regarding any adjustments in record keeping and activities that may be necessary to meet the standards for approval under Section 2865.55(a).

c) If a union local is approved, it shall be advised in writing and added to the listing set forth in Section 2865.50(b).

d) Since disapproval of a union local under subsection (b) does not adversely affect its rights under the Act, there is no right of administrative review within the Department under the Act. However, if an individual claimant is denied benefits under Section 500 of the Act, the individual, in his or her appeal under Section 800 of the Act may raise the wrongful disapproval of his or her union local as an issue in an appeal.

History

• Source: Amended at 49 Ill. Reg. 11169, effective August 20, 2025

56 Ill. Adm. Code 2865.100 Work Search Requirements for Regular Unemployment Insurance Benefits

a) Unless otherwise instructed, the claimant must establish that he or she is able to work, available for work and actively seeking work during each week for which he or she is claiming benefits.

1. The claimant must register with the Illinois Employment Service unless otherwise instructed by the local office for one of the following reasons:

A) The claimant's unemployment is due to a labor dispute at his or her last employing unit even if the claimant is not involved in the dispute;

B) The claimant's unemployment is due to a temporary lay-off not exceeding 10 weeks in duration;

C) The claimant is a member of a labor union whose placement service has been certified by the Department under this Part;

D) The claimant is still attached to a regular job but he or she is only partially employed due to a temporary reduction in hours;

E) The claimant is a seasonal worker who is between seasons and has a reasonable expectation of returning to the same job in the next succeeding season. For example, park, golf course and landscape workers would fall within this subsection (a)(1)(E) during a winter shutdown;

F) The claimant is an academic worker, such as a teacher or school administrator, or a non-academic employee, such as a food service worker or school bus driver, who is seeking work at an educational institution or for a company that contracts with an educational institution during a period between academic years or terms;

G) The claimant is a construction worker seeking construction work, whether or not he or she belongs to a union that operates a hiring hall defined in Section 2865.50;

H) The claimant is enrolled and participating in training, whether or not that training is approved under Section 500C5 of the Act;

I) The claimant is a resident of a state that borders Illinois and has filed a claim in this State;

J) The Department determines that, based on local labor market information, registration with the Illinois Employment Service would not increase the likelihood of the claimant's return to work; or

K) The claimant's unemployment is due to a temporary lay-off resulting from a temporary closing attributable to the COVID-19 virus.

2. The claimant must show that he or she is conducting a thorough, active and reasonable search for appropriate work on his or her own by keeping records of what he or she is doing to find work, including:

A) The names and addresses of the employing units contacted and the names of the specific persons contacted, if possible;

B) The dates, methods and results of the contacts;

C) The types of work that the claimant has been seeking, including wages and hours requested or desired; and

D) Any other information regarding work search efforts.

b) The claimant shall provide the written records required by this Section to the Department whenever requested, under Section 2720.115, or, in the event of a Claims Adjudicator's interview, an appeal or a hearing in which work search is an issue. Even if the claimant has been denied benefits, he or she must either continue to certify by telephone (see Section 2720.112) or complete and file the Claim Certification through the internet every 2 weeks and meet the eligibility requirements of the Act for each week for which he or she expects payment upon reversal of that denial.

History

• Source: Amended at 44 Ill. Reg. 11787, effective July 1, 2020

56 Ill. Adm. Code 2865.105 Able to Work

a) An individual is able to work when he or she is physically and mentally capable of performing work for which he or she is otherwise qualified. An individual is considered able to work to the full extent permitted by 20 CFR 604, effective February 15, 2007, except when inconsistent with the express holding of published Illinois case law.

EXAMPLE: A claimant who had been a clerk at a retail store is responsible for a minor child who is prevented from attending school due to closures resulting from the COVID-19 virus. The claimant must stay home from work to watch his/her child until school reopens. However, the claimant is able to perform work that could be performed from the isolation of his/her home (e.g., transcribing, data entry, virtual assistant services). While the claimant has most recently worked at retail locations, he/she is able to work due to his/her ability to work at home.

b) The focus is upon the individual's condition, the employer's willingness to hire him or her is not relevant.

1. EXAMPLE: An individual is 60 years old, worked as a warehouseman for 40 years and is physically able to continue doing so. Employers' reluctance to hire him, because of his age, does not render him unable to work.

2. EXAMPLE: An individual tests positive for tuberculosis, a contagious disease, and, by law, is not permitted to continue working as a school teacher. He applies for jobs as a school teacher. It is the individual's condition, not school districts' unwillingness to hire him, that renders him unable to work. The individual would be considered able to work if he was seeking jobs that the law permitted him to perform and that he was physically and mentally capable of performing.

3. EXAMPLE: The individual has been discharged from numerous jobs because of repeated absenteeism due to habitual alcohol and drug use. When he reports to his local office, he reeks of alcohol and slurs his words. This individual will be determined to be unable to perform any type of work. It is his condition, not an employer's unwillingness to hire him, that renders him unable to work.

c) The focus is upon any work for which the individual is qualified, not limited to his or her usual or most recent job.

EXAMPLE: An individual, who is 7 months pregnant, quits her job as an assembler because the job is strenuous and requires her to be constantly on her feet. She applies for desk work as a telephone receptionist, a job for which she is qualified. She would be determined to be able to work.

d) The best evidence that an individual with a disability is able to work in a particular occupation is that he or she has actually performed the work.

EXAMPLE: An individual has cerebral palsy, which impairs his bodily functions and reduces his work output. However, he has training and experience as a computer operator and has shown that he is capable, within his physical limitations, of performing the work. He would be determined to be able to work.

History

• Source: Amended at 44 Ill. Reg. 11787, effective July 1, 2020

Chapter IV Department of Employment Security

Subchapter f Eligibility for Benefits

Part 2865 Claimant's Availability for Work, Ability to Work and Active Search for Work

56 Ill. Adm. Code 2865.110 Available for Work

a) An individual is available for work, even if he or she imposes conditions upon the acceptance of work, unless a condition so narrows opportunities that he or she has no reasonable prospect of securing work. An individual is considered available for work to the full extent permitted by 20 CFR 604, effective February 15, 2007, except when inconsistent with the express holding of published Illinois case law.

EXAMPLE 1: An individual who lives in a remote rural area limits his availability to jobs within walking distance of his home. If few jobs for which he is qualified are located within walking distance of his home, it could be found that he has no reasonable prospect of securing the work and therefore would not be available for work.

EXAMPLE 2: A claimant who had been a clerk at a retail store is responsible for a minor child who is prevented from attending school due to closures resulting from the COVID-19 virus. The individual must stay home to watch his/her child until school reopens. However, the claimant is able to perform work that could be performed from the isolation of his/her home (e.g., transcribing, data entry, virtual assistant services) and makes himself/herself available to perform that work. While the claimant is not currently available for work at a retail location, he/she is available for work due to his/her availability for work that could be performed from home.

b) If domestic circumstances prevent an individual from working during the normal days and hours that exist in his or her occupation (or other work for which he or she is qualified), he or she is unavailable for work.

1. EXAMPLE: An individual, who was employed as a security guard, has children who require full-time care. The individual is able to obtain child care during evenings only, leaving him free to work nights only. Because there is a labor market for night-shift security guards, he would be determined to be available for work.

2. EXAMPLE: An individual and her husband obtain a divorce, and she is awarded custody of their children. She then quits her job as a hospital respiratory therapist because she is required to work rotating shifts and be on emergency call and because she wishes to spend all nights and weekends with her children. She states that she still applies for work as a respiratory therapist, but has had to eliminate from her list most hospitals because they will not guarantee day-shift work, the only time for which she will arrange child care. She would be determined to be unavailable for work.

3. EXAMPLE: When the individual is laid off from her job as a bank teller, she, in turn, lays off her babysitter, who is not needed so long as the individual is at home. She states that, if she is offered a job, she will rehire her babysitter. Despite the fact that she currently has no babysitter, this individual would be determined to be available to work.

c) If the individual demands a wage that is unreasonable and, thereby, prices himself or herself out of the labor market, he or she is unavailable for work. Whether a wage demand is unreasonable is determined by factors including, but not limited to: the individual's prior wages and qualifications, the prevailing wage, labor laws, union agreements, and the length of unemployment; generally, the individual must lower his or her wage demand the longer he or she is unemployed.

1. EXAMPLE: An individual worked for 25 years as a bookkeeper for a small but prosperous business that was eventually bought out. She last earned $600 per week. Upon re-entering the labor market, she discovers that her wage demand – inflated by her many years of service – is much greater than that most employers are willing to pay. In the early weeks of unemployment, she may seek work paying $600 per week, based upon her prior wages and her qualifications. In ensuing weeks, she must lower her wage expectations. As her unemployment approaches 26 weeks (or the time when an "extended benefits" period might begin), she must further lower her wage expectations. If, as time goes by, she adapts her wage expectations to meet market conditions, she would be determined to be available for work.

2. EXAMPLE: The individual is a union electrician. After 20 weeks of unemployment, he still insists upon the wage he was last paid, that is union scale. He explains that the union has agreements affecting a substantial percentage of the jobs in his locality and, were he to accept a job paying below union scale, he would be disciplined by being denied future job opportunities. His insistence upon union scale is not unreasonable. However, if he is seeking work in another locality, where his union is not active, his wage demand with respect to that locality is unreasonable.

3. EXAMPLE: The individual worked as a fast food counter clerk, earning $0.50 above minimum wage. During the first weeks of unemployment, he sought work paying that same wage. For the next few weeks, he sought work paying minimum wage. Even though he has now been unemployed for 25 weeks, he has not reduced his wage expectation any further. This is not unreasonable: to require him to seek work paying less than minimum wage would violate minimum wage laws.

d) If there are no work opportunities that an individual can reach from his or her home, he or she is unavailable for work. If the individual unreasonably restricts the distance or time he or she will travel to work, he is unavailable for work. Reasonableness is determined by factors including, but not limited to: where work opportunities are located, the customs of workers similarly situated (as to location or occupation), the types and costs of transportation, physical capabilities, and the length of unemployment; generally, an individual is expected to extend the area in which he or she will seek work the longer he or she is unemployed. Generally, in metropolitan areas, 1½ hours, each way, is not an unreasonable travel time.

1. EXAMPLE: An individual owns no car, and there is no public transportation near his home. He used to obtain work through a temporary help service that transported him to clients' job sites. He no longer works as a temporary. He states that he will work for any employer, provided it will furnish transportation to the job. He would be determined to be unavailable for work since the majority of employers do not furnish transportation for their employees.

2. EXAMPLE: The individual resides in a suburb 30 miles northwest of downtown Chicago. He was last employed as an attorney, working in a small practice in that suburb, where his travel time to work was 10 minutes. In the first weeks of unemployment, he unsuccessfully sought work in his community and neighboring suburbs. Although he has now been unemployed for 2 months, he still does not seek work in downtown Chicago, to which most attorneys commute, because rush hour travel time would be nearly 1½ hours each way. He would be determined to be unavailable for work, because he has not extended the area in which he will seek work, commuting to downtown Chicago is customary for workers in his occupation, and 1½ hours travel time is not unreasonable.

3. EXAMPLE: Although the individual is developmentally disabled, she is capable of working in certain unskilled occupations. At her last job, she swept floors in a local drug store. Her father testifies that she must work within walking distance of home, because, if she rides public transportation, she becomes confused and lost. In this case, the individual's restriction upon distance to work is reasonable, provided that work opportunities continue to exist within walking distance of her home, in which case she will be determined to be available for work.

e) If an individual's personal habits are inconsistent with the type of work he or she is seeking, he or she is unavailable for work.

EXAMPLE: The individual, a punch press operator, was discharged because she would not cut her waist-length hair or wear a hair net or remove oversized rings she wore on her fingers; her hair and rings are considered safety hazards. She states that she is seeking work as a punch press operator, but that she will not work for any employer who requires her to cut her hair or wear a hair net or remove her rings. She would be determined to be unavailable for work.

f) An individual shall not be held unavailable for work on the basis of refusing to consider particular work that he or she honestly believes would violate sincere religious or moral convictions. However, an individual shall be held unavailable if his or her convictions eliminate virtually all of the labor market.

EXAMPLE: For many years, an individual was a hot dog vendor, working in sports stadiums on Saturdays and Sundays. The individual states that he will no longer work in the food service industry, nor will he work on Sunday. He explains that he has recently married and that his wife has introduced him to religion. Among the tenets of his religion are strict dietary laws, forbidding even handling of many commonplace foods; also, Sunday is prescribed as a day of rest. If it is determined that his religious convictions are sincere, he would not be held unavailable for work solely on the basis of refusing to consider food service or Sunday work, even though these may have been suitable previously. Still, he must demonstrate that he is available for other types of work at other times.

g) If the individual is self-employed, availability depends upon the nature and extent of that self-employment; whether the individual's investment of time or capital prevents him or her from accepting other work in the labor market.

EXAMPLE: The individual worked as a secretary in a real estate agency. When she was laid off, she grew depressed, until she watched a cable television show. The host explained how to buy property without making down payments and how to enhance cash-flow. It sounded so easy that she immediately rearranged the den in her house to serve as an office. In the morning, she would read newspapers and make telephone calls. She went to foreclosure sales and auctions. Most afternoons and evenings, she would inspect properties. She also applied for jobs in her usual occupation, secretary. This individual would be determined available for work, if the trier of fact finds that she had not yet made a substantial commitment to her own business. If, however, she had purchased properties, and was involved in the management of those properties to the extent that it would conflict with normal working hours, she would be determined to be unavailable for work.

h) Whether a seasonal worker is available for work during the off-season is determined by whether there is some prospect of obtaining work in his or her customary occupation. If there is no prospect of obtaining that work, the individual must seek other work for which he or she is qualified.

EXAMPLE: The individual is a golf course maintenance man. The courses at which he works are open from April through October. He has never been employed during the off-season. On his work search record, for weeks in January, he indicates that he is seeking work in the field of lawn care and maintenance, for which there are no prospects of work. He would be determined unavailable for work.

i) Whenever an individual appears to be imposing a condition upon his or her acceptance of work, it is essential to establish whether he or she is merely expressing a preference as opposed to actually imposing a condition.

EXAMPLE: The individual last earned $7.50 per hour, the prevailing wage in her occupation. During her interview with the claims adjudicator, she states that she will accept $9.00 per hour for similar work. During the interview, the adjudicator reviews her work search record and asks what the wages were for her contacts during the period under review. The work search contacts were for work paying closer to $7.50 than $9.00. This might indicate that $9.00 was a preference, not a condition. Therefore, she would be determined to be available for work.

j) The best evidence that an individual is "available for work" is that he or she readily secures work, despite the imposition of a condition.

EXAMPLE: The individual is laid off from her job in an occupation that ordinarily provides daytime work only. She files a claim for benefits, and, on an initial questionnaire, she writes that she will work nights only, because her child care arrangements have changed. That week, she makes employer contacts for night-shift work. As a result of that work search, she readily secures work beginning the next week. She would be determined to be available for work for the prior week.

History

• Source: Amended at 44 Ill. Reg. 11787, effective July 1, 2020

56 Ill. Adm. Code 2865.115 Actively Seeking Work

a) An individual is actively seeking work when he or she makes an effort that is reasonably calculated to return him or her to the labor force. Reasonableness is determined by factors including, but not limited to: the individual's physical and mental abilities, his or her training and experience, the employment opportunities in the area, the length of unemployment, and the nature and number of work search efforts in light of the customary means of obtaining work in the occupation.

b) An individual is not actively seeking work if he or she seeks work that is unrealistic in light of his or her physical or mental limitations.

EXAMPLE: The individual, seven months pregnant, quit her job as an assembler because it was strenuous and required her to be constantly on her feet. She applies for work at a factory, as an assembler, under conditions essentially the same as those of her last job. She would be determined to be not actively seeking work.

c) The individual is not actively seeking work if he or she seeks work that is unrealistic in light of his or her training or experience.

EXAMPLE: The individual has always wanted to be a real estate agent; this requires a license he does not possess. To the extent that he only seeks work as a real estate agent, he would be determined to be not actively seeking work.

d) Whether an individual is actively seeking work is determined in part by comparing his or her occupation with labor market conditions in the locality. In some cases, an application for work can have a continuing effect.

EXAMPLE: The individual is a waitress, just laid off by one of three restaurants in her community. During her first two weeks of unemployment, she applies for work at the other two restaurants and awaits the results of her efforts. She would be determined to be actively seeking work for that period.

e) As the period of unemployment lengthens, the individual should intensify his or her efforts to find work in his or her usual occupation, or, he or she should pursue work in another occupation for which he or she is qualified.

1. EXAMPLE: After being laid off from his job as a parking lot attendant, the individual sought similar work at other parking lots within his community, without success. As time passes, he must seek work outside his community (within reasonable commuting distance).

2. EXAMPLE: Same facts as in example above but, prior to working as a parking lot attendant, the individual worked as a short-order cook. In addition to, or instead of, seeking work as a parking lot attendant, he should seek work as a short-order cook, or other work for which he is qualified; otherwise, he would be determined to be not actively seeking work.

f) Whether or not the individual is actively seeking work is determined by the quality of his or her efforts; although the quantity of job contacts should be considered, it is not necessarily determinative of an active search for work. The methods that the individual uses to contact employers should be examined in light of those customarily used to obtain work in the occupation.

1. EXAMPLE: The individual seeks work as a retail sales clerk. On a Monday morning, she visits a shopping mall, where she applies for work at seven stores and is rejected by each. For the rest of the week, she makes no effort to find work. This individual would be determined to be not actively seeking work, despite having made seven job contacts in one day.

2. EXAMPLE: The individual, a cash-flow specialist, last worked for a major corporation, and was directly accountable to the highest corporate officers. After being unemployed for one month, she contacts a friend who works for a company located in Woonsocket, Rhode Island. On Monday, the claimant travels to Woonsocket. On Tuesday, she begins the interviewing process, meeting the manager of human resources. On Wednesday morning, she is interviewed by a budget analyst. That evening, there is a dinner-interview with two vice presidents, who tell her they will speak with the president, then get back to her the next day or the day after. The claimant stays in Woonsocket until Friday, at which time she is told she will not be offered a job. The claimant would be determined to have been actively seeking work, despite this being her only job contact.

3. EXAMPLE: The individual states that he is currently seeking work as a day laborer or in food service. He contacts prospective employers by telephone, exclusively. Because, as a practical matter, many day laborer and food service positions are filled by persons making applications in-person, this individual would be determined to be not actively seeking work.

g) The best evidence that an individual is "actively seeking work" is that he or she readily secures work, based upon his or her efforts.

EXAMPLE: The individual last worked as assistant manager of a shoe store. During his first week of unemployment, he prepares a resume and mails 100 copies to retail establishments. The next week, he mails another 100 resumes. As a result of his mailings, and no other efforts, he readily obtains work. This individual would be determined to have been actively seeking work during the weeks under review.

h) There is a rebuttable presumption that an individual is not actively seeking work if he or she was last employed by a "temporary help firm", as defined in Section 2865.1, and the temporary help firm submits a notice of possible ineligibility (see Section 2720.130) alleging that, during the week for which he or she claimed benefits, the individual did not contact the temporary help firm for an assignment. The presumption is rebutted if the individual shows that he or she did contact the temporary help firm or that he or she had good cause for his or her failure to contact the temporary help firm for an assignment.

1. EXAMPLE: An individual completes an assignment on Friday and does not contact the temporary help firm during the next week, for which he claims benefits. The individual states that he did not contact the temporary help firm because he did not remember the firm's telephone number, even though the number was listed in the telephone book. This is not good cause. On the basis of his failure to contact the temporary help firm, he is not actively seeking work.

2. EXAMPLE: An individual completes an assignment on Monday, reports to his Local Office on Tuesday, and does not contact the temporary help firm the remainder of the week. The individual did not contact the temporary help firm because he had already accepted an assignment from the temporary help firm for the following Monday and had been told by the temporary help firm that there were no other assignments until then. This is good cause and he is not ineligible on the basis of not contacting the temporary help firm.

3. EXAMPLE: An individual completes an assignment on Friday and does not contact the temporary help firm during the next week, for which he claims benefits. The individual did not contact the temporary help firm because his wife was hospitalized and he was solely responsible for caring for his infant daughter at home. Although this is good cause, the claimant is ineligible because he is unavailable for work (see Section 2865.110(b)).

History

• Source: Amended at 43 Ill. Reg. 6522, effective May 14, 2019

56 Ill. Adm. Code 2865.120 Suitability of Work – Labor Standards

a) An individual must be able to, available for, and actively seeking "suitable" work.

b) Whether work is suitable for the individual is determined by factors including, but not limited to, those set forth in Section 603 of the Act (including its references to labor standards under Section 3304(a)(5) of the Federal Unemployment Tax Act).

History

• Source: Added at 14 Ill. Reg. 18466, effective November 5, 1990

56 Ill. Adm. Code 2865.125 Availability for Part-Time Work Only

The requirement that a claimant shall be able and available for full-time work shall not be applied to a claimant who can prove by a preponderance of the evidence that, for him or her, only part-time work, defined in Section 2720.1, is suitable because:

a) He or she restricts his or her availability to part-time work due to:

1. Circumstances which are beyond his or her own control, such as, the advice of his or her physician that full-time work would adversely affect his or her health; or

2. The kind of work suitable to his or her skill, training or experience is available only on a part-time basis, and he or she is not reasonably qualified for available full-time work; and

b) He or she is seeking work in an area where a labor market for the part-time work applicable to him or her and suitable to his or her skill, training or experience normally exists; and

c) He or she has a reasonable possibility of securing that part-time work suitable to his or her skill, training or experience.

EXAMPLE: The claimant is the single parent of a school age child. While otherwise suitable, full-time work exists for a person with his skill, training or experience, the claimant believes that it is in the best interest of his child that he be with the child when the child is not in school. This claimant would not be eligible for benefits, for he unduly restricts his availability to part-time work based on a personal preference. The alternative of child care arrangements would allow this claimant to work full-time.

History

• Source: Amended at 43 Ill. Reg. 6522, effective May 14, 2019

56 Ill. Adm. Code 2865.130 Director's Approval of Training

An individual shall not be deemed unavailable for work or to have failed actively to seek work with respect to any week, because he or she is enrolled in and is in regular attendance at a training course approved for him or her by the Director (see Section 500C5 of the Act).

a) The following criteria must be satisfied in order for a training course to be approved for an individual by the Director:

1. The training course shall relate to an occupation or skill for which there are, or are expected to be in the immediate future, reasonable work opportunities in the locality. This means that:

A) The training course must be vocational or provide the individual with skills essential for the performance of work in a specific occupation;

EXAMPLE: The Director shall not approve classes designed solely to provide an individual with a high school equivalency diploma since this would not enhance opportunities in a specific occupation. However, the Director shall approve courses of study that include some purely academic courses if that course work is secondary to the vocational aspects.

B) The course must be designed to facilitate the individual's reemployment in a reasonably expeditious manner; however, the Director shall not approve courses of study of more than one year in duration;

C) The course must focus on providing the individual with the competency necessary for securing entry level employment in the selected occupation; and

EXAMPLE: The Director shall not approve training for the purpose of allowing an individual to improve his marketability (i.e., a bookkeeper who wishes to become an accountant). If there exists a reasonable job market for bookkeepers in the individual's locality, the Director will not approve training that enhances the claimant's already marketable skills.

D) The course must consist of at least 12 hours per week of instruction from a competent and reliable training agent. This minimum of 12 hours of instruction must include contact between the student and the instructor. The contact could result from classroom training, laboratory instruction or tutoring.

2. The training course must be offered by a competent and reliable agency, educational institution or employing unit.

3. Work opportunities for which the individual is qualified by training and experience are limited or do not exist in the individual's locality.

EXAMPLE: If the individual is a trained and certified nurse's aide, the Director shall not approve training to become a registered nurse if reasonable openings exist in the individual's locality for nurse's aides, even if the individual is dissatisfied with her present occupation.

4. The individual has the qualifications and aptitude to complete the course successfully.

5. The enrollee is not a recipient nor eligible for subsistence payments or similar assistance under any public or private retraining program.

b) Notwithstanding subsection (a), a training course is approved for an individual by the Director for the purposes of Section 500C of the Act if:

1. both the training course and the individual's participation in the training course are approved under Title I of the federal Workforce Innovation and Opportunity Act (29 USC 3101 et seq.) by a One Stop Delivery System (see 20 CFR 662.100);

2. the course is part of a program authorized pursuant to the Workforce Innovation and Opportunity Act or other federal legislation establishing an employment and training program;

3. the criteria on the basis of which a One Stop Delivery System approves the course under Title I of the Workforce Innovation and Opportunity Act include criteria consistent with Section 500C5(a)(2) and (3) of the Act;

4. the criteria on the basis of which a One Stop Delivery System approves an individual's participation under Title I of the Workforce Investment Act in the course include criteria consistent with Section 500C5(a)(1) and (2) of the Act; and

5. the course is not disapproved by reason of Section 500C5(a)(5) of the Act.

History

• Source: Amended at 43 Ill. Reg. 6522, effective May 14, 2019

56 Ill. Adm. Code 2865.135 Availability for Work and Active Search for Work: Attendance at Training Courses

a) An individual enrolled and in regular attendance at a training course approved by the Director shall not be required to make an active job search or to be available for work. This exemption applies to individuals applying for both regular and extended benefits.

b) In addition, an individual shall not be deemed to have been unavailable for work or to have failed actively to seek work for regular or extended benefits purposes with respect to any week because he is in training approved under Section 236(a)(1) of the Federal Training Act of 1974 (19 U.S.C. 2296(a)(1)), as provided at Section 500c(6) of the Act.)

History

• Source: Added at 14 Ill. Reg. 18466, effective November 5, 1990

56 Ill. Adm. Code 2865.140 Regular Attendance in Approved Training

For the purposes of Section 2865.135, "in regular attendance" means that the individual has attended every scheduled session of the training course approved for him or her by the Director, and presents an attendance report from a responsible person connected with the training course. If the individual misses any scheduled class session on a particular day, the individual shall be deemed to have failed to meet the requirements of Section 500C of the Act with respect to that day.

EXAMPLE: An individual in Director approved training is scheduled to attend 2 training sessions daily from Monday through Friday until the course is completed. The individual misses one session on Wednesday because of illness. This individual shall be deemed to have failed to meet the requirements of being "in regular attendance" on Wednesday, and the individual's weekly benefit amount shall be reduced by one-fifth for that week.

History

• Source: Amended at 43 Ill. Reg. 6522, effective May 14, 2019

56 Ill. Adm. Code 2865.145 Ineligibility to Receive Benefits for Failure to Participate in Reemployment Services

a) Unless no longer obligated to participate under Section 2865.150(e), an individual who is referred by the Department under Section 2865.150 to reemployment services and is determined by the Claims Adjudicator to have failed without justifiable cause, as defined in subsection (c), to participate in those services shall be ineligible for benefits for the week in which he or she fails to participate in the scheduled services.

EXAMPLE: In the fourth week of his benefit year, an individual is issued his first payment of regular benefits. Notice of referral to reemployment services is sent to him during the fifth week of the benefit year, indicating he is scheduled for an orientation meeting to take place in the sixth week of the benefit year. He fails, without justifiable cause, to report to the orientation meeting. The individual will be ineligible for benefits for the sixth week of his benefit year.

b) Subsection (a) shall not apply if the individual has completed substantially similar reemployment services or he or she is participating in substantially similar services.

c) There is justifiable cause for an individual's failure to participate in reemployment services if the individual is acting as a reasonable person would act under the circumstances, taking into account the fact that the individual has been identified as likely to exhaust regular benefits and need job search assistance.

1. EXAMPLE: An individual who has been referred to reemployment services under Section 2865.150 fails to report for his scheduled orientation meeting with the reemployment service provider because the individual has a job interview scheduled for the same time. The individual has justifiable cause for failing to report for the meeting. A reasonable person in this situation could be expected to prefer the immediate job opportunity over reemployment services.

2. EXAMPLE: An individual who has been referred to reemployment services under Section 2865.150 fails to report for his scheduled reemployment service orientation meeting because he forgot about the meeting. When he becomes aware he has forgotten the meeting, he requests that the meeting be rescheduled. He fails to report for the rescheduled meeting because he again forgot about the meeting. The repeated failure to include the meeting in his schedule does not reflect the behavior of a reasonable person under the circumstances. On the basis of these facts alone, there would not be justifiable cause for the individual's failure to participate in the rescheduled meeting.

3. EXAMPLE: An individual who has been referred to reemployment services under Section 2865.150 fails to report for his scheduled reemployment service orientation meeting. However, during the week for which the meeting was scheduled, the individual is enrolled in and in regular attendance at a training course approved for him by the Director under Section 500C of the Act. A reasonable person in this situation could be expected to prefer the training program over reemployment services.

4. EXAMPLE: An individual who has been referred to reemployment services under Section 2865.150 fails to report to his scheduled reemployment service orientation meeting because he is attending GED classes at the same time. The individual has justifiable cause for failing to report for the meeting. A reasonable person in this situation could be expected to attend the GED classes.

d) The individual's obligation to participate in reemployment services to which he or she is referred under Section 2865.150 is in addition to the individual's other obligations under the Act.

e) Issues arising under this Section concerning an individual's eligibility for regular benefits shall be adjudicated and notice of those issues shall be provided in the same manner and subject to the same procedures as all the other issues concerning eligibility for regular benefits, except issues arising under Section 604 of the Act.

History

• Source: Amended at 43 Ill. Reg. 6522, effective May 14, 2019

56 Ill. Adm. Code 2865.150 Profiling/Referral to Reemployment Services

a) To determine the likelihood that the individual will exhaust regular benefits and will need job search assistance, the Department will profile each individual who files an initial claim for regular benefits. Each claimant profile will be based on information contained in the claimant's initial combined application for regular benefits and Employment Service registration.

1. Except as otherwise provided in subsection (a)(2), as part of the profiling process, the Department will assign each individual an exhaustion probability score that measures the likelihood that the individual will exhaust regular benefits and need job search assistance. The score will be calculated according to a statistical model developed by the Department based on criteria approved by the US Department of Labor, including industry or occupation.

2. No exhaustion probability score will be assigned an individual if he or she:

A) has not been issued his or her first payment of regular benefits by the fourth week following the week in which he or she files his or her initial claim for regular benefits;

B) satisfies the union hiring hall procedures set forth in Section 2865.50;

C) has a definite date of recall to work;

D) is unemployed as the result of a labor dispute; or

E) has left work voluntarily.

b) Each claimant who is assigned an exhaustion probability score shall be entered by the Department into a selection pool for the substate area in which the individual resides or a subdivision of that area where the substate grantee for the area has established subdivisions. The substate grantee will each week select individuals in the selection pool for referral to available reemployment services in descending order of their exhaustion probability scores. When two or more individuals in a selection pool have the same score and reemployment services are not available for all of them, the substate grantee will select for referral a number of them equal to the number of individuals for whom reemployment services are available, selecting the individuals whose initial applications for regular benefits have the earlier filing dates. When two or more individuals in a selection pool have the same score and filed their initial applications for regular benefits on the same date and reemployment services are not available for all of them, the substate grantee will randomly select for referral a number of them equal to the number of individuals for whom reemployment services are available. Whenever the availability of certain reemployment services is lawfully limited to individuals meeting specific characteristics, such as when the services are offered as part of an effort to assist in the location or expansion of an employer within the State, selections for referral to the services will be made as though individuals in the selection pool who do not meet those characteristics were not in the selection pool.

c) The reemployment services to which an individual is referred under this Section will in all instances include an orientation meeting with an entity providing reemployment services within the substate area in which the individual resides. Following the orientation meeting, reemployment services may also include: assessments; counseling; job placement services and referrals to employers; job search work shops or job clubs; and referral to more intensive services, such as training. When an individual is initially referred by the Department to a reemployment service orientation meeting and then scheduled for reemployment services by an entity providing those services on behalf of the substate grantee that initially selected the individual for referral, the individual is considered as having been referred to the reemployment services by the Department, except when the entity indicates participation in the reemployment services is optional.

d) The Department will send each individual selected for referral to reemployment services a referral notice that will include a statement regarding the obligation to participate in reemployment services and the potential consequences of failing to participate in the services, as well as all information necessary for the individual to report to the orientation meeting.

e) The Department will remove from the selection pool any individual who, within four weeks after the week in which he or she is issued his or her first payment of regular benefits, is not sent a notice of referral to reemployment services. After being removed from the selection pool, an individual may still be referred to reemployment services, but he or she shall no longer be obligated to participate in reemployment services.

f) For the purposes of this Section, "substate area" refers to an area established by the Governor under section 312 of the Job Training Partnership Act. "Substate grantee" refers to the entity designated as the substate grantee for a substate area under that section.

History

• Source: Amended at 43 Ill. Reg. 6522, effective May 14, 2019

56 Ill. Adm. Code 2865.205 Applicability of Rules for Eligibility for Regular Benefits

Except when inconsistent with Section 409 of the Act or with this Subpart, all of the provisions of the Act and in this Subchapter f shall be applicable to eligibility for extended benefits.

a) EXAMPLE: A claim for extended benefits shall be filed in the same manner and in the same location as one would file for regular benefits.

b) EXAMPLE: If an individual, who meets all of the other requirements for receipt of extended benefits, is discharged from a job, he would be subject to the ineligibility provisions of Section 602 of the Act if it is determined that the discharge was for misconduct connected with his work.

c) EXAMPLE: An individual demands a wage that is unreasonable. He is unavailable for work under Section 2865.110(c) and would, therefore, be subject to the ineligibility provisions of Section 500C of the Act since neither is inconsistent with Section 409 of the Act. Therefore, this individual would be ineligible for extended benefits even if he meets the other requirements for receipt of extended benefits.

History

• Source: Amended at 43 Ill. Reg. 6522, effective May 14, 2019

56 Ill. Adm. Code 2865.210 Systematic and Sustained Search for Work

a) An individual shall be deemed to have made a systematic and sustained search for work if he or she can present the tangible evidence, described in subsection (b), to the local unemployment office that he or she was engaged in such an effort to find work during a week of unemployment.

b) The tangible evidence required by subsection (a) shall consist of, but not be limited to, all of the following:

1. A showing that the individual persistently reviewed the newspaper advertisements for work and made an effort to contact the employers placing the advertisements, on each working day during every week for which he or she is applying for extended benefits;

2. A showing that the individual actually made significant (at least five per week) personal contacts with prospective employers and applied for work on at least three working days during each week for which he or she is applying for extended benefits;

3. A showing that he or she had been frequently contacting his or her union hall for information regarding work prospects, if applicable; and

4. Registration with the State Employment Service.

c) If the failure to make a showing of sustained and systematic job search on a particular day or days by the means indicated in subsection (b) is due to attending interviews, taking tests and/or physical examinations or commuting from one place to another to search for work or engaging in any other similar undertaking, he or she shall not be determined to have failed to meet the requirements of subsection (a) for that particular day or days.

d) This Section shall not apply to weeks beginning on or after March 7, 1993 and before January 1, 1995.

e) This Section shall not apply to weeks beginning on or after May 17, 2020, with respect to individuals whose unemployment is directly impacted by COVID-19. The provisions of this subsection (e) are applicable to the extent permitted by section 4102(b) of the Families First Coronavirus Response Act (P.L. 116-127, Division D, Emergency Unemployment Insurance Stabilization and Access Act of 2020 (EUISAA)).

History

• Source: Amended at 44 Ill. Reg. 17662, effective October 23, 2020

56 Ill. Adm. Code 2865.215 When an Individual's Prospects for Finding Work Shall Be Deemed to Be Good

a) An individual filing for extended benefits who has a definite date to return to work for a former employer or who has a bona fide offer of work to begin within four weeks shall be classified as having good prospects for returning to work in his or her customary occupation. This means that, should this individual refuse an offer of work, that refusal shall be adjudicated pursuant to Section 603 of the Act and Section 409K3(c)(iii) shall not apply to this individual.

b) Whether an individual's prospects of finding work in his or her customary occupation are good shall be determined at the time that he or she files his or her initial claim for extended benefits. However, the classification shall be included in any determination of refusal of work under Section 409K3(c) of the Act, and at the time, shall be subject to review.

EXAMPLE: An individual files a claim for extended benefits and reports that he will return to his former employer on March 31. He does not return to work for his former employer on March 31 and then refuses an offer of work on April 14. This refusal of work shall be adjudicated in accordance with the provisions of Section 409K3(c) because the individual's prospects of returning to his customary occupation were not good because he did not return to work for his former employer as scheduled.

c) If the claimant does not start work on the designated date, then his or her prospects of finding work in his or her customary occupation shall no longer be considered good.

d) The individual must provide the name, address and starting date of employment for any employer whom the individual claims as a basis for having his or her prospects of finding work in his or her customary occupation found to be good.

e) An individual can also show that his or her prospects of finding work in his or her customary occupation are good by showing that he or she was recently employed in his or her customary occupation, that he or she recently completed training in that occupation or that new opportunities for employment in his or her customary occupation recently became available.

f) This Section shall not apply to weeks beginning on or after March 7, 1993 and before January 1, 1995.

g) This Section shall not apply to weeks beginning on or after May 17, 2020, with respect to individuals whose unemployment is directly impacted by COVID-19. The provisions of this subsection (g) are applicable to the extent permitted by section 4102(b) of the Families First Coronavirus Response Act (P.L. 116-127, Division D, Emergency Unemployment Insurance Stabilization and Access Act of 2020 (EUISAA)).

History

• Source: Amended at 44 Ill. Reg. 17662, effective October 23, 2020

Part 2870 Special Programs

56 Ill. Adm. Code 2870.1 Definitions

All other terms used in this Part shall have the meanings ascribed in Sections 200 through 247 and Section 502 of the Unemployment Insurance Act [820 ILCS 405], unless the context requires otherwise.

"Act" means the Unemployment Insurance Act [820 ILCS 405].

"Benefit Payment Amount" means the actual unemployment insurance benefits, including any dependent allowance provided in Section 401 of the Act, paid to an employee in the affected unit.

"Claimant" means a person who applies for benefits under the Act.

"Department" means the Illinois Department of Employment Security.

"DA = Dependent Allowance" means the amount of any dependent child or dependent spouse allowance which an individual may be eligible to receive under Section 401 of the Act.

"Director" means the Director of the Illinois Department of Employment Security.

"Employing unit" has the same meaning ascribed in Section 204 of the Act.

"Full-time work" is the number of hours a class of workers would customarily work if the employing unit had all of the work it could handle without working overtime. Except when the contrary is provided by a collective bargaining agreement or company policy, full-time work is customarily 40 hours per week. For example, 37.5 hours per week is the normal, full-time work for Illinois State employees under gubernatorial authority by State personnel policy.

"NH = Normal Hours" means the normal hours employees in the affected unit work each week. The maximum value allowed is 40 hours per week.

"OH = Other Hours" means the total number of hours the employee in the affected unit worked for an employing unit or units other than hours worked under the short-time compensation (STC) plan.

"PH = Plan Hours" means the reduced hours that employees in the affected unit will work each week during the duration of the STC plan.

"STC Deduction" means the percentage value calculated using the claimant's WBA (defined below) and the WBAPA (defined below).

"TH = Total Hours" means the total sum of plan hours (PH) and other hours (OH).

"WBA = Weekly Benefit Amount" means an employee in the affected unit's weekly Unemployment Insurance Benefit Amount as specified on their Finding as provided in Section 701 of the Act.

"WBAPA = Weekly Benefit Amount Percentage Allowed" means the percentage of the WBA that will be paid to a claimant under the STC plan. This value cannot be less than 20% nor more than 60%.

"WorkShare IL" is the name of the STC program in Illinois under Section 502 of the Act. Notwithstanding this designation, hereafter in this Part, the STC program established by Section 502 of the Act is referred to as "Short-Time Compensation" or "STC".

56 Ill. Adm. Code 2870.5 Application for Approval of Short-Time Compensation Plan

a) In order to participate in the STC program, an employer must submit an STC plan application to the Department, and the Director must approve the plan. Employers are strongly encouraged to submit the application electronically via the Department's STC e-service portal located at WorkShare.ides.illinois.gov. Filing an application can also be accomplished by calling 217-558-8150. Assistance in filing an application is also available at that number. The application will require the employer to provide information and make the certifications set forth in Section 502(C) of the Act.

b) A third-party administrator with a proper and fully executed IDES Power of Attorney on file with the Department may file an STC plan application and conduct all STC certifications and other STC business on behalf of an employer.

c) An STC plan application will not be accepted by the Department if an employer fails to affirm the certifications as required by Section 502 of Act and contained in the application.

d) An electronic submission of the STC plan application must be signed using an electronic signature in lieu of a written signature by clicking the "I Agree" check box beneath the certification statements prior to submission of the STC application. Electronic submission of the STC plan application has the same legal effect as a signature on a paper document.

e) When the employer's STC plan application containing the required information and employer certifications is complete, signed, and submitted, the Director must either approve or disapprove the employer's STC plan application. Approval of the STC plan application establishes the terms of the employer's STC plan.

56 Ill. Adm. Code 2870.10 Withdrawal of Application for Approval of Short-Time Compensation Plan

a) At any point prior to the Director issuing a letter either approving or disapproving an STC plan, the employer may withdraw its application. The notice of withdrawal of the STC application must be sent to the Department via email to DES.WorkShare@illinois.gov.

b) Once an employer has withdrawn its STC application, it may file a new application for approval of an STC plan by complying with the provisions of Section 2870.5.

56 Ill. Adm. Code 2870.15 Approval or Disapproval of a Short-Time Compensation Plan

a) The Director will have 45 days from the date of receipt of the STC plan application to approve or disapprove the employer's STC plan application. The Director's decision will be in writing and promptly communicated to the employer by sending the decision approving or disapproving the plan to the employer at its address or email account of record with the Department for purposes of STC. The Director's failure to issue a written decision within 45 days after the date of receipt of the STC plan application shall constitute a decision disapproving the plan.

b) If an employer's STC plan application provides all the required information and certifications and otherwise meets the requirements of Section 502 of the Act, the Director must approve the application.

c) If an employer's STC plan application fails to provide all the required information and certifications, the Director, through an authorized Department employee, will contact the employer to explain how the STC plan application is deficient and to allow the employer the opportunity to correct the deficiency or withdraw the STC plan application.

d) A decision disapproving the STC plan application will clearly identify the reason or reasons for the disapproval of the plan application. A decision disapproving an STC plan application is final.

e) An employer whose STC plan application for a particular affected unit has been disapproved must wait 30 days from the date of the decision of disapproval before submitting another STC plan application for that affected unit.

f) An STC plan shall not be approved if the employer is delinquent in the filing of any reports required under the Act or in the payment of contributions, payments in lieu of contributions, interest, or penalties due under this Act as of the date of the employer's STC plan application. An employer that has appealed its delinquency is still considered to be delinquent for the purposes of this Part.

56 Ill. Adm. Code 2870.20 Effective Dates of a Short-Time Compensation Plan

a) All STC plans must begin on a Sunday and must end on a Saturday.

b) The decision approving the STC plan shall specify the plan's start date and expiration date.

c) The expiration date of the STC plan can be no later than the last Saturday of the 12th full calendar month after the month in which the start date of the plan occurs.

EXAMPLE: Company B's STC plan is approved with a start date of Sunday, June 6, 2021. For purposes of Company B's STC plan, June 2021 is not a full calendar month, therefore, June 2022 is the 12th full calendar month that follows the month in which the start date of the plan occurs. Company B's STC plan can expire no later than Saturday, June 25, 2022, which is the last Saturday in the 12th full calendar month after the month in which the start date of the plan occurs.

d) If an STC plan is revoked, the STC plan shall terminate on the date specified in the Director's written order of revocation.

e) An employer may terminate a STC plan at any time upon written notice to the Director, with the plan ending on the Saturday of the week that the employer designates the plan is to terminate. The Director shall promptly notify each member of the affected unit of the termination date of the plan.

f) At any time after an STC plan for a particular affected unit has expired or terminated prior to its initially established expiration date, an employer may submit an application under the provisions of Section 2870.5 to participate in another STC plan for that affected unit.

56 Ill. Adm. Code 2870.25 Revocation of a Short-Time Compensation Plan

a) At any time during the duration of an approved plan, the Director may revoke approval of the plan for good cause.

b) Good cause to revoke approval of an STC plan includes the following:

1. Failure of the employer to comply with the assurances given in the plan;

EXAMPLE 1: In its application for approval of its STC plan, Company C provides assurances that it will continue to provide health and retirement benefits to its employees in the affected unit under the same terms and conditions it would have if the employees' usual hours of work had not been reduced. Despite these assurances, Company C reduces health benefits to its employees in the affected unit in proportion to its reduction of their hours of work and Company C reduces the retirement benefits that it was providing to the employees in the affected unit. Both the reduction in the health benefits and the reduction of the retirement benefits constitute a failure of the employer to comply with assurances given in the STC plan. Either of these failures to comply with an assurance given in the plan constitutes good cause for the Director to revoke approval of the plan.

EXAMPLE 2: In its application for approval of its STC plan for its sales unit, Company D provides assurances that while the STC plan is in operation, it will not hire additional full-time or part-time employees for the affected unit, and that while the STC plan is in operation, it will not transfer employees to the affected unit. Despite these assurances, while the STC plan is in operation Company D hires one full-time employee and two part-time employees for its sales unit and transfers an employee to its sales unit who was working in its telemarketing department at the time of the transfer. Both the hiring of the new employees and the transfer into the unit of another employee constitute a failure of the employer to comply with an assurance given in the STC plan. Any of these failures to comply with an assurance given in the plan constitutes good cause for the Director to revoke approval of the plan.

2. Termination of the approval of the STC plan by the collective bargaining representative of employees in the affected unit as set forth in Section 502(F) of the Act;

3. Unreasonable revision of productivity standards for the affected unit as set forth in Section 502(F) of the Act. An unreasonable revision of productivity standards for the affected unit is a revision that is not proportional to the percentage of work hours reduced under the approved STC plan.

EXAMPLE: Company E has an approved STC plan in place for its assembly unit. The plan calls for a 20% reduction in hours for the workers in the affected unit. At some point after the plan has been approved, Company E announces to the workers in its assembly unit that even though their hours of work had been reduced by 20%, the employer is setting production standards at a 10% reduction from the standards that were in place before the approval of the STC plan. In this case, with a revision of productivity standards that is not in proportion with the reduction of hours, the revision of the employer's productivity standards for the affected unit is unreasonable and shall constitute good cause for the Director to revoke approval of the STC plan.

4. Conduct or occurrences tending to defeat the intent and effective operation of the short-time compensation plan as set forth in Section 502(F) of the Act. The intent and effective operation of the short-time compensation plan are to reduce unemployment, avoid layoffs, and provide employees unemployment benefits at a reduced rate.

EXAMPLE: Company F has in operation an approved STC plan for its affected warehouse unit. The plan calls for a 25% reduction in hours for the workers in the affected unit. The plan also calls for a temporary one-week shutdown between the Christmas and New Year holidays. After the workers in the affected unit return to work following the one-week shutdown, Company F lays off the two workers in the unit with the least seniority. The layoff of workers in the affected unit outside the temporary shutdown provided for in the plan defeats the intent and effective operation of the STC plan by failing to avoid layoffs, and constitutes good cause for the Director to revoke approval of the STC plan.

5. Violation of any criteria on which approval of the plan was based as set forth in Section 502 of the Act and certified to by the employer in the plan application (Sec. 502(F) of the Act);

EXAMPLE: Company G has in operation an approved STC plan for its affected transportation unit. The plan calls for a 25% reduction in hours for the workers in the affected unit. However, Company G reduces the workers' hours by 27%. The reduction of the workers' hours by a percentage other than that stated in the plan is a violation of a criterion on which approval of the plan was based and constitutes good cause for the Director to revoke approval of the STC plan.

6. The employer's failure to make timely filings of its wage reports while the plan is in operation;

7. The employer's failure to make timely and full payment of contributions or payments in lieu of contributions while the plan is in operation;

8. The employer's failure to provide the Department with required reports; or

9. The employer's failure to allow the Director or an authorized Department employee to monitor and evaluate the plan.

c) If the Director finds that good cause to revoke an STC plan exists, the Director, through an authorized Department employee, will contact the employer of the affected unit, and send it written notice informing it of the finding or findings of good cause to revoke the plan. The employer has seven calendar days from the issuance of such notice to contact the Department, in writing, in order to address and/or correct, the finding or findings of good cause to revoke the plan.

d) Upon receipt and consideration of the employer's timely written correspondence set forth in subsection (c), if any, the Director may issue a decision revoking the plan. The decision of the Director to revoke an STC plan shall:

1. be in writing;

2. specify the reason or reasons for the revocation and the date the revocation is effective;

3. be served upon the employer and all employees in the affected unit by sending the decision revoking the plan to the addresses or email accounts of record with the Department for purposes of STC; and

4. be final.

56 Ill. Adm. Code 2870.30 Modification of a Short-Time Compensation Plan

a) When an employer seeks to modify an approved STC plan, the employer must promptly submit the request to modify the plan by sending an email to the Department at DES.WorkShare@illinois.gov. The request for modification must identify the provisions of the plan to be modified and explain why the modifications are necessary and consistent with the purposes for which the plan was approved and the certifications that the employer made in its application. The Director or authorized Department employee may request further information from the employer before a request to modify a plan is approved.

EXAMPLE 1: Company H has in operation an approved STC plan for its affected design unit. The plan calls for a 50% reduction in hours for the workers in the affected unit. While the STC plan is in operation, economic conditions for Company H improve. Company H seeks to modify its plan to provide for a 20% reduction in hours for the workers in the affected unit. This proposed change in the percentage of reduction of hours worked falls within the parameters of permitted work reduction set forth in Section 502 of the Act. Such a proposed modification to the plan requires the employer to make a request to the Director for approval of the modification of the STC plan.

EXAMPLE 2: Company J has in operation an approved STC plan for its affected packing unit. The plan calls for a 20% reduction in hours for the workers in the affected unit. While the STC plan is in operation, economic conditions for Company J get worse. Company J seeks to modify its plan to provide for a 50% reduction in hours for the workers in the affected unit. This proposed change in the percentage of reduction of hours worked falls within the parameters of permitted work reduction set forth in Section 502 of the Act. Such a proposed modification to the plan requires the employer to make a request to the Director for approval of the modification of the STC plan.

EXAMPLE 3: Company N has in operation an approved STC plan for its affected parts unit. The plan provides for a 25% reduction in hours worked for the employees in the affected unit. Due to a snowstorm in western states, there is a delay in the shipment of parts to Company N. Company N is informed by its supplier that the delay will last one week. With this information, for the one week of the delay, Company N wishes to reduce the hours of work of its employees in the affected unit by 60%, but by no more than 60%. In this situation, Company N must make a request to the Director for approval to modify the STC plan prior to the change in hours worked.

EXAMPLE 4: Company K has an approved STC plan in operation for its affected factory unit. While the plan is in operation, Company L succeeds to substantially all of the employing enterprises of Company K, which includes the factory at which all of the employees in the affected unit work. The Director receives a request to modify the approved STC plan. Under these circumstances, the Director will require the new employer (Company L) to submit a new application for approval of a plan instead of treating the correspondence as a request to modify an approved plan.

b) The voluntary separation of an affected employee from employment with the employer does not require a modification of the plan, but this separation must be reported to the Department at DES.WorkShare@illinois.gov on or before the week the departure is effective. A non-voluntary separation of an affected employee requires the employer to request a modification of the plan under this Section.

EXAMPLE 1: Company M has in operation an approved STC plan for its affected ironwork unit. Mr. A is a worker in the affected unit. While the STC plan is in operation, Mr. A finds a new job and separates from Company M. The affected unit now has one fewer worker in it than it had at the time of the STC plan approval. Mr. A's departure from Company M does not require the employer to make a request to the Director for approval to modify the STC plan so long as the affected unit has no fewer than 2 workers, and so long as the plan proceeds in operation as it was approved. Nonetheless, the employer shall promptly notify the Director that Mr. A is no longer a participant in the plan.

EXAMPLE 2: Company M has in operation an approved STC plan for its affected ironwork unit. Ms. B is a worker in the affected unit. Company M discharges Ms. B from its employment, alleging that the discharge was for misconduct. Ms. B's discharge is a non-voluntary separation of an affected employee from the affected unit and requires a modification of the plan.

c) A modification of an STC plan may change the start date of a plan, may shorten the duration of a plan, but it may not extend the expiration date of the plan as it was approved.

d) When an employer requests a modification of an approved plan, the Director will have 30 days from the date of receipt of the request for modification of the STC plan to approve the proposed modification in whole or in part, or to disapprove the proposed modification. The Director's decision shall be final, and promptly communicated in writing to the employer to the address or email account of record with the Department for purposes of STC. The Director's failure to issue a written decision within 30 days after the date of receipt of the request to modify the plan constitutes a decision disapproving the request for modification.

56 Ill. Adm. Code 2870.35 Employee's Eligibility for Short-Time Compensation Benefits

a) An individual who is an employee of an affected unit under an approved STC plan is eligible to receive STC benefits with respect to any week only if that individual:

1. Has filed a claim for STC unemployment insurance benefits, or has an existing claim for unemployment insurance benefits with a benefit year in effect at the time of the approved STC plan and has reopened that claim;

2. Has completed a one-time certification process at WorkShare.ides@illinois.gov or by calling 217-558-8150;

3. Is eligible for unemployment insurance benefits pursuant to Section 500(E) of the Act;

4. Is available for all the individual's STC plan hours or is compensated for time off of work;

EXAMPLE 1: Company P has an approved STC plan in operation for its affected factory unit. The STC plan calls for a 20% reduction in hours for the workers in the affected unit. The employer does not have paid sick leave or paid vacation leave policies. Bob, an employee in the affected factory unit, is scheduled to work 32 hours Monday through Thursday under the approved STC plan. Bob calls off work on Monday. Bob then works the remainder of his scheduled hours. Since Bob did not work all his scheduled hours or receive compensation for the 8 hours he did not work on Monday, Bob is not eligible for STC benefits that week.

EXAMPLE 2: Same facts as EXAMPLE 1, except the employer has paid sick leave and paid vacation leave policies. When Bob calls off work that Monday he requests and receives 8 hours of sick leave pay. Bob would be eligible for STC benefits that week because the 8 hours of sick leave compensation is considered hours worked.

EXAMPLE 3: Company Q has an approved STC plan in operation for its affected billing unit. The STC plan calls for a 20% reduction in hours for the workers in the affected unit. The employer's policies provide for paid holidays. Jennifer, an employee in the affected unit, is scheduled to work 32 hours Monday through Thursday under the approved STC plan. Friday is a paid holiday and Jennifer receives 8 hours' holiday pay. Since compensated hours are considered hours worked, Jennifer would not be eligible for STC benefits that week because the paid holiday puts the reduction in Jennifer's regular work hours below 20% provided for in the STC plan.

EXAMPLE 4: Company R has an approved STC plan in operation for its affected shipping unit. The STC plan calls for a 20% reduction in hours for the workers in the affected unit. The employer's policies do not provide for paid holidays. John, an employee in the affected unit, is scheduled to work 32 hours Monday through Thursday under the approved STC plan. Friday is a holiday and John is not scheduled to work. John would be eligible for the STC benefits that week because the holiday does not affect the reduction in John's regular work hours below 20% provided for in the STC plan.

EXAMPLE 5: Company S has an approved STC plan in operation for its affected factory unit. The STC plan calls for a 40% reduction in hours for the workers in the affected unit. The employer's policies provide for paid holidays. Elizabeth, an employee in the affected factory unit, is scheduled to work 24 hours Monday through Wednesday under the approved STC plan. Thursday is a holiday and Elizabeth is not scheduled to work but is paid 8 hours of holiday pay. Elizabeth would be eligible for the STC benefits that week because the combination of reduced hours and holiday pay (32 hours) would amount to a 20% reduction in her regular hours and is within the parameters provided in Section 502 of the Act. However, for that week, Elizabeth's STC benefit amount would be calculated on a 20% reduction in hours, rather than on a 40% reduction in hours (see Section 2870.40).

5. Works hours during the week that fall within the reduction of hours of work provided under the STC plan; and

6. Is not otherwise disqualified for unemployment insurance benefits under the Act.

b) An employee in an affected unit under an approved STC plan whose usual weekly hours of work have been reduced is deemed unemployed in any week for which the employee works less than the normal weekly hours of work in accordance with an approved STC plan.

56 Ill. Adm. Code 2870.40 Short-Time Compensation Benefits' Formulas

a) Consistent with the provisions of Section 401 of the Act pertaining to rounding both an individual's weekly benefit amount and any dependent allowance to the next higher dollar if calculations result in a weekly benefit amount or a dependent allowance in an amount that is not already a multiple of one dollar, the STC weekly benefit amount will be the product of:

1. the percentage of reduction in the individual's usual weekly hours of work; and

2. the sum of the regular weekly benefit amount for a week of total unemployment plus any applicable dependent allowance which the individual may be eligible to receive under Section 401 of the Act.

b) A week for which benefits are paid under this Part will be reported as a week of STC benefits. The formulas used to calculate an individual's STC benefit payment for a week are as follows.

1. For an individual who is not eligible for any dependent allowance under Section 401 of the Act:

Total Hours (TH) = (PH) + (OH)

WBAPA = 1 – ((TH) ÷ (NH))

STC Deduction = (WBA) × (1 – (WBAPA))

Benefit Payment Amount = ((WBA) – (STC Deduction)) or

Benefit Payment Amount = (WBA × WBAPA)

EXAMPLE 1: Bob is an employee of an affected unit under an approved STC plan, which provides for a 20% reduction in Bob's normal hours. Bob normally works 40 hours a week. Bob's hours were reduced to 32 when the employer's STC plan was approved effective June 6, 2021. Bob filed a new claim for benefits. Bob's regular unemployment weekly benefit amount is $500. Bob worked all his scheduled hours during the week ending June 12, 2021. Bob does not have a second job. Bob's STC benefit payment amount for the week ending June 12, 2021 is $100, using the formulas as shown below.

Using the formulas:

32 + 0 = 32 (TH)

1 – (32 / 40) = 1 – (.80) = .20 (WBAPA)

500 × (1 – .20) = 500 × .80 = 400 (STC Deduction)

500 – 400 = 100 (Benefit Payment Amount) or

500 × .20 = 100 (Benefit Payment Amount)

$100 (Benefit Payment Amount)

EXAMPLE 2: Mary is an employee of an affected unit under an approved STC plan, which provides for a 20% reduction in Mary's normal hours. Mary normally works 40 hours a week. Mary's hours were reduced to 32 when the employer's STC plan was approved effective June 6, 2021. Mary filed a new claim for benefits. Mary's regular unemployment weekly benefit amount is $484. Mary worked all scheduled hours during the week ending June 12, 2021. Mary does not have a second job. Mary's STC benefit payment amount for the week ending June 12, 2021 is $97, using the formulas as shown below.

Using the formulas:

32 + 0 = 32 (TH)

1 – (32 / 40) = 1 – (.80) = .20 (WBAPA)

484 × (1 – .20) = 484 × .80 = 387.20 (STC Deduction)

484 – 387.20 = 96.80 (Benefit Payment Amount) or

484 × .20 = 96.80 (Benefit Payment Amount)

$97 (Benefit Payment Amount due to rounding)

2. For an individual who is eligible for a dependent allowance under Section 401 of the Act:

Total Hours (TH) = (PH) + (OH)

WBAPA = 1 – ((TH) ÷ (NH))

STC Deduction = [(WBA) + (DA)] × (1 – (WBAPA))

Benefit Payment Amount = ([(WBA) + (DA)] – (STC Deduction)) or

Benefit Payment Amount = ([(WBA) + (DA)] × WBAPA)

EXAMPLE 1: Same facts as in EXAMPLE 1 in subsection (b)(1), except Bob is eligible for $188 in dependent child allowance. Bob's STC benefit payment amount, including dependent allowance, for the week ending June 12, 2021 is $138, using the formulas as shown below.

Using the formulas:

32 + 0 = 32 (TH)

1 – (32 / 40) = 1 – (.80) = .20 (WBAPA)

(500 + 188) × (1 – .20) = 688 × .80 = 550.40 (STC Deduction)

688 – 550.40 = 137.60 (Benefit Payment Amount) or

688 × .20 = 137.60

(Of the 137.60, 100.00 constitutes Benefit Payment Amount and 37.60 constitutes Dependent Allowance)

100 (Benefit Payment Amount due to rounding) +

38 (Dependent Allowance due to rounding) =

$138 (Benefit Payment Amount Plus Dependent Allowance)

EXAMPLE 2: Same facts as in EXAMPLE 2 in subsection (b)(1), except Mary is eligible for $181 in dependent child allowance. Mary's STC benefit payment amount, including dependent allowance, for the week ending June 12, 2021 is $134, using the formulas as shown below.

Using the formulas:

32 + 0 = 32 (TH)

1 – (32 / 40) = 1 – (.80) = .20 (WBAPA)

(484 + 181) × (1 – .20) = 665 × .80 = 532 (STC Deduction)

665 – 532 = 133 (Benefit Payment Amount) or

665 × .20 = 133

(Of the 133, 96.80 constitutes Benefit Payment Amount and 36.20 constitutes Dependent Allowance)

97 (Benefit Payment Amount due to rounding) +

37 (Dependent Allowance due to rounding) =

$134 (Benefit Payment Amount Plus Dependent Allowance)

c) An individual may be eligible for STC benefits or unemployment insurance benefits, as appropriate, except that:

1. no individual shall be eligible for both STC benefits and unemployment insurance benefits for the same week;

2. no individual shall be eligible for combined benefits (excluding any payments attributable to a dependent allowance under Section 401 of the Act) in any benefit year in an amount more than the individual's maximum benefit amount; and

3. no individual shall be paid STC benefits for more than 52 weeks under a STC plan.

d) The STC benefits paid to an individual in an affected unit (excluding any payments attributable to a dependent allowance under Section 401 of the Act) will be deducted from the maximum benefit amount established for that individual in the benefit year.

e) The following provisions apply to individuals who work for both a STC employer and another employer during weeks covered by the approved STC plan:

1. If combined hours of work in a week for both employers do not result in a reduction of at least 20% of the usual weekly hours of work with the STC employer, the individual is not eligible for benefits.

EXAMPLE: Same facts as in EXAMPLE 1 in subsection (b)(1), except Bob has a second job. In the week ending June 12, 2021, Bob worked all regular plan hours and an additional 4 hours for the second employer. For the week, Bob worked a total of 36 hours, consisting of 32 hours worked for the STC employer and 4 hours worked for a second employer. In total, Bob's reduction of hours worked for the week, as compared to a normal 40 hours of work for the STC employer, is 4 hours, which is a 10% reduction in the normal hours of work for the STC employer. Since Bob's reduction in total hours worked amounts to only 10% of the normal STC hours, Bob's short-time weekly benefit amount would be $0, as the employer's STC plan only allows for a 20% reduction. Bob's weekly benefit amount percentage amount (WBAPA) equaling only 10% of the normal weekly hours is lower than the 20% under the STC plan (20% is also the lowest percentage of reduction of hours worked allowed for a STC plan under Section 502 of the Act). Therefore, Bob is not eligible for STC benefits that week. See formulas below:

32 + 4 = 36 (TH)

1 – (36 / 40) = 1 – (.90) = .10 (WBAPA)

500 × (1 – .10) = 500 × .90 = 450 (STC Deduction)

2. If combined hours of work for both employers results in a reduction equal to or greater than 20% of the usual weekly hours of work for the STC employer, the STC benefit amount payable to the individual is reduced for that week and is determined by multiplying the percentage by which the combined hours of work have been reduced by the weekly benefit amount for a week of total unemployment.

EXAMPLE: Same facts as in EXAMPLE 1 in subsection (b)(1), except the employer's STC plan provides for a 50% reduction in Bob's normal hours. Bob works his 20 plan hours and an additional 4 hours for a second employer. Bob's weekly benefit payment amount would be $200. See formulas below.

20 + 4 = 24 (TH)

1 – (24 / 40) = 1 – (.60) = .40 (WBAPA)

500 × (1 – .40) = 500 × .60 = 300 (STC Deduction)

500 – 300 = 200 (Benefit Payment Amount) or

500 × .40 = 200 (Benefit Payment Amount)

3. If an individual worked the reduced percentage of the usual weekly hours of work for the STC employer, is available for all usual hours of work with the STC employer, and did not work any hours for the other employer either because of the lack of work with that employer or because the individual is excused from work with the other employer, the individual is eligible for STC benefits for that week.

EXAMPLE: With the same facts as in EXAMPLE 1 in subsection (b)(1), Bob's weekly benefit payment amount would be $100.

32 + 0 = 32 (TH)

1 – (32 / 40) = 1 – (.80) = .20 (WBAPA)

500 × (1 – .20) = 500 × .80 = 400 (STC Deduction)

500 – 400 = 100 (Benefit Payment Amount) or

500 × .20 = 100 (Benefit Payment Amount)

4. An individual who is not provided any work during a week by the STC employer, or any other employer, and who is otherwise eligible for unemployment insurance, is eligible for the amount of regular unemployment insurance benefits plus any dependent allowance for which that individual may be eligible.

EXAMPLE: Same facts as in EXAMPLE 1 in subsection (b)(1), except that the STC employer shut down for a week of inventory and maintenance and Bob did not work any STC plan hours, nor did Bob work for another employer. Since the reduction in Bob's hours is more than the 60% allowed under Section 502 of the Act, Bob would not be eligible for any STC benefits. However, Bob would be entitled to regular unemployment insurance benefits, provided he is otherwise eligible.

5. An individual who is not provided any work by the STC employer during a week, but who works for another employer and is otherwise eligible may be paid unemployment insurance for that week subject to the disqualifying income and other provisions applicable to claims for regular unemployment insurance.

EXAMPLE: Same facts as in EXAMPLE 1 in subsection (b)(1), except that the STC employer shut down for a week of inventory and maintenance and Bob did not work any STC plan hours. Bob did, however, work 10 hours for another employer and earned $400 in gross income in the week ending June 12, 2021. Since the reduction in Bob's STC plan hours is more than the 60% allowed under Section 502 of the Act, Bob would not be eligible for any STC benefits. However, Bob could be eligible for reduced regular unemployment insurance benefits under the provisions of Section 402 of the Act.

56 Ill. Adm. Code 2870.45 Overpayments of Short-Time Compensation Benefits

a) Overpayments of unemployment insurance benefits under the Act may be recovered from an individual receiving STC benefits in the manner provided under Sections 900 and 901 of the Act (see Section 2835.TABLE A).

b) Overpayments of benefits paid under an STC plan may be recovered from an individual receiving unemployment insurance benefits under the Act in the manner provided under Sections 900 and 901 of the Act (see Section 2835.TABLE A).

56 Ill. Adm. Code 2870.50 Coordination of Short-Time Compensation Benefits with Extended Benefits

a) Any STC benefit received by an individual is considered to be "regular compensation" as the term is used under Federal-State Extended Unemployment Compensation Act of 1970 (PL 91-373; codified in note to 26 USC 3304).

b) An individual who has received all of the STC or combined STC and regular unemployment insurance benefits that are available in a benefit year shall be an "exhaustee" for purposes of extended benefits under the provisions of Section 409 of the Act.

c) Extended benefits paid to a participant in a STC plan are to be charged or noncharged to an employer who is subject to the payment of contributions, and attributed or non-attributed to an employer making payments in lieu of contributions, in the same manner and to the same extent as extended benefits paid to an exhaustee of regular unemployment insurance.

Subchapter g Ineligibility for Benefits

Part 2905 Noncitizen Status

56 Ill. Adm. Code 2905.1 Unemployment Benefits to Noncitizens

A noncitizen can establish monetary eligibility (see Section 500 of the Unemployment Insurance Act (Act) [820 ILCS 405] and 56 Ill. Adm. Code 2720.1) to receive unemployment insurance benefits only to the extent and on the basis of wages that the individual earned during the individual's base period while the individual was lawfully admitted for permanent residence or otherwise permanently residing in the United States under color of law, as provided in 56 Ill. Adm. Code 2905.10 or 2905.15, as the case may be.

EXAMPLE: An individual illegally enters the United States in 2012 and begins work at that time. The individual applies for and is granted permanent residence status as of May 1, 2019. Only those wages that this individual earns on or after May 1, 2019 may be used to establish the individual's monetary eligibility for benefits.

History

• Source: Amended at 48 Ill. Reg. 5973, effective April 3, 2024

56 Ill. Adm. Code 2905.5 Definitions

For the purposes of 56 Ill. Adm. Code 2905, the terms hereunder shall be defined as follows:

"Act" means the Unemployment Insurance Act [820 ILCS 405].

"Immigrant" is a noncitizen who has been accorded by the United States the privilege of entering the country for permanent residence and of becoming a citizen of the United States under the conditions provided in the Immigration and Nationality Act.

"Noncitizen" means any person not a citizen or national of the United States, as the word "alien" is defined in the Immigration and Nationality Act [8 U.S.C. 1101].

History

• Source: Amended at 48 Ill. Reg. 5973, effective April 3, 2024

56 Ill. Adm. Code 2905.10 When Is a Noncitizen Lawfully Admitted for Permanent Residence

A noncitizen is considered lawfully admitted for permanent residence in the United States if the individual is given the status of an immigrant; provided, however, that the Canadians and Mexicans who are allowed to enter the United States for daily or seasonal work shall likewise be considered as lawfully admitted for permanent residence.

History

• Source: Amended at 48 Ill. Reg. 5973, effective April 3, 2024

56 Ill. Adm. Code 2905.15 Permanent Residence Under Color of Law

a) A noncitizen is considered permanently residing in the United States under color of law if the individual's presence in this country is presumptively legal under federal law (including 8 U.S.C. 1157, 8 U.S.C. 1158, 8 U.S.C. 1182, and 8 CFR 101.2).

b) The mere fact that a particular individual, group or class of individuals is temporarily not subject to deportation does not mean that the individual or members of that group or class are permanently residing in the United States under color of law. In these circumstances, in order to establish that the individual is permanently residing in the United States under color of law, the individual or group or class member must show that the Immigration and Naturalization Service (INS) or the U.S. Citizenship and Immigration Services (USCIS) has provided written notification that the individual may remain in the United States for an indefinite period of time.

History

• Source: Amended at 48 Ill. Reg. 5973, effective April 3, 2024

56 Ill. Adm. Code 2905.20 Evidence of Eligibility

A claimant who indicates in the claimant's application for benefits that the individual is not a citizen of the United States must produce evidence that the individual is not ineligible. The presentation of a valid U.S. Immigration and Naturalization Service (INS) Form I-151 or a valid U.S. Citizenship and Immigration Services (USCIS) Form I-551, commonly known as the "green card", or other similar documents issued by INS or USCIS will be sufficient for a finding that the noncitizen is eligible under Section 614 of the Act. Without the presentation of these documents, the burden of coming forth with evidence of eligibility is upon the noncitizen. Documents tending to show eligibility for benefits under this Section may be submitted for verification or clarification to INS or USCIS; however, benefits shall not be withheld pending such verification unless the claimant admits that the claimant is not legally in the United States or unless the documents appear to be altered.

History

• Source: Amended at 48 Ill. Reg. 5973, effective April 3, 2024

Part 2905 Alien Status

56 Ill. Adm. Code 2905.25 Ineligibility on the Basis of Alienage (repealed)

History

• Source: Repealed at 13 Ill. Reg. 11502, effective June 29, 1989

56 Ill. Adm. Code 2905.30 Information Regarding Claimants' Status

Any data or information required under 56 Ill. Adm. Code 2905 shall be requested or utilized by the Director without regard to the ethnic, racial or linguistic characteristics of the claimant.

Part 2905 Noncitizen Status

56 Ill. Adm. Code 2905.35 Evidence of Ineligibility Because of Noncitizen Status

When a determination is made that a claimant is not entitled to unemployment benefits because the individual does not meet the requirements provided in Section 614 of the Unemployment Insurance Act, such determination must be supported by a preponderance of the evidence.

History

• Source: Amended at 48 Ill. Reg. 5973, effective April 3, 2024

56 Ill. Adm. Code 2905.40 Legal Authorization to Work

In order to be eligible to receive benefits, an individual must be available to work (see Section 500C of the Act). In order to meet this availability requirement, a noncitizen must be legally authorized to work in the United States. A noncitizen without current authorization to work from Immigration and Naturalization Service (INS) or U.S. Citizenship and Immigration Services (USCIS), or who is not in a status that automatically permits the noncitizen to work, is not legally available for work and not eligible for benefits, even if the noncitizen meets the monetary eligibility requirements of Section 500E of the Act.

History

• Source: Amended at 48 Ill. Reg. 5973, effective April 3, 2024

Part 2910 Athletes

56 Ill. Adm. Code 2910.1 Ineligibility of Professional Athletes and Ancillary Personnel During Periods Between Sports Seasons

Any individual who derives 90% or more of his total wages received from all sources, athletic or non-athletic, during his base period from participating or training or preparing to participate in sports or athletic events shall be ineligible to receive benefits, based upon his total base period wages or any portion thereof, for any week commencing during the period between the two successive sport seasons or similar periods if:

a) He is engaged in sports or athletic events as a professional athlete or ancillary personnel for wages; and

b) He performed such service in his applicable base period; and

c) He has a reasonable assurance that he will perform services in the next season after the intervening period comes to an end.

56 Ill. Adm. Code 2910.5 Definitions

For the purposes of 56 Ill. Adm. Code 2910.1, the following terms shall have the meaning given hereunder:

a) "Sports" or "athletics" is an activity involving an individual or group of individuals who participate in any competitive play, game, or contest that requires either physical or mental ability, or both.

b) "Participate" shall mean taking part in sports or athletic events as an individual competitor or as a member of a team, or as a participant in the training or preparing to so participate.

c) "Sports season" is that part of the calendar year when according to the established practice or tradition of a particular sport or game, the team players or individual competitors are actively involved in participating in sports or athletic events or in training or preparing to so participate.

d) "Professional athlete"

1. "Professional athlete" is a claimant whose occupation is participating in athletic or sporting events as:

A) A regular player or team player; or

B) An alternate player or team member; or

C) An individual in training to become a regular player or team member; or

D) An individual who, although performing no active services, is retained as a player or team member while recuperating from illness or injury.

2. A semiprofessional athlete is within the scope of the term "professional athlete" if he is paid for participating in sports or athletic events.

e) "Ancillary personnel" is a claimant who, without being a professional athlete, participates, or trains or prepares to so participate in sporting or athletic events. It includes:

1. Coaches;

2. Trainers;

3. Referees.

56 Ill. Adm. Code 2910.10 Presumption of Reasonable Assurance

A reasonable assurance that the claimant will perform services in sports or athletic events in a subsequent season is presumed to exist if:

a) He has an expressed or implied multiyear contract which extends into the subsequent sport season; or

b) He is free to negotiate with other teams or employers for employment as a participant in the subsequent sport season, and

1. There is reason to believe that one or more employers of participants in athletic events are considering or would be desirous of employing the claimant in an athletic capacity in the subsequent sport season, and

2. He is not clearly and affirmatively withdrawn from participating in remunerative and competitive sports or athletic events.

56 Ill. Adm. Code 2910.15 Reasonable Assurance Not Fulfilled

When the reasonable assurance provided in 56 Ill. Adm. Code 2910.10 fails to materialize, the denial of benefits to the professional athlete or ancillary personnel is still effective until the date when it is established that the assurance no longer exists. Following this date, benefits will be paid if the individual is otherwise eligible.

56 Ill. Adm. Code 2910.20 Sports Seasons and Period Between Seasons Determined

The beginning and ending dates of any sport season and the beginning and ending dates of the intervening time period between two successive sports seasons shall be determined by the Director after taking into consideration factors of custom and practice within a particular sport, published dates for beginning and ending a season and any other information bearing upon such determination.

Part 2915 Academic Personnel

56 Ill. Adm. Code 2915.1 Definitions

All other terms in this Part shall have the meaning set forth in definitions, Section 200 through 247 of the Unemployment Insurance Act [820 ILCS 405], hereinafter referred to as "the Act".

"Act" means the Unemployment Insurance Act, [820 ILCS 405].

"Educational institution" under Section 211.1 or 211.2 of the Act has for its primary function the presentation of formal instruction and normally maintains a regular faculty and curriculum and normally has a regularly enrolled body of pupils or students in attendance at the place where its educational activities are regularly conducted.

"Educational service agency" has the meaning given to it in Section 612 of the Act .

"Instructional service" is performed for an educational institution or educational service agency either on a full-time or part-time basis and consists of teaching in formal classroom or seminar situations, tutoring, or lecturing for the purpose of imparting knowledge, or counseling, advising, or otherwise determining curriculum, courses, and academic pursuits for students.

"Principal administrative capacity" is a service performed by individuals who are officers of the educational institution or educational service agency, and perform the duties of president, members of the board of directors, business managers, deans and associate deans, university public relations directors, comptrollers, development officers, chief librarians, registrars, superintendents or principals or others not given such official titles but actually serving in a similar principal administrative capacity. The duties performed by the individual rather than the title held determine whether or not the individual may be considered to be in a principal administrative capacity.

"Reasonable assurance" is an inference or expectation based upon a sequence of previous conduct, practice, or course of dealing, within an industry or field of service that is fairly to be regarded as establishing a common basis of understanding that the individual working in one year, term, or season, or prior to a vacation period or holiday recess may be expected, under normal conditions, to have continued employment in the next year, term, or season, after an "off-term" or "off-season" interruption, or at the conclusion of the vacation period or holiday recess.

"Research service" for an educational institution, educational service agency or educational unit consists of careful and systematic study and investigation in a field of science or knowledge, undertaken to establish facts or principles. The work performed is in a predominantly intellectual field or artistic endeavor that is varied in character and requires the constant exercise of discretion and judgment in performance. The work further requires advanced knowledge in a field of science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study. It does not include individuals who provide supportive services for research, such as typists and clerks.

History

• Source: Amended at 43 Ill. Reg. 6555, effective May 14, 2019

56 Ill. Adm. Code 2915.2 Services in Instructional, Research or Principal Administrative Capacity and Other Capacities

a) For purposes of Section 612 of the Act, examples of services performed in an instructional, research or principal administrative capacity include, but are not limited to, services as a teacher, school principal, assistant school principal, dean, assistant dean, researcher, guidance counselor, social worker, head school registered nurse or licensed practical nurse, tutor, sports coach, athletic director, and substitute teacher.

b) For purposes of Section 612 of the Act, examples of services that are not performed in an instructional, research or principal administrative capacity include, but are not limited to, services as a teacher's aide, primarily clerical staff, custodian, assistant or auxiliary librarian, cafeteria worker, assistant registered nurse or licensed practical nurse, groundskeeper, or school bus driver.

c) For purposes of Section 612 of the Act, if an individual's employment during an academic year or term entails performing services that are in an instructional, research or principal administrative capacity, as well as performing services that are in other than an instructional, research or principal administrative capacity, if more than 50% of the individual's services during that academic year or term are in an instructional, research or principal administrative capacity, then all of the services of the individual during that academic year or term shall be deemed to be performed in an instructional, research or principal administrative capacity; but if 50% or more of the individual's services during that academic year or term are in other than an instructional, research or principal administrative capacity, then all of the services of the individual during that academic year or term shall be deemed to be performed in other than an instructional, research or principal administrative capacity. However, if the employer reports the wages performed in an instructional, research or principal administrative capacity separately, then the foregoing shall not apply.

EXAMPLE 1: Employee X is an individual with a license to teach. Employer Z is a public school system in Illinois. For the 2019-2020 school year, Z hires X to work as a teacher's aide. During the first semester of the 2019-2020 school year, X performs all her services as a teacher's aide. During the second semester of the 2019-2020 school year, 80% of X's time and services are spent working as a teacher's aide, and 20% of X's time and services are spent working in the position of a substitute teacher, teaching one class per day. During each of the semesters of the 2019-2020 school year, since 50% or more of X's services are performed in other than an instructional, research or principal administrative capacity, then for both semesters of the 2019-2020 school year, all of X's services are deemed to be performed in other than an instructional, research or principal administrative capacity.

EXAMPLE 2: The same facts as EXAMPLE 1 except that the employer reports X's wages as a teacher separately from her wages as a teacher's aide. In this case, the provisions of Section 612 of the Act shall be applied separately for the teaching and non-teaching wages.

History

• Source: Added at 44 Ill. Reg. 17668, effective October 23, 2020

56 Ill. Adm. Code 2915.5 Ineligibility Between Academic Years or Terms, Vacation Period or Holiday Recess

a) When an individual has employment in an educational institution or educational service agency in the first of two successive academic years or terms or prior to a vacation period or holiday recess, the individual shall be ineligible to receive benefits during the intervening period between academic years or terms, or during the vacation period or holiday recess, under the conditions provided in Sections 2915.10 and 2915.15.

b) The ineligibility between academic years or terms, or during vacation periods or holiday recesses, stated in subsection (a) applies only when the claim for benefits is based on wages received from an educational institution or an educational service agency. Benefits will be paid with respect to weeks of unemployment between academic years or terms, or during vacation periods or holiday recesses, if the claimant has sufficient wages for insured work in non-educational employment during the applicable base period if the individual is otherwise eligible.

c) The ineligibility stated in subsection (a) applies to employees of an educational service agency only when their services are primarily provided at the facilities of an educational institution.

History

• Source: Amended at 11 Ill. Reg. 19101, effective November 4, 1987

56 Ill. Adm. Code 2915.10 Ineligibility of Academic Personnel

a) Where the service of an individual in an educational institution described in Section 2915.1, or for an educational service agency, during the first of two successive years or academic terms, or prior to a vacation period or holiday recess is performed in any capacity, such individual shall be ineligible for benefits during the intervening period:

1. Between two successive academic years; or,

2. Between two regular terms, whether or not successive; or,

3. On paid sabbatical leave provided in the individual's contract; or,

4. During the period of an established and customary vacation period or holiday recess;

b) If there is a contract or a reasonable assurance, as defined in Section 2915.1, that the individual will perform services in any such capacity in the second of such academic years or terms, or at the conclusion of the vacation period or holiday recess, for any educational institution or educational service agency.

56 Ill. Adm. Code 2915.15 Period Between Academic Years or Terms, Vacation Period or Holiday Recess

a) The intervening period between two academic years or terms, whether or not successive, is the time span when an individual is not required either by contract or customary practice in educational institutions or educational service agencies to perform the services assigned to him. Such period is usually defined by the beginning and end of classes.

b) The period of an established and customary vacation period or holiday recess includes Christmas break or any other religious holiday season or spring vacation when they occur during the academic year or term.

56 Ill. Adm. Code 2915.20 Presumption of Reasonable Assurance of Continued Employment

The reasonable assurance referred to in Section 2915.10 shall be presumed if such individual has a written, verbal, or implied agreement that covers or extends into the second academic year or term, or after the vacation period or holiday recess, to perform for any educational institution or educational service agency, academic or non-academic services. Continuation of service in the second academic year or term or after the vacation period or holiday recess is implied if there has been a pattern of such continuation from one academic year or term to another or following vacation periods or holiday recesses over a number of years or when the individual has not been given a notice of termination by the educational institution or educational service agency providing employment in the first of the two academic years or terms or prior to the vacation period or holiday recess.

56 Ill. Adm. Code 2915.25 Rebuttal of the Presumption of Reasonable Assurance of Continued Employment

The individual employed by the educational institution or educational service agency must establish by a preponderance of the evidence that such individual no longer has a reasonable assurance of continued employment, in order to be eligible for benefits under this Part. Such evidence may include a written notice of dismissal from the employer, a written statement under oath or such other evidence which tends to show that the presumption provided in Section 2915.20 is without basis. In the event, however, that the educational institution or educational service agency files a protest to the claim and gives additional assurance that the individual will continue to be employed in the next academic year or term or following the vacation period or holiday recess, then the presumption of reasonable assurance of continued employment remains unless and until the educational institution or educational service agency either gives a definite notice of termination or does not receive such individual back to work, whichever occurs first, or until the individual presents additional evidence to rebut the employer's statement.

Example: Notices of dismissal are routinely sent out to employees at the end of the academic year or term, simply as a precaution on the chance that the budget may not be approved. The individual submits this notice in evidence when filing a claim for benefits, but the educational institution affirmatively asserts in its response to the notice that a claim for benefits has been filed that the individual still has a reasonable assurance of continued employment. Such individual shall be denied benefits because the presumption of his returning to work remains in effect.

56 Ill. Adm. Code 2915.30 Date Benefit Ineligibility Ceases to Apply

a) If the individual overcomes the presumption of reasonable assurance of continued employment provided in Section 2915.20, the ineligibility to receive benefits set forth in Section 2915.10 shall cease to apply to that individual, effective with the week for which the individual filed a claim for benefits, if it has been found by the Department, in any proceeding, that, as of that week, the individual had no reasonable assurance of continued employment.

b) If the additional assurance given by the educational institution or educational service agency described in Section 2915.25 fails to result in continued employment, the presumption becomes no longer effective from the date specified by the educational institution or educational service agency in its subsequent notice of dismissal to the individual or from the date the individual was scheduled to report back to work but the educational institution or educational service agency fails to take him or her back to service, whichever occurs first. Except as provided in subsection (c), the ineligibility to receive benefits provided in Section 612 of the Act and Section 2915.10 of this Part shall cease to apply to that individual on the date the presumption is determined to have become no longer effective.

c) Notwithstanding subsections (a) and (b), if reasonable assurance fails to materialize and the individual was previously employed in a position other than that of one in an instructional, administrative or research capacity, the individual, who has filed his or her claim in accordance with 56 Ill. Adm. Code 2720.110 through 2720.125, shall be entitled to a retroactive payment of benefits if he or she is otherwise eligible for benefits.

History

• Source: Amended at 43 Ill. Reg. 6555, effective May 14, 2019

56 Ill. Adm. Code 2915.35 Benefits to Insured Workers in Educational Institutions

Benefits based on wages for services performed by an individual in the employ of an educational institution or educational service agency operated by a governmental entity or nonprofit organization provided in Sections 211.1 and 211.2 of the Act, respectively, shall be payable in the same amount, on the same terms, and subject to the same conditions, as any other benefits payable under the Act, except that the individual may be ineligible for benefits for the intervening period between academic years or terms as provided in Section 2915.5.

History

• Source: Amended at 43 Ill. Reg. 6555, effective May 14, 2019

56 Ill. Adm. Code 2915.40 Ineligibility of Employees Working in One Capacity for an Academic Employer Who Cross Over Within Years or Terms to Work in Another Capacity for the Same Type of Academic Employer

a) For the purposes of this Part, an individual can perform services for an academic employer in either or both of two capacities: professional or non-professional. "Professional" means services performed in an instructional, research, or principal administrative capacity. "Non-professional" means all other services.

b) For the purposes of this Part, there are two types of academic employers. The first type is an educational institution, as well as an institution of higher education and an institution of higher learning. The second type is an educational service agency.

c) If an individual performs services for one type of academic employer in one capacity during the period before a vacation period or holiday recess within an academic year or term, and there is a reasonable assurance that the individual will perform services in a different capacity for the same type of academic employer for the period immediately subsequent to the vacation period or holiday recess, the individual shall be ineligible for benefits under Section 612 of the Act during the vacation period or holiday recess.

EXAMPLE: If a teacher employed by an educational institution receives assurance that at the end of the Christmas holidays his employment with that educational institution will continue in January but in the capacity of a security guard rather than as a teacher, the individual has crossed over from one capacity to another and shall be ineligible for benefits under Section 612 of the Act during that period.

History

• Source: Amended at 43 Ill. Reg. 6555, effective May 14, 2019

56 Ill. Adm. Code 2915.43 Eligibility of Employees Working for an Academic Employer Who Cross Over Within an Academic Year or Term to Work for a Non-Academic Employer or for Another Type of Academic Employer

If an individual crosses over from an academic employer(see Section 2915.40(b)) a non-academic employer, or from one type of academic employer to another, following a vacation period or holiday recess within an academic year or term, the ineligibility imposed by Section 612 of the Act does not apply. This is true no matter in what capacity the individual performs services after the vacation period or holiday recess within an academic year or term for the subsequent employer.

EXAMPLE: If a teacher employed by an educational institution receives assurance that at the end of the Christmas holidays his services as a teacher will continue in January in the employ of an educational service agency, the ineligibility imposed by Section 612 of the Act does not apply because the services performed immediately subsequent to the vacation period are not performed for the same type of academic employer.

History

• Source: Amended at 43 Ill. Reg. 6555, effective May 14, 2019

56 Ill. Adm. Code 2915.45 Eligibility of Employees Working for One Type of Academic Employer Who Cross Over Between Years or Terms to Work for Another Type of Academic Employer

Whenever an individual performs services in the employ of one type of academic employer during an academic year or term and there is reasonable assurance that the individual will perform services in the employ of another type of academic employer for a subsequent academic year or term, the individual shall not be ineligible under Section 612 of the Act during the period between the two academic years or terms.

EXAMPLE: If a teacher employed by an educational institution receives assurance that at the end of the academic year his employment will continue for the next year for an educational service agency, the individual shall not be ineligible during that period under Section 612 of the Act.

History

• Source: Amended at 43 Ill. Reg. 6555, effective May 14, 2019

56 Ill. Adm. Code 2915.47 Eligibility of Employees Working in One Capacity Who Cross Over Between Years or Terms to Work in Another Capacity

Whenever an individual performs services in one capacity during an academic year or term and there is reasonable assurance that the individual will perform the services in a different capacity for a subsequent academic year or term, the individual shall not be ineligible under Section 612 of the Act during the period between the two academic years or terms.

EXAMPLE: If a typist receives assurance that at the end of the academic year his employment will continue for the next year but in the capacity of a teacher, the individual shall not be ineligible during that period under Section 612 of the Act.

History

• Source: Amended at 43 Ill. Reg. 6555, effective May 14, 2019

Part 2920 Disqualifying Income and Reduced Benefits

56 Ill. Adm. Code 2920.1 Definitions

"Act" means the Unemployment Insurance Act [820 ILCS 405].

"Employer" shall have the meaning ascribed in Section 205 of the Act.

"Employing unit" shall have the same meaning as provided in Section 204 of the Act.

"Full-time work" refers to the number of hours or days a class of workers would work if the employing unit had all the business it could handle without overtime. Except when the contrary is provided by a collective bargaining agreement or company policy, full time work is customarily 40 hours per week.

"Layoff" occurs when work is no longer available for the individual for a definite or indefinite period of time, but there is no intention to permanently sever the employer-employee relationship.

"Normal workday" is a day during which work is ordinarily performed at the worker's customary place of employment.

"Pay in lieu of vacation" refers to amounts paid to an employee in addition to regular wages whenever the employee works instead of taking the period of vacation to which the individual is entitled.

"Residual payments" are amounts paid to a performer for the continued use of radio and television commercials in which he or she performed.

"Separation" refers to the situation that exists when an employee has:

Voluntarily terminated employment;

Been permanently discharged from employment by the employer; or

Been indefinitely suspended from employment by the employer on grounds other than lack of work at the place of employment.

"Services performed by an individual in self-employment" means those services that would be excluded from covered employment under Section 212 of the Act.

"Shutdown for inventory purposes" occurs whenever the employer suspends all or a unit of its operations for an announced period in order to count or to inspect the property in the employer's possession.

"Shutdown for vacation purposes" occurs whenever the employer suspends all, or a unit of, its operations for an announced period in order to grant its employees a period of rest and recreation, conduct maintenance or re-tooling operations, or for any reason except lack of business.

"Standby pay" refers to amounts paid or payable to an employee either for an employee's readiness to perform services for an employer or amounts paid or payable to an employee for the purpose of maintaining the employer-employee relationship during any work cessation not related to a labor dispute in which the individual is directly involved.

"Vacation pay" refers to amounts paid or payable to an employee for the purpose of granting him or her a period of rest and recreation. The term "vacation pay" includes what is commonly referred to as "personal holiday" pay, "earned bonus hours", and other amounts payable for the purpose of rest and recreation regardless of how they are characterized.

"Vacation pay allowance" refers to amounts paid or payable to an employee as vacation pay without regard to the period of vacation leave to which the employee is entitled. For example, an employee may be entitled to two weeks of vacation leave but be paid an allowance that is greater or less than the wages for two weeks of normal work. Thus, if any employee was entitled to receive a vacation pay allowance equal to 5% of his or her annual salary of $20,000, the employee's vacation pay allowance would be $1,000.

"Wages for less than full time work" refers to every form of remuneration for personal services, including salaries, commissions, bonuses, gratuities received from third parties that are reported as wages under Section 234 of the Act, and the reasonable money value of all remuneration in any medium other than cash received by an individual for less than full time work.

"Weekly benefit amount" means the amount defined by Section 401 of the Act.

History

• Source: Amended at 43 Ill. Reg. 6563, effective May 14, 2019

56 Ill. Adm. Code 2920.5 Ineligibility to Receive Benefits Due to Performing Full-Time Work or Due to the Receipt of Various Income Whose Sum Is Equal to or Greater Than the Individual's Weekly Benefit Amount

a) An individual shall be ineligible for benefits with respect to any week for which the individual receives or is entitled to receive any of the following payments whose aggregate amount is equal to or exceeds such individual's weekly benefit amount:

1. Payments made during an announced shutdown for inventory or vacation purposes which are treated as wages under Section 2920.25;

2. Payments made in connection with any separation or layoff as, or in the nature of, vacation pay, vacation pay allowance, or pay in lieu of vacation treated as wages under Section 2920.30 which are made during a period designated by the employer;

3. Holiday pay treated as wages under Section 2920.35;

4. Wages for services performed by an individual for any week of less than full time work except those wages for "services performed by an individual in self-employment" as defined by Section 2920.1.

A) Example 1: An individual files for benefits after a layoff and the weekly benefit amount is $130.00. The individual is eligible to receive 3 days of vacation pay at $50.00 per day during the week in question, an amount which would be treated as wages under Section 2920.25. The individual is ineligible to receive benefits or waiting week credit under this subsection with respect to that week because the entitlement to $150.00 in vacation pay treated as wages under Section 2920.25 exceeds the weekly benefit amount.

B) Example 2: An individual files for benefits after a layoff. The weekly benefit amount is $130.00. The individual performs services which are not employment under Section 212 of the Act. Even if the individual receives or is entitled to receive payments for these services in amounts in excess of the weekly benefit amount, the individual is not ineligible for benefits under this subsection because the services performed by the individual were in self-employment and hence the remuneration received for these services does not render the individual ineligible for benefits under subsection (a)(4). The individual may, however, be ineligible under Section 500 of the Act, if he is not able to, available for, or actively seeking work.

C) Example 3: An individual files for benefits after a layoff. The weekly benefit amount is $130.00. With respect to the week in question, the individual is entitled to receive 1 day of holiday pay of $50.00 per day, an amount which would be treated as wages under Section 2920.35, and 2 days of vacation pay at $50.00 per day, an amount which would be treated as wages under Section 2920.30. The individual is ineligible to receive benefits during that week under this subsection because the entitlement to the sum of $150.00 in holiday and vacation pay exceeds the weekly benefit amount.

D) Example 4: An individual files for benefits after a layoff. The weekly benefit amount is $130.00. The individual is entitled to receive $100.00 in vacation pay treated as wages under Section 2920.30 for that week and also receives $50.00 in wages for services performed in employment during that week. The individual's services are for less than full-time work. The individual is ineligible for benefits for that week under this subsection because the entitlement to $100.00 in vacation pay plus the receipt of $50.00 in wages for performing services for less than full-time work equals $150.00, an amount which exceeds the weekly benefit amount.

b) In addition to the ineligibility for benefits imposed by the provisions of subsection (a), an individual shall be ineligible for benefits with respect to any week in which he performs full-time work regardless of whether the amount of wages received during that week equal or exceed the weekly benefit amount because the individual is not unemployed as required by Section 239 of the Act.

Example: An individual receives $137.00 in wages for performing services in full-time work. His weekly benefit amount is $150.00. The individual is ineligible for benefits under subsection (b) even though the wages are less than his weekly benefit amount because such individual is performing full-time work. The individual would also not be eligible for reduced benefits under Sections 2920.10 and 2920.15.

c) An individual shall be ineligible for benefits with respect to any week or weeks for which such individual receives any of the following payments whose aggregate amount is equal to or exceeds his weekly benefit amount. Mere entitlement to such payments shall not render the individual ineligible under this subsection.

1. Disqualifying retirement pay under Section 2920.70.

Example: An individual receives a weekly pension of $200.00, all of which is disqualifying under Section 2920.70. The individual's weekly benefit amount is $130.00. The individual is ineligible to receive benefits under this subsection because the receipt of $200.00 in disqualifying retirement pay exceeds his weekly benefit amount.

2. Workers' compensation paid for temporary disability arising out of or in connection with employment under the laws of Illinois, of another state, or of the United States, as defined by Section 606 of the Act.

d) In addition to the ineligibility for benefits imposed by the provisions of subsections (a), (b), and (c), an individual shall be ineligible for benefits with respect to any week or weeks in which the aggregate amount of any payments treated as wages referred to in subsections (a)(1), (2) and (3), plus any of the disqualifying payments referred to in subsection (c), is equal to or exceeds such individual's weekly benefit amount.

1. Example 1: An individual receives workers' compensation payments of $60 per week for temporary disability, and the disability does not render the individual unable to or unavailable for work. The individual is also entitled to receive two days of vacation pay at $50 per day with respect to that week. The individual's vacation pay is treated as wages under Section 2920.30. The individual's weekly benefit amount is $130. This individual is ineligible for benefits under subsection (d) because the aggregate amount of the disqualifying payments for that week ($60 + $100 = $160) exceeds his weekly benefit amount.

2. Example 2: An individual receives $60.00 per week of retirement pay all of which is disqualifying under Section 2920.70 and is also entitled to receive 1 day of vacation pay at $50 per day treated as wages under Section 2920.30 with respect to that week. The individual also receives $65 in wages for performing less than full-time work during that week. The individual's weekly benefit amount is $130. Since the aggregate of his disqualifying retirement pay and his vacation pay ($60 + $50 = $110) is less than the individual's weekly benefit amount of $130, the individual is not ineligible for benefits under this subsection. Amounts paid or payable to an individual as wages for performing services for less than full-time work referred to in subsection (a)(4) do not make the individual ineligible to receive benefits in this situation because, when added to the individual's vacation pay, they do not exceed the individual's weekly benefit amount as required by subsection (a). Rather these amounts reduce the individual's benefits in accordance with the formula given in Section 2920.10. Similarly, since the individual's receipt of $60 in retirement pay is disqualifying but is not considered wages under Section 611 of the Act, these amounts reduce the individual's benefits in accordance with the formula given in Section 2920.10, but do not make the individual entirely ineligible to receive any benefits under this subsection.

3. Example 3: An individual wins a lottery prize of $1000. Since lottery prizes are not awarded for services performed by the individual for an employer, this amount would not constitute disqualifying income under this Section.

56 Ill. Adm. Code 2920.10 Reduction in Benefits Due to Receipt of Vacation Pay, Holiday Pay, Retirement Pay, and Workers' Compensation Whose Sum Is Less Than the Individual's Weekly Benefit Amount

Provided that an individual is not ineligible for benefits under Section 2920.5, whenever an individual receives or is entitled to receive any vacation pay treated as wages under Section 2920.25 or 2920.30, holiday pay treated as wages under Section 2920.35 or receives any disqualifying retirement pay under Section 2920.70 or workers' compensation during a week or weeks, and the aggregate amount of those payments is less than the individual's weekly benefit amount, the individual shall be eligible to receive with respect to that week or those weeks, benefits in an amount equal to the weekly benefit amount reduced by the sum of these payments. The reduction in benefits given by this Section does not apply when the individual receives wages for less than full-time work as defined by Section 2920.5(a)(4). In those cases, the individual's eligibility and amount of reduced benefits, if any, shall be calculated in accordance with the formula in Section 2920.15.

a) EXAMPLE: An individual received $60 in disqualifying retirement pay per week. He also receives $60 in vacation pay with respect to that week. If the weekly benefit amount was $130, he would be eligible to receive $10 in reduced benefits with respect to that week.

b) EXAMPLE: Assume the situation described in EXAMPLE in subsection (a) with the exception that the individual's disqualifying retirement pay with respect to that week is $70 instead of $60. Because the sum of the individual's retirement pay and his vacation pay equals his weekly benefit amount, the individual is ineligible to receive reduced benefits under this Section because he is ineligible to receive any benefits under Section 2920.5(d).

History

• Source: Amended at 43 Ill. Reg. 6563, effective May 14, 2019

56 Ill. Adm. Code 2920.15 Reduction In Benefits Due To Receipt Of Wages For Less Than Full-Time Work

a) Whenever an individual receives or is entitled to receive an amount of wages for less than full-time work as defined by Section 2920.5(a)(4) with respect to a week which is less than the individual's weekly benefit amount and does not receive any other disqualifying payment referred to by Section 2920.10, the individual shall be eligible to receive with respect to such week, benefits equal to the individual's weekly benefit amount reduced by that part of the wages for less than full-time work, if any, which are in excess of 50% of the individual's weekly benefit amount. Whenever benefits reduced under this section do not constitute a multiple of $1.00, the reduced benefit amount shall be raised to the next higher multiple of $1.00.

1. Example 1:

A)

If the individual's weekly benefit amount is..........................

$130.00

B)

50% of that amount is............................................................

$ 65.00

C)

If the individual's wages for less than full-time work under Section 2920.5(a)(4) are.........................................................

$ 86.00

D)

The amount by which the wages given in line 3 exceed 50% of the individual's weekly benefit amount given in line 2 is...............................................................................

$ 21.00

E)

The difference between the individual's weekly benefit amount given in line 1 ...........................................................

$130.00

and the amount given in line 4...............................................

$ 21.00

is.............................................................................................

$109.00

The amount of $109.00 represents the reduced benefits the individual is eligible to receive for that week under this subsection.

2. Example 2:

A)

If the individual's weekly benefit amount is..........................

$130.00

B)

50% of that amount is............................................................

$ 65.00

C)

If the individual's wages for less than full-time work under Section 2920.5(a)(4) are.........................................................

$ 65.00

D)

Because the individual's wages given in line 3 do not exceed 50% of the individual's weekly benefit amount given in line 2, the difference between the amount given in line 3 and the amount given in line 2 is...................

$ 0

E)

The difference between the individual's weekly benefit amount given in line 1 ...........................................................

$130.00

and the amount given in line 4...............................................

$ .00

is.............................................................................................

$130.00

The amount of $130.00 represents the benefits which the individual is eligible to receive for that week under this subsection.

b) Provided that an individual is not ineligible for benefits under Section 2920.5, whenever an individual receives wages for less than full-time work as defined by Section 2920.5(4) and, in addition to these wages, also receives any of the disqualifying payments referred to by Section 2920.10, the reduced weekly benefit amount calculated according to the formula given by subsection (a) with respect to that week shall be further reduced by the sum of such additional disqualifying payment, provided, however, that if the sum of these additional disqualifying payments plus that part of the wages for less than full-time work referred to by Section 2920.5(a)(4) which is in excess of 50% of the individual's weekly benefit amount is greater than or equal to the individual's weekly benefit amount, the individual shall be ineligible for any benefits.

1. Example 1:

A)

If the individual's weekly benefit amount is..........................

$130.00

B)

50% of that amount is............................................................

$ 65.00

C)

If the individual's wages for less than full-time work under Section 2920.5(a)(4) are.........................................................

$ 75.50

D)

The amount by which the wages given in line exceed 50% of the individual's weekly benefit amount given in line is.................................................................................

$ 10.50

E)

The difference between the individual's weekly benefit amount given in line 1 ...........................................................

$130.00

and the amount given in line 4...............................................

$ 10.50

is.............................................................................................

$119.50

F)

Since the amount given in line 5 is not a multiple of $1, it is raised to the next higher multiple of $1.................................

$120.00

G)

Amount of any vacation pay treated as wages which the individual receives with respect to that week is.....................

$ 40.00

H)

The difference between the amount of reduced benefits the individual would be eligible to receive with respect to that week given in line 6...............................................................

$120.00

and the amount of vacation pay treated as wages with respect to that week given in 7...............................................

-$ 40.00

is.............................................................................................

$ 80.00

The amount of $80.00 represents the reduced benefits the individual is eligible to receive under this subsection.

2. Example 2:

A)

If the individual's weekly benefit amount is..........................

$150.00

B)

50% of that amount is............................................................

$ 75.00

C)

If the individual's wages for less than full-time work under Section 2920.5(a)(4) are.........................................................

$ 82.00

D)

The amount by which the wages given in line 3 exceed 50% of the individual's weekly benefit amount given in line 4 is...............................................................................

$ 7.00

E)

The difference between the individual's weekly benefit amount given in line 1 ...........................................................

$150.00

and the amount given in line 4...............................................

$ 7.00

is.............................................................................................

$143.00

F)

Amount of any vacation pay treated as wages which the individual receives with respect to that week is.....................

$ 40.00

G)

Amount of disqualifying retirement pay which the individual receives during that week is..................................

$ 60.00

H)

The difference between the amount of reduced benefits the individual would be eligible to receive with respect to that week given in line 5...............................................................

$143.00

and the sum of vacation ........................................................

• 40.00

and the retirement pay with respect to that week given in lines 6 and 7...........................................................................

• 60.00

is.............................................................................................

$ 43.00

The amount of $43.00 represents the reduced benefits which the individual is entitled to receive under this subsection.

3. Example 3: Assume the facts as in Example 2 with the exception that the individual's wages for less than full-time work under Section 2920.5(a)(4) are $120.00 instead of $82.00. Since the sum of his wages for less than full-time work plus the individual's vacation pay equals $160.00 which is greater than the individual's weekly benefit amount of $150.00, the individual is ineligible to receive any reduced benefits under this Section because of the ineligibility provisions of Section 2920.5(a).

4. Example 4: Assume the same facts as in Example 2 with the exception that the individual's retirement pay is $105.00. The individual's wages for less than full-time work is $82.00, the individual's vacation pay is $40.00, and the individual's weekly benefit amount is $150.00. Although the sum of the individual's wages for less than full-time work and the vacation pay ($82.00 + $40.00 = $122.00) is less than the individual's weekly benefit amount ($150.00) and hence does not make the individual ineligible for benefits as in Example 3 and although the sum of the vacation pay and the retirement pay ($40.00 + $105.00 = $145.00) is also less than the individual's weekly benefit amount, the individual is nonetheless ineligible for benefits under subsection (b) because the sum of the vacation pay and retirement pay ($40.00 + $105.00= $145.00) plus that part of the wages for less than full-time work which is in excess of 50% of the individual's weekly benefit amount ($82.00 - $75.00 = $7.00) is greater than the individual's weekly benefit amount ($145.00 + $7.00 = $152.00).

Chapter IV Department of Employment Security

Subchapter g Ineligibility for Benefits

Part 2920 Disqualifying Income and Reduced Benefits

56 Ill. Adm. Code 2920.18 Voluntary Withholding for Federal and/or State of Illinois Income Tax

a) Whenever an individual voluntarily elects, under Section 1300 of the Act, to have monies withheld from his or her unemployment insurance benefits to cover possible federal and/or State of Illinois income tax liability, the amount of benefits subject to income tax withholding is the sum of the individual's weekly benefit amount (WBA), following any of the mandatory deductions from unemployment benefits set forth in this subsection (a), plus any spouse or dependent allowance payable under the Act. The following are the mandatory deductions:

1. Disqualifying income, including vacation pay, holiday pay, retirement pay, and workers' compensation, under Section 2920.10;

2. Wages for less than full time work payable to him or her with respect to that week that are in excess of 50% of his or her weekly benefit amount;

3. One-fifth of the individual's WBA for each day that the individual was unable or unavailable for work as required by Section 402 of the Act.

b) Whenever an individual has voluntarily elected, under Section 1300 of the Act, to have monies withheld for federal and/or State income tax from his or her unemployment benefits for a period covered by a benefit payment, the Department shall, when withholding for federal income tax, withhold 10% of the amount of benefits that are subject to withholding under subsection (a), rounded (if not already a multiple of one dollar) to the nearest dollar and, when withholding for State income tax, withhold a percentage of the amount of benefits that are subject to withholding under subsection (a) equal to the tax rate for individuals pursuant to the Illinois Income Tax Act [35 ILCS 5], rounded (if not already a multiple of one dollar) to the nearest dollar. If the product is equally near 2 multiples of one dollar, it shall be rounded to the higher multiple of one dollar. If the individual's benefits for a week, less amounts subject to recoupment under Section 2835.15 and less any involuntary deductions for child support pursuant to Section 2815.105, are less than the amount that would otherwise be withheld pursuant to this subsection, the entire amount of the benefits remaining shall be withheld. If the individual elects to have both federal and State income taxes withheld and the amount remaining is insufficient to cover both taxes, the entire amount of State tax shall be withheld before any federal tax is withheld.

1. EXAMPLE: The individual elects both federal and State income tax withholding. The individual's WBA for each of the weeks ending February 5, 2011, and February 12, 2011, is $251. The individual receives a dependents' allowance of $81 for each week. The Department will deduct for federal income tax withholding 10% of $332 for each week that equals $33.20, which, rounded to the nearest dollar, is $33. Additionally, the Department will deduct for State income tax withholding 5% (the tax rate for individuals pursuant to the Illinois Income Tax Act for the 2 weeks in question) of $332, which equals $16.60 for each week, which rounded to the nearest dollar, is $17. Accordingly, the individual will receive $564 in benefits for the 2 week period after having $66 deducted for federal income tax withholding and $34 deducted for State income tax withholding.

2. EXAMPLE: The individual elects both federal and State income tax withholding. The individual's WBA for each of the weeks ending February 5, 2011 and February 12, 2011 is $129. The individual receives a dependents' allowance of $42 for each week.

For the first week of the payment period, the individual has $90 in disqualifying vacation pay, but in the second week the individual does not have any disqualifying vacation pay.

The amount of benefits subject to federal and State income tax withholding for the first week is $129 less $90 in vacation pay, which equals $39 plus his or her dependents' allowance of $42, which totals $81. Because the individual did not receive any disqualifying vacation pay for the second week of the period, the amount of benefits subject to federal and State income tax withholding attributable to the second week is $129 plus his or her dependents' allowance of $42, which totals $171.

The Department will deduct for federal income tax withholding 10% of $81 for the first week, which equals $8.10, which, rounded to the nearest dollar, is $8. The Department will deduct for State income tax withholding 5% (the tax rate for individuals pursuant to the Illinois Income Tax Act for the 2 weeks in question) of $81, which equals $4.05, which, rounded to the nearest dollar, is $4.

The individual will receive $69 for the first week after having $8 deducted for federal income tax withholding and $4 deducted for State income tax withholding. The Department will deduct for federal income tax withholding 10% of $171 for the second week, which equals $17.10, which, rounded to the nearest dollar, is $17.

The Department will deduct for State income tax withholding 5% of $171, which equals $8.55, which, rounded to the nearest dollar, is $9. The individual will receive $145 for the second week after having $17 deducted for federal income tax withholding and $9 deducted for State income tax withholding. The individual's payment for the two week period will be $214.

3. EXAMPLE: The individual's WBA for each of the weeks ending February 5, 2011 and February 12, 2011 is $129. The amount of benefits subject to federal and State income tax withholding for each week of the two week period is $129.

10% of $129 equals $12.90, which, rounded to the nearest dollar, is $13. 5% of $129 equals $6.45, which, rounded to the nearest dollar, is $6.

In this example, assume that the individual has elected both federal and State income tax withholding, that the individual is also subject to recoupment for both weeks in an amount up to 25% of his or her WBA, which amount is $32.25 for both weeks, and that the individual is subject to a withholding order of $100 for child support for the first week.

For the first week, the Department will first recoup the entire amount of $32.25 due for that first week. $129 minus $32.25 equals $96.75. Because the individual does not have sufficient benefits to cover the full amount of child support due for that first week, the Department will deduct $96.75, the amount of benefits available for that week. The individual's payment for the two week period will not include any benefits with respect to that first week.

For the second week of the payment period, the individual is not subject to a withholding order for child support. Accordingly, the individual is eligible to receive $96.75 for the second week, the difference between the benefits payable to him or her for that week ($129) and the amount recouped ($32.25). Because the individual has elected both federal and State income tax withholding for the period covered by the payment, the Department will deduct $13 for federal income tax withholding and $6 for State income tax withholding from the individual's benefits and pay the individual the remaining $77.75.

4. EXAMPLE: Assume the same situation described in subsection (b)(3), except that the individual's withholding for court ordered child support is $90 for each week. The amount of benefits subject to federal and State income tax withholding for the two week period remains the same.

The individual has sufficient benefits for the Department to recoup the maximum amount and to deduct for child support in full for both weeks. If the individual had not elected to withhold federal and State income tax, the individual would have received $13.50, the sum of $6.75 and $6.75 for each week. Because the individual has elected federal and State income tax withholding for this period and because the benefits for the period after recoupment and child support are less than 10% plus 5% of the amount subject to withholding, the Department will deduct the entire $13.50 for income tax withholding ($12 for State income tax withholding ($6 in each week) and the remaining $1.50 for federal income tax withholding ($.75 in each week)) and not pay the individual any benefits for this period.

c) An individual's election and his or her revocation of his or her election to have monies withheld from his or her benefits for possible federal and/or State income tax liability shall be prospective only. Any decision made by the Department as to whether an individual has, under the Act, elected withholding or revoked a withholding election shall constitute a final administrative decision, subject to review under the Administrative Review Law [735 ILCS 5/Art. III].

EXAMPLE: Upon filing an additional claim during his or her benefit year, an individual elects to have federal and State income tax withheld from his or her unemployment benefits paid in 2006. His or her first benefit check covers the two-week period beginning January 8, 2006 and ending January 21, 2006. His or her WBA is $250, and the amount subject to withholding for the period is $65 (10% and 3% of $500). For each week, he or she is subject to recoupment of 25% of his or her WBA and a withholding order of $100 for child support. Consequently, his or her benefit check for the two-week period is for $110. When he or she receives his or her benefit check, he or she asks to revoke the elections, explaining he or she thought the income tax withholding would be based on a percentage of his or her WBA after recoupment and child support. While the Department, if he or she desires, will revoke his or her elections to withhold with respect to a period that has not yet ended, it will not retroactively revoke his or her elections with respect to January 8 through January 21. Elections and revocations can only operate prospectively.

History

• Source: Amended at 43 Ill. Reg. 6563, effective May 14, 2019

56 Ill. Adm. Code 2920.20 Reduced Benefits: Payment of Dependents' Allowance or Spouse's Allowance

An individual who is eligible to receive reduced benefits with respect to any week under the provisions of Section 2920.10 or Section 2920.15 shall, in addition to such benefits, be eligible to receive the full amount of any dependents' or spouse's allowance to which such individual may be entitled under Section 401 of the Act.

a) Example 1: An individual is eligible to receive $84.00 in reduced benefits with respect to a particular week under the provisions of Section 2920.10 and a dependents' allowance of $30.00. Since the individual is eligible for reduced benefits, such individual is also entitled to receive $30.00 in dependents' allowance for that week.

b) Example 2: An individual receives $140.00 in payments with respect to a week treated as wages or otherwise disqualifying under Section 2920.5. The individual's weekly benefit amount is $130.00. Since such individual is ineligible to receive any benefits, such individual is not entitled to receive any dependents' or spouse's allowance.

56 Ill. Adm. Code 2920.25 Payments Made During Shutdown for Inventory or Vacation Purposes

a) Amounts that an employer pays or holds himself liable to pay an individual as vacation pay or allowance, or as pay in lieu of vacation, or as standby pay during an announced period of shutdown for inventory or vacation purposes shall be treated as wages in amounts equal to the individual's wages for a normal work day defined in Section 2920.1. Such amounts treated as wages under this Section shall be attributed to, or deemed to be payable to the individual with respect to, the first and each subsequent work day in such period, except paid holidays, until the amount so paid or owing is exhausted. If a paid holiday occurs during the announced shutdown period, this period shall be extended by such paid holiday.

b) An employer shall announce the period of shutdown for inventory or vacation purposes by posting a notice at the place of employment or by giving other reasonable notice to its employees and the collective bargaining representative, if any, of the period during which the place of employment will be shut down for vacation or inventory. Such notice must be given at least 2 working days prior to the commencement of the shutdown.

c) An employer's announced purpose of the shutdown may be disputed by evidence showing that the shutdown was for purposes other than vacation or inventory. In such case, a determination will be made after a full investigation with respect to the disputed issue, taking into consideration the reasonableness of the period of the announced shutdown, the vacation period prevailing in the industry, the bargaining agreement, if any, and the length of previous shutdowns for vacation or inventory purposes. If it is shown that the shutdown was for purposes other than vacation or inventory, then the amounts that an employer pays or holds himself liable to pay an individual as vacation pay or allowance, or as pay in lieu of vacation, or as standby pay shall not be treated as wages under this Section. Amounts which do not qualify as wages under this Section may qualify as wages under Section 2920.30, because they are made in connection with a separation or layoff.

d) In deciding whether amounts paid or payable to the individual shall be treated as vacation pay under this Section, the actual amount of vacation leave available to the individual at the time of the shutdown is not material.

e) The fact that the period of announced shutdown for vacation or inventory purposes covered under this Section is preceded or followed by a layoff due to lack of work or a period of vacation or holiday covered under Sections 2920.30 or 2920.35 does not affect the treatment of the payments received under this Section. The existence of the situations described in subsections (d) and (e) might be relevant evidence, however, in deciding whether the announced shutdown was truly for vacation or inventory purposes under subsection (c).

1. Example 1: The employer announced a one week shutdown for inventory purposes on June 1, effective for the week beginning June 20. The individual was laid off for lack of work on May 3. If the employer's payments to the individual for the week beginning June 20, otherwise satisfy the requirements of this Section, the fact that the announced period of shutdown for inventory purposes follows a period of layoff due to lack of work does not affect the status of those payments as wages under this subsection.

2. Example 2: Assume the same situation given in the preceding example except for the additional fact that the individual is able to introduce evidence that the shutdown for the week beginning June 20, was not intended for inventory purposes but rather was scheduled because of lack of work. In this situation, the provisions of subsection (c) control in deciding whether the employer's payments to the individual are treated as wages under this Section.

56 Ill. Adm. Code 2920.30 Payments Made in Connection with Separation or Layoff As, or in the Nature of Vacation Pay, Vacation Pay Allowance or as Pay in Lieu of Vacation

a) In situations other than those described in Section 2920.25, amounts that an employer pays, becomes obligated to pay, or holds itself ready to pay the individual as, or in the nature of vacation pay, or vacation pay allowance, or as pay in lieu of vacation shall be treated as wages provided that all of the following conditions are satisfied:

1. The amounts are paid or payable "in connection with" the separation or layoff of the individual. Amounts are paid or payable "in connection with" the separation or layoff of the individual for the purposes of this Section whenever there is a relationship between such payments and the separation or layoff. Evidence of a relationship is provided by the employer's pay plan or by the labor-management agreement.

A) EXAMPLE: The individual is entitled to receive two weeks of vacation pay on the anniversary date of employment that occurs on June 1. The employer is required to make payment for that date. The individual along with other employees is laid off for an indefinite period beginning June 1. The individual files for benefits for the week beginning on June 1 and the employer files a timely protest contending under Section 610(B) of the Act that its liability to pay the individual's two weeks of vacation pay renders the individual ineligible to receive benefits with respect to that two week period. The individual is not ineligible to receive benefits under this subsection because the employer's liability to make those vacation payments is not "in connection with" the layoff. No relationship exists between the employer's liability to make vacation payments and the individual's layoff. The connection that does exist is purely fortuitous.

B) EXAMPLE: Under the terms of the labor-management agreement, the individual is entitled to receive two weeks of vacation pay on June 1. The labor-management agreement also provides that in the event of any layoff or separation, that occurs prior to June 1, the employer's liability for accrued vacation pay shall be accelerated to the period immediately subsequent to the effective date of the individual's layoff or separation. The individual, along with other employees, is laid off for an indefinite period beginning May 15. If the protest is timely, the individual is ineligible to receive benefits under this subsection with respect to the two week period beginning May 15, because the employer's liability to make vacation allowance payments is "in connection with" the individual's layoff. The labor-management agreement regarding the acceleration of vacation payments is conditioned upon the individual's layoff or separation. The occurrence of the layoff on May 15 fulfills this condition. Accordingly, a connection exists between the employer's liability to make accelerated vacation payments and the layoff of the individual, a connection that is not merely fortuitous, unlike the situation described in the EXAMPLE in subsection (a)(1)(A).

2. Within 10 calendar days after the date the notice of the filing of an individual's claim for benefits is mailed or within 10 calendar days after the date vacation pay is paid or payable, the employer notifies the Director by returning the Notice of Claim form (ADJ030F) or submitting a letter in lieu thereof which:

A) Designates the period for which the payments shall be allocated; and,

B) Specifies the amount of vacation pay allocated to the designated period.

EXAMPLE: The individual is laid off on June 1. Under the employer's pay plan, the individual receives hisvacation pay two weeks after his last day of work. The notice of the filing of the individual's claim for benefits is mailed on June 4. The individual's vacation pay is received June 15. The employer files an ADJ030F on June 20. Although the ADJ030F was not filed within 10 calendar days after the mailing of the notice of the individual's claim for benefits, it is still timely under this subsection (a)(2) because it was filed within 10 calendar days after the date the individual's vacation pay was paid.

3. There must be a reasonable relationship between the period of vacation designated by the employer and the amount of vacation pay allocated to that period. The relationship shall be considered reasonable if:

A) The period designated by the employer immediately follows the last day worked by the individual;

B) The period designated by the employer immediately follows the date of the individual's claim for benefits;

C) It is usual and customary as a matter of company policy for the vacation payments to accrue during the period designated, even when the period does not immediately follow the last day worked; or

D) The allocation of vacation payments to the period designated is pursuant to a collective bargaining agreement with the employer.

b) Amounts that an employer pays, becomes obligated to pay, or holds itself ready to pay the individual as, or in the nature of vacation pay, or vacation pay allowance, or as pay in lieu of vacation which constitute wages under subsection (a) shall be treated as wages in sums equal to the individual's wages for a normal workday. The amounts treated as wages under this Section shall be attributed to, or deemed to be payable to the individual with respect to, the first and each subsequent workday in that period, except paid holidays, until the amount so paid or owing is exhausted. An employer's allocation of those amounts in a manner different from that set forth in this subsection shall be ineffective. If an individual is entitled to receive and does receive pay for a holiday for any work day in that period designated by the employer under subsection (a)(2), the period shall be extended by the paid holiday.

c) If the employer fails to comply with the conditions set forth in subsection (a), amounts paid or payable to an employee during a period of vacation shall not be treated as wages with respect to any week after the separation or layoff unless these payments shall satisfy the requirements for vacation pay during shutdown for inventory or vacation purposes treated as wages under Section 2920.25.

History

• Source: Amended at 43 Ill. Reg. 6563, effective May 14, 2019

56 Ill. Adm. Code 2920.35 Holiday Pay

a) Amounts which an individual is entitled to receive and receives for a holiday shall be treated as wages.

b) For the purposes of this Section, a holiday is defined as a day of public commemoration or celebration during which the employee performs no services pursuant to the employer's pay plan or labor-management agreement. A holiday is not limited to official legal holidays.

c) Unless the labor-management agreement or employer's pay plan stipulates otherwise, such holiday pay shall be attributed to, or deemed to be payable with respect to, the week in which the holiday occurs or is celebrated. The date on which such pay is received does not affect its allocation to the week in which the holiday occurs or is celebrated.

d) Unless the labor-management agreement stipulates otherwise, whenever the holiday falls within:

1. An announced vacation or inventory period as provided by Section 2920.25; or,

2. A designated vacation period in connection with a separation or layoff as provided by Section 2920.30;

an individual who receives holiday pay shall be deemed to have received wages for a normal work day on the day the holiday occurs or is celebrated.

Example: For the week ending November 14, an individual is entitled to 5 days of vacation pay and 1 day holiday pay for Veterans Day which occurs on November 11. The vacation pay for 4 days and the holiday for November 11 shall be deducted from the benefit week ending November 14. The vacation period, however, is extended to the next week by one day. Vacation pay for the day shall be deducted in full from the benefits for the week ending November 21.

56 Ill. Adm. Code 2920.40 Payments in Lieu of Notice of Separation or Layoff

a) Wages

1. Amounts paid or payable by an employing unit to an individual in lieu of notice of separation or layoff, except for payments related to an employer's violation of the Illinois Worker Adjustment and Retraining Notification Act [820 ILCS 65] or the federal Worker Adjustment and Retraining Notification Act (29 USC 2101 et seq.), shall be treated as wages with respect to the period of notice, provided that the following conditions are met:

A) There must be an employment agreement or a uniformly applied company policy that requires that the employing unit give the employee a definite period of notice before a layoff or separation;

B) The employee must be laid off or separated without the required notice; and

C) The employing unit must pay the employee a sum equal to his regular wages, or an amount computed in accordance with a formula based on the employee's past earnings, for the required period of the notice.

2. If the amounts treated as wages in lieu of notice with respect to a week pursuant to this subsection (a) exceed the individual's weekly benefit amount, the individual shall be ineligible to receive benefits with respect to that week.

b) Service Payments. Amounts paid or payable by an employing unit to an individual in lieu of notice of separation or layoff that do not satisfy the conditions set forth in subsection (a) shall be treated as severance pay described in Section 2920.45 except for payments that qualify as vacation pay in connection with a layoff or separation, as provided in Section 2920.30 and are not related to an employer's violation of the Illinois Worker Adjustment and Retraining Notification Act or the federal Worker Adjustment and Retraining Notification Act.

History

• Source: Amended at 29 Ill. Reg. 1935, effective January 24, 2005

56 Ill. Adm. Code 2920.45 Severance Pay

a) Amounts paid or payable to an individual for past services rendered by the individual to an employer or amounts paid or payable to an individual for pension or seniority rights lost upon separation or layoff shall be considered severance pay. Such pay shall not be considered wages payable or attributable with respect to the period subsequent to the individual's separation or layoff. Amounts paid or payable to the individual as severance pay shall not render the individual ineligible to receive benefits under Section 2920.5. The nature and purpose of such payments, rather than their characterization, shall determine whether or not such payments are considered severance pay under this Section.

b) For the purpose of this Section, the status of payments as severance pay is not altered by the fact that:

1. Such payments are voluntary; or that,

2. Such payments are made periodically rather than in the form of a lump sum.

A) Example 1: An employer's separation pay program provides for a lump sum payment based on the length of service. The purpose of the payment is to allow the individual to maintain his standard of living while he seeks other work. The individual performs no services after his date of separation. This lump sum payment constitutes severance pay under this Section and hence is not disqualifying.

B) Example 2: The individual was notified that he was to be terminated from employment on April 17. The individual worked on the employer's premises until April 6 but performed incidental services to the employer from April 6 through April 17 by telephone in training a replacement. The wages received from April 6 through April 17 are not severance pay. Because the individual performed some services and received wages for the period April 6 through April 17, he was not unemployed under Section 239 of the Act and hence not eligible for benefits under the Act.

56 Ill. Adm. Code 2920.48 Residual Payments

Residual payments constitute remuneration for personal services and, therefore, must be deducted from unemployment insurance benefits as provided in Section 402 of the Act. However, residual payments are attributable only to the weeks in which the personal services were actually performed and, therefore, are deductible only from those weeks.

Example: During the week ending March 2, 1991, an individual performs in a commercial. This commercial is scheduled to air on television every Friday from March 8, 1991 until May 24, 1991. As compensation for his performance, the individual will receive residual payments every time that the commercial is aired. These residual payments constitute remuneration for personal services for the week ending March 2, 1991 only. If this individual claims unemployment insurance benefits for that week, the residual payments shall be deducted from his benefits as provided in Section 402 of the Act.

History

• Source: Added at 15 Ill. Reg. 11416, effective July 30, 1991

56 Ill. Adm. Code 2920.50 Back Pay Awards

a) An individual who receives a "back pay award" as a result of a decision by the National Labor Relations Board, a court of law, any other governmental agency, in accordance with the employer's grievance procedure, if any, or in voluntary settlement of any back pay dispute is considered to have received wages for services under the Act and hence is ineligible for benefits during any week of the period covered by the back pay award in which the amount of the back pay award equals or exceeds the individual's weekly benefit amount. If the amount of back pay attributable to any week covered by the back pay award is less than the individual's weekly benefit amount, the individual may be eligible for reduced benefits under Section 2920.10.

b) Whenever an individual's back pay award is accompanied by any additional amounts awarded as a penalty, those amounts are not considered wages and do not affect an individual's eligibility for benefits under this Part.

History

• Source: Amended at 43 Ill. Reg. 6563, effective May 14, 2019

56 Ill. Adm. Code 2920.55 Receipt of or Filing for Unemployment Insurance Benefits Under the Laws of Another State, Canada, or the United States

a) An individual shall be ineligible to receive benefits with respect to any week or weeks for which such individual received unemployment insurance benefits under the laws of the United States, another state, or Canada.

b) Subject to subsection (c), an individual shall also be ineligible to receive benefits with respect to any week or weeks for which such individual is seeking unemployment insurance benefits under the laws of the United States, another state, or Canada.

c) An individual who is ineligible for benefits under subsection (b) becomes eligible to receive benefits with respect to any week or weeks for which such individual has sought benefits under the laws of the United States, another state, or Canada once the unemployment insurance administration agency of the United States, another state, or Canada where the individual's claim for benefits was filed makes a final determination that the individual is not entitled to receive unemployment insurance benefits under their laws.

56 Ill. Adm. Code 2920.60 Supplemental Unemployment Benefits (sub Pay)

Supplemental unemployment benefits paid or payable to individuals laid off by an employer under a plan intended to augment unemployment insurance benefits received under the Act shall not render the individual to whom such supplemental benefits are paid or payable ineligible to receive benefits, provided that all of the following conditions are satisfied:

a) The individual is otherwise eligible to receive benefits under the Act; and,

b) Payment of supplemental benefits is made under a trust agreement or other contractual plan which grants the individual a vested right to receive these supplemental payments once the conditions set forth in the trust agreement or contractual plan have been satisfied; and,

c) The trust agreement or plan treats each individual of a class of employees similarly.

56 Ill. Adm. Code 2920.65 Retirement Pay

a) For the purposes of this Part, retirement pay is defined as any pension, annuity, or other similar payment made to an individual:

1. That is either paid or could have been paid on a periodic basis on account of the individual's separation from an employing unit; and

2. Under a plan maintained or contributed to by an organization or individual for whom the individual performed services during his or her base period or for which the organization or individual, including those that have elected to make payments in lieu of paying contributions, is chargeable for any benefit payments made to the individual, pursuant to Section 1502.1 of the Act.

b) Nothing in this Section shall prohibit payments from a plan maintained and operated by a union from constituting retirement pay provided that those payments otherwise satisfy the requirements of subsection (a).

c) A lump sum payment to an individual on account of his or her separation from an employing unit shall constitute retirement pay, as defined by this Section, if this lump sum payment could have been paid on a periodic basis at the option of the individual; provided, however, that the individual's receipt of the a lump sum payment also satisfies the requirements of subsection (a)(2).

EXAMPLE: A lump sum payment made to an individual on account of his separation shall not constitute retirement pay under this Section when the individual did not have the option to receive those payments on a periodic basis. It should be noted, however, that under Section 2920.70(c), the lump sum payments shall be considered disqualifying income with respect to the week in which they are paid.

History

• Source: Amended at 43 Ill. Reg. 6563, effective May 14, 2019

56 Ill. Adm. Code 2920.66 Payments to an Election Judge

The compensation paid to an election judge by a Board of Elections constitutes remuneration for personal services and, therefore, must be deducted from unemployment insurance benefits as provided in Section 402 of the Act, and service as an election judge also constitutes bona fide work for the purpose of Section 607 of the Act.

History

• Source: Added at 15 Ill. Reg. 11416, effective July 30, 1991

56 Ill. Adm. Code 2920.68 Payments by a Labor Union

a) Payments made by a labor union to an individual for picketing at an employing unit's place of business or for conducting negotiations on behalf of the labor union are wages under Section 234 of the Act because the individual is performing a service for the labor union.

EXAMPLE: A labor union is engaged in a labor dispute with a certain employer. Because this particular union represents only a small portion of the employer's total work force and because of the vast size of the employer's facility, it is not possible for the union's own members to set up a meaningful picket line at this facility. For this reason, the union hires non-members to assist in picketing the facility. Their remuneration constitutes wages under Section 234 of the Act. However, the union does not pay its own members for picketing; instead, they receive what is called "strike pay". However, this is money that is available to members to sustain them during the labor dispute and is not tied to the amount of time that they spend on the picket line. This money is not wages under Section 234 of the Act.

b) Strike benefits or welfare fund payments made to members of a labor union during a labor dispute in order to sustain the members during the period of the dispute are not wages as they are not payments for services performed for the labor union.

History

• Source: Amended at 43 Ill. Reg. 6563, effective May 14, 2019

56 Ill. Adm. Code 2920.69 Jury Service

a) Compensation paid for mandatory jury service (see 56 Ill. Adm. Code 2732.210) is not remuneration for personal services and, therefore, shall not constitute wages for the purpose of Section 402 of the Act nor shall mandatory jury service constitute bona fide work for the purpose of Section 607 of the Act.

b) Compensation paid for voluntary jury service, such as for a Coroner's jury, is remuneration for personal services and, therefore, does constitute wages for the purpose of Section 402 of the Act. Such voluntary service also constitutes bona fide work for the purpose of Section 607 of the Act.

History

• Source: Added at 15 Ill. Reg. 11416, effective July 30, 1991

56 Ill. Adm. Code 2920.70 Retirement Pay Considered Disqualifying Income

a) The entire amount of payments made to an individual constituting retirement pay under Section 2920.65 shall be considered disqualifying income if:

1. These payments are from any individual or organization that has paid all of the cost of the individual's retirement pay and:

A) for which the individual performed services during his or her base period or

B) that is chargeable under Section 1502.1 of the Act, including those organizations that have elected to make payments in lieu of paying contributions, for any benefit payments made to the individual; or,

2. These payments are from a trust, annuity or insurance fund or under an annuity or insurance contract where all the premiums or contributions were paid by any individual or organization:

A) for which the individual performed services during his or her base period or

B) that is chargeable under Section 1502.1 of the Act, including those organizations that have elected to make payments in lieu of paying contributions, for any benefit payments made to the individual.

b) One-half of payments made to an individual constituting retirement pay under Section 2920.65 shall be considered disqualifying income if the individual or organization referenced in subsection (a) has paid some, but not all, of the cost of the individual's retirement pay or some but not all of the premiums or contributions paid to the trust, annuity or insurance fund or for the annuity or insurance contract.

1. EXAMPLE: Payments from independent pension plans established and funded entirely by the individual, such as individual retirement accounts (IRA) or Keough plans, are not disqualifying within the meaning of this Section because the employer pays no part of the cost of the IRA or Keough plan.

2. EXAMPLE: The individual contributes to a retirement plan at a fixed rate of 25%. The employing unit contributes the remaining 75%. Since part of the total contributions to the plan is provided by the employer, 50% of each retirement payment is disqualifying income.

3. EXAMPLE: The individual and the employing unit make variable contributions to a retirement plan. However, upon maturity of the plan, the individual has contributed 40% of all of the contributions and the employing unit has contributed the remaining 60%. Since part of the total contributions to the retirement plan is provided by the employer, 50% of each retirement payment is disqualifying income.

4. EXAMPLE: The individual belongs to a retirement plan maintained and operated by the union. The employer contributes 60% of the cost of maintaining and operating the plan, the union contributes 5%, and the individual contributes the remaining 35%. Since part of the total contributions to the retirement payment is provided by the employer, 50% of each retirement payment is disqualifying income.

c) Notwithstanding subsections (a) and (b), lump sum payments made on account of retirement that the individual had no option to receive on a periodic basis, or those lump sum payments that the individual had an option to receive on a periodic basis but of which the employer fails to notify the Director as required under Section 2920.75(d), shall be considered disqualifying income under this Section with respect to the week in which they are paid.

d) For purposes of subsections (a) and (b), the successor to an individual or organization is considered to be the individual or organization.

History

• Source: Amended at 43 Ill. Reg. 6563, effective May 14, 2019

56 Ill. Adm. Code 2920.75 Allocation of Retirement Pay

a) Whenever an individual has received or will receive amounts as retirement pay as defined by Section 2920.65 for a half month period, an amount shall be deemed to have been paid the individual for each day equal to one-fifteenth of such amounts.

b) Whenever an individual has received or will receive amounts as retirement pay as defined by Section 2920.65 for a one month period, an amount shall be deemed to have been paid the individual for each day equal to one-thirtieth of such amounts.

c) Whenever an individual has received or will receive amounts as retirement pay as defined by Section 2920.65 for any other period, an amount shall be deemed to have been paid the individual for each day in the period equal to the amounts of retirement pay divided by the number of days in the period.

d) Whenever an individual has received or will receive a lump sum amount which constitutes retirement pay under Section 2920.65, and if the retirement pay could have been received on a periodic basis at the option of the individual, an amount shall be deemed to have been paid the individual for each day in the period for which a periodic payment could have been received, provided that the employer has satisfied the notice requirement of this subsection. The amount deemed to have been paid shall be allocated in accordance with the formulas in subsections (a), (b) or (c) above, as appropriate. Within 10 calendar days after notification of the filing of the individual's claim for benefits, the employer must designate by notice to the Director the periodic basis on which the individual could have received the retirement pay, the amount that the individual could have received each period and the duration for which periodic payments could have been made. Failure to so notify the Director shall result in such lump sum payment being treated as disqualifying only for the week in which it was paid under Section 2920.70(c).

Example 1: An individual retires from Company A. In accordance with the company's retirement plan, the individual has the option to receive a lump sum payment of $300,000.00 or a monthly annuity of $3,000.00 for the rest of his life. The individual chooses to receive the lump sum. The individual then files a claim for benefits. If the company notifies the Director within 10 calendar days after notification of the individual's claim for benefits, designating the periodic basis on which the individual could have received retirement payments, the amount the individual could have received each period, and the duration for which the individual could have received the periodic payments, the individual's $300,000.00 lump sum retirement payment will be deemed to have been received in monthly installments of $3,000.00 and will be allocated in accordance with subsection (b).

Example 2: The same situation as that given in the preceding example except that the company fails to notify the Director within 10 calendar days after notification of the individual's claim for benefits of the individual's option to receive periodic retirement payments. The company's failure to give such notice results in the individual's receipt of the lump sum retirement payment being treated as disqualifying only for the week in which it was paid.

History

• Source: Amended at 18 Ill. Reg. 4166, effective March 3, 1994

56 Ill. Adm. Code 2920.80 Miscellaneous Forms of Retirement Pay

a) On the basis of the definitions and principles concerning retirement pay set out in Sections 2920.65 and 2920.70, an individual's receipt of payments from the following sources shall be considered 100% disqualifying income:

1. All profit sharing plans funded entirely by the individual or organization for whom the individual performed services that constitute retirement pay under Section 2920.65;

2. All federal military service pensions if the United States military service paid wages to the individual during his or her base period;

3. All pensions under the Railroad Retirement Act of 1974 (45 USC 231-231t) if an organization covered under that Act paid wages to the individual during his or her base period.

b) On the basis of the definitions and principles relating to retirement pay set out in Sections 2920.65 and 2920.70, an individual's receipt of payments from the following sources shall be considered 50% disqualifying income:

1. Federal civilian employment pensions if the individual was paid for federal civilian services during his base period;

2. All State or local government retirement or disability pensions if the individual performed services during his or her base period for the State or the local governmental entity that funded the pension, or if the State or the local governmental entity is chargeable under Section 1502.1 of the Act, including an entity that has elected to make payments, in lieu of paying contributions, for any benefit payments made to the individual.

c) On the basis of the definitions and principles concerning retirement pay set out in Sections 2920.65 and 2920.70, an individual's receipt of payments from the following sources shall not be considered disqualifying income:

1. An independent pension or retirement plan that was fully paid for by the individual;

2. Social Security benefits payable to a surviving spouse or dependent, not attributable to the previous work of the surviving spouse or dependent;

3. Veterans Administration compensation payments that are not federal military service pensions;

4. Any federal (military service or civilian employment) disability payments if they are not part of a retirement plan;

5. Payments from IRA and Keough Accounts;

6. A pension or retirement plan funded by an individual or organization, including one that has elected to make payments in lieu of contributions, that is neither chargeable, pursuant to Section 1502.1 of the Act, for any benefits paid to the individual nor for which the individual performed services during his or her base period.

7. Social Security retirement pensions and disability payments based on the individual's employment, including those based on self-employment.

History

• Source: Amended at 45 Ill. Reg. 10834, effective August 23, 2021

56 Ill. Adm. Code 2920.85 Conformity with Federal Unemployment Tax Act

In order to assure full state tax credit against the tax imposed by the Federal Unemployment Tax Act, (26 U.S.C. 3301 et seq) the rules relating to retirement pay shall be interpreted in conformity with the requirements of the Federal Unemployment Tax Act as interpreted by the U.S. Secretary of Labor or other appropriate Federal agency.

Subchapter h Employment Service

Part 2960 General Provisions

56 Ill. Adm. Code 2960.100 Disclosure of Information

a) General labor market information obtained pursuant to the administration of the Illinois Employment Service, including but not limited to information concerning employment opportunities, employment levels and trends, and labor supply and demand, may be published and released to applicants registered for work by the Employment Service, to employing establishments, and to the public, provided that the publication or release does not include information identifiable to specific applicants or employing establishments.

b) An applicant registered for work by the Employment Service, or an employing establishment, shall be supplied with information obtained pursuant to the administration of the Employment Service to the extent necessary for the proper and efficient performance of recruitment, placement, employment counseling and other functions of the Employment Service.

c) A claimant for benefits, training allowance, or other payments under a State or federal law relating to a system of unemployment insurance, vocational training or trade readjustment allowances, or his or her duly authorized representative, shall be supplied with information from the files and records of the Employment Service to the extent necessary for the proper presentation of his or her claim or the determination of his or her present or prospective rights to the payments.

d) Information obtained pursuant to the administration of the Employment Service shall be made available to:

1. The United States Secretary of Labor, or other appropriate federal agency administering the Social Security Act (42 USC ch. 7), the Area Redevelopment Act, the Job Training Partnership Act, the Trade Expansion Act of 1962 (19 USC 1801 et seq.), the Workforce Innovation and Opportunity Act (29 USC 3101 et seq.), any successor legislation to any of the foregoing or any other federal Act relating to the vocational training of unemployed or underemployed workers;

2. The Railroad Retirement Board;

3. The Internal Revenue Service of the United States Department of the Treasury; and

4. The Department of Revenue of the State of Illinois.

e) Information obtained pursuant to the administration of the Employment Service shall be furnished, if permitted under Section 1900 of the Unemployment Insurance Act (Act) [820 ILCS 405], to any public officer or public agency of this or any other State or the federal government dealing with the administration of a law in relation to:

1. Relief or public assistance;

2. Unemployment Insurance;

3. A system of public employment offices;

4. Fair employment practices;

5. Wages and hours of employment;

6. A program of public works;

7. A pension or retirement system;

8. Vocational rehabilitation.

f) Information received pursuant to the administration of the Employment Service shall be furnished to:

1. An official or officer of a public school, college or university, or a placement official of a private college or university, but only to the extent necessary for the efficient employment counseling, vocational guidance and placement of an applicant registered for work by the Employment Service;

2. A private social or welfare agency, but only if the information has a direct bearing upon the vocational adjustment or employability of an applicant registered for work by the Employment Service, and only to the extent necessary for the proper and efficient discharge of the placement and counseling functions of the Employment Service.

History

• Source: Amended at 43 Ill. Reg. 6583, effective May 14, 2019

56 Ill. Adm. Code 2960.105 Disclosure of Information for Use in Employment, Training and Educational Programs Administered by State and Local Governmental Social Welfare Agencies

a) For the purpose of implementing and administering employment, training, educational and social welfare programs, any agency of this State, as defined by Section 1-20 of the Illinois Administrative Procedure Act (IAPA) [5 ILCS 100] or any other state, any local government of this State, as defined by Section 3(a) of the State Mandates Act [30 ILCS 805], or any agency of the federal government, as defined by sections 551(1) and 552(f) of the federal Administrative Procedures Act (5 USC 551(1) and 552(f)) that trains, educates, grants funds for training or education, engages in research for educational or training purposes, places in employment, provides public assistance payments, provides social welfare services, or any other related service of the State shall be deemed to be a public agency of this or any other State or the federal government dealing with the administration of relief, public assistance, a system of public employment offices, as provided in Section 1900 of the Act.

b) Pursuant to Section 1900 of the Act, the IDES Director shall provide those agencies and local entities, information from the files of the Department as the Director deems proper, based upon the written request (i.e., intended use and legal basis for that use, format or forms of data, and schedule for delivery of data) of the agency or entity, to provide outreach and recruitment, assist in intake, determine eligibility, monitor program outcome or evaluate the success of the various services delivered by their employment, training, educational or social welfare programs.

1. EXAMPLE: A State agency administers the federal employment and training funds received by Illinois under the federal Workforce Innovation and Opportunity Act . These funds are subgranted to local workforce development areas that recruit, assess, train and place disadvantaged individuals in unsubsidized jobs. In order to assist in performing these functions, the Director, upon written request, will provide the State agency with identifying information about individuals who qualify for the services that it and its subgrantees can provide. The State agency can provide this information to its subgrantees subject to the execution of shared data agreements with the Department.

2. EXAMPLE: Public educational institutions and public training institutions might be in need of accurate data to help them determine the relative success of their educational and training programs. Upon written request, the IDES Director shall provide to these institutions data that are available to determine increases or decreases in individual wages, duration of employment, if and when the individual filed for unemployment insurance, or other educational or training related factors.

3. EXAMPLE: A State economic development agency seeks to attract new manufacturers to this State. This agency requests current information on the number, size and type of major potential suppliers and subcontractors in a given geographical area. Upon written request, the IDESDirector will provide the data to the agency.

4. EXAMPLE: The Illinois Department of Human Services- Division of Rehabilitation Services (DORS) is attempting to contact specific groups of potential employers for their newly trained clients. Upon written request, the IDES Director can provide DORS with a mailing list of companies that are experiencing growth or whose records indicate other factors that might lead to the hiring of the DORS clients. A similar outreach effort could be made on behalf of welfare recipients, ex-offenders, youth or the aging.

c) General administrative data and labor market information, including but not limited to information concerning employment opportunities, levels and trends, labor supply and demand and related statistical data, shall be available to both private and public agencies and individuals. Except as provided in subsections (a) and (b), this information shall not allow for the identification of a specific employing unit or individual.

d) Unless statutorily excluded, the Director shall require payment of the costs incurred in providing the requested information if the Director incurs additional costs in processing the information that are greater than the cost of recovery and the Department does not receive some offsetting benefit (see example) from providing the data.

EXAMPLE: A local government, upon written request, asks the Director to provide a mailing list of all unemployed individuals in its service area who might meet certain eligibility criteria for a training program it will sponsor. Since those mailing lists are not regularly prepared by the Director, the Director may negotiate with the entity regarding the reimbursement of costs for preparing the list, or the Director may provide the list without charge if, for example, the local entity would agree to provide similar data and/or services in return.

History

• Source: Amended at 43 Ill. Reg. 6583, effective May 14, 2019

56 Ill. Adm. Code 2960.110 Disclosure of Information for Use by Governmental Agencies Participating in Public Works and Related Programs

a) For the purposes of a governmental public works program, any State agency, as defined by Section 1-20 of the IAPA and/or federal agency, as defined by sections 551(1) and 552(f) of the federal Administrative Procedure Act or local government, as defined in Section 3(a) of the States Mandates Act receiving public works funding shall be deemed to be a public agency of this or any other state, dealing with a public works program as provided in Section 1900 of the Act.

b) Pursuant to Section 1900 of the Act, the Director shall provide the agencies and local entities, upon their written request (i.e., intended use and legal basis for that use, format or form of data, and schedule for delivery of data), the information the Director deems proper based upon the written request for planning, development, administration, participation, operation, monitoring and evaluation of a public works or related program.

1. EXAMPLE: The Illinois Department of Transportation is attempting to determine where the growth of industry will occur in a region of the State and the nature of that industry for the purpose of road repair/construction and related infrastructure improvements. This data will be incorporated into a community/county profile currently developed by a regional planning commission comprised of units of local government. The commission will use the profile to enhance the area's image with potentially new and expanding businesses as well as its efforts to obtain federal public works funding. Upon written request from either the commission or the Department of Transportation, the Director will provide information to chart the growth and decline of specific types of employers in the region including their migration from the urban central city to the suburban areas and the recently developed exurban communities.

2. EXAMPLE: A county housing authority is preparing a grant application for federal funds to rehabilitate existing low income housing and expand available housing through new construction in scattered sites. Upon written request from the authority, the Director will provide wage data for specific construction and other occupations to be used in preparing the grant application and also data on the available labor pool, the severity of unemployment and a profile of the unemployed in the area.

3. EXAMPLE: A State university has been placed under contract by a State legislative commission to evaluate whether or not major state infrastructure improvement legislation should be reauthorized and its appropriation maintained or decreased. The university must be able to trace the impact of public works funding to increased numbers of jobs, business expansion and productivity and an overall trend toward higher paying and more skilled jobs. Upon written request, the Director shall supply whatever data the Department might have that would assist the university in completing its analysis.

c) General labor market information, including but not limited to information concerning employment opportunities, levels and trends, labor supply and demand as well as similar statistical data shall be available upon written request to both public and private participants involved in public works and related programs. Except as provided in subsections (a) and (b), information and data shall not allow for the identification of a specific employing establishment or individual.

d) Unless statutorily excluded, the Director shall require payment of costs incurred in providing the requested information if the Director incurs additional costs in processing the information that are greater than the cost of recovery and the Department does not receive some offsetting benefit (see the example in Section 2960.105(d)) from providing the data.

History

• Source: Amended at 43 Ill. Reg. 6583, effective May 14, 2019

56 Ill. Adm. Code 2960.115 Disclosure of Identifying Information for Job Orders Posted on the Internet

a) The Department shall provide an individual with identifying information regarding an employing establishment through an Internet-based labor exchange system if the employing establishment agrees that the information may be disclosed and if the information is obtained in the administration of the Employment Service and:

1. the Department maintains the system, and the system indicates that the individual's qualifications match the requirements for filling a job opening with the employing establishment; or

2. the system is maintained by an entity other than the Department, and the employing establishment has a job opening posted on the system.

b) The Department shall provide an employing establishment with identifying information regarding an individual through an Internet-based labor exchange system if the individual agrees that the information may be disclosed and if the information is obtained in the administration of the Employment Service and:

1. the Department maintains the system, and the system indicates that the individual's qualifications match the requirements for filling a job opening with the employing establishment; or

2. the system is maintained by an entity other than the Department, and the individual is registered on the system.

History

• Source: Added at 24 Ill. Reg. 15049, effective September 28, 2000

56 Ill. Adm. Code 2960.120 Disclosure of Information to One-Stop Partners

The Department shall provide a one-stop partner under section 121 of the federal Workforce Innovation and Opportunity Act with information obtained in the administration of the Employment Service, to the extent the partner is providing services through a one-stop delivery system in Illinois or participating in the operation of such a system in Illinois.

History

• Source: Amended at 43 Ill. Reg. 6583, effective May 14, 2019

Subchapter i Extended Benefits

Part 2970 Periods of Extended Benefits

56 Ill. Adm. Code 2970.1 Extended Benefit Period and High Unemployment Period During Covid-19 Pandemic

As of the week beginning December 27, 2020, notwithstanding Section 409(A)(1) of the Act, the extended benefit period beginning May 24, 2020 by virtue of the trigger specified in Section 409(A)(2)(b) of the Act being met remained in effect without lapse, and the high unemployment period beginning July 5, 2020 by virtue of the trigger specified in Section 409(F)(2) of the Act being met remained in effect without lapse. Thereafter, the extended benefit period as described above shall remain in effect through the third week after the first week for which the trigger specified in Section 409(A)(2)(b) of the Act is not met, and benefits payable under the high unemployment period remained in effect until February 20, 2021 under the trigger specified in Section 409(F)(2) of the Act.

Chapter XI Human Rights Commission

Part 5210 Joint Rules of the Human Rights Commission and Department of Human Rights: Rules on Sex Discrimination in Employment

56 Ill. Adm. Code 5210.10 Purpose and Coverage

In this part, the Department of Human Rights and the Human Rights Commission set forth their interpretations of the provisions of Section 2-102 of the Illinois Human Rights Act ("Act"), (Ill. Rev. Stat. 1983, ch. 68, par. 2-102), prohibiting discrimination in employment because of a person's sex. The prohibitions against sex discrimination in Section 2-102 apply to all units of State and local government in Illinois, to all private employers having contracts with the State or local governments, to all other private employers with fifteen or more employees, and to all employment agencies and labor organizations (see Sections 2-101(B), (C), and (D) of the Act, Ill. Rev. Stat. 1983, ch. 68, par. 2-101(B), (C) and (D)). Section 2-102 forbids covered employers to discriminate based on sex "with respect to Recruitment, Hiring, Promotion, Renewal of Employment, selection for training or apprenticeship, discharge, discipline, tenure or terms, privileges or conditions of employment". In addition to their obligations as employers, Section 2-102 enjoins employment agencies and labor organizations from discriminating in classifying, referring, representing or otherwise servicing job applicants, bargaining unit members, and others. The following sections are the Department's and the Commission's Rules on the application of these prohibitions to various fact settings.

56 Ill. Adm. Code 5210.20 Recruiting

a) It is a violation of the Act for an employer or employment agency to post or publish or to place with any employment agency or publication a listing, advertisement or request for referrals which directly or indirectly expresses a preference, limitation or specification for persons of one sex, unless sex is a bona fide occupational qualification for the job involved. The placement of an advertisement for publication in a section or under a heading such as "Help Wanted – Men" or "Help Wanted – Women" constitutes an expression of such a preference, limitation or specification, and is therefore unlawful except when sex is a bona fide occupational qualification. Advertisements using terms such as "bus boy" or "girl friday" or other gender-specific titles to designate jobs are also deemed to indicate sex preference. An employer or employment agency which advertises under a name which indicates that it seeks applicants of one sex only violates the Act unless it is clear from the advertisement as a whole that applicants of both sexes are in fact solicited.

b) A newspaper, magazine or similar publication aids and abets the commission of unlawful employment discrimination, in violation of Section 6-101(B) of the Act, (Ill. Rev. Stat. 1983, ch. 68, par. 6-101(B)), when it publishes help-wanted advertisements in sex-segregated columns or sections, or when it publishes such advertisements using terminology suggesting that the positions for which applicants are sought are restricted to or appropriate for persons of one sex only. This occurs when such an advertisement is expressly addressed to persons of one sex (e.g., "mature man" or "attractive woman"), or where the ad utilizes a sex-specific job title (e.g., "repairMAN" or "salesMAN"). There is no violation of the Act if sex is a bona fide occupational qualification for the job in question.

56 Ill. Adm. Code 5210.30 Employment Agencies and Referral Services

a) Any employment agency which restricts the availability of its services or which maintains separate files, listings or referral systems based on sex, is in violation of the Act except to the extent that sex is a bona fide occupational qualification for the job involved.

b) An employment agency which accepts an order or request for referrals expressing a specification or preference for persons of a particular sex, commits an unfair employment practice unless sex is a bona fide occupational qualification for the job involved.

56 Ill. Adm. Code 5210.40 Pre-Employment Inquiries

An application form or other inquiry made of an applicant for employment or for membership in a labor organization or for an apprenticeship program which expresses directly or indirectly any preference, limitation or specification as to sex is unlawful unless sex is a bona fide occupational qualification for the position involved.

56 Ill. Adm. Code 5210.50 Discrimination in Compensation

It is a violation of the Act for an employer and/or labor organization to discriminate based upon the sex of an employee, or the predominant sex of a group of employees, in negotiating or establishing the wages, benefits or other compensation to be made to such employee(s). An employer may not differentiate based on sex among employees performing the same or substantially the same work under like working conditions in fixing the employees' wages and benefits. The preceeding language shall not be construed to be an expression of the position of the Department or the Commission on whether it is a violation of the Act for an employer and/or labor organization to fail to accord comparable wages to positions which are comparable in worth or contribution to the enterprise, where the positions do not entail the same or substantially similar work, and where there is no evidence that considerations of sex influenced establishment of the wage levels.

56 Ill. Adm. Code 5210.60 Seniority Rosters and Lines of Progression

It is a violation of the Act for an employer or labor organization to classify jobs by sex. It is also a violation of the Act to establish a system of classification, seniority or progression, even if sex is not mentioned, if the system operates as a form of classification by sex or impedes the advancement by persons of one sex into certain jobs unless the criteria involved in the classification scheme are bona fide occupational qualifications for jobs in question. It is not a violation for an employer and/or labor organization to maintain separate selection or eligibility lists for apprenticeship or other training programs, based upon sex, where necessary to observe the terms of a quota selection system duly imposed by a judicial or quasi-judicial ruling or a bona fide voluntary affirmative action program. In determining whether such voluntary affirmation action program is bona fide the facts to be considered shall include, but are not limited to:

a) Is the program designed to break down old patterns of discrimination;

b) Does the plan unnecessarily trammel the rights of other employees; and

c) Is the plan a temporary measure and designed to remedy a minifest imbalance.

56 Ill. Adm. Code 5210.70 Bona Fide Occupational Qualifications

a) Section 2-104(A) of the Act, (Ill. Rev. Stat. 1983, ch. 68, par. 2-104(A)), provides that it is not a violation for an employer, employment agency or labor organization to discriminate based on a criterion which constitutes a bonafide occupational qualification (BFOQ) for the particular job. This exemption is narrowly construed, and the person claiming the exemption bears the burden of establishing that it is available in the particular instance. A BFOQ is properly applied as an exclusion of an entire class of individuals on the basis of a standard that is necessary for safe and efficient job performance.

b) The following are examples of instances in which sex cannot constitute a BFOQ:

1. the refusal to select an individual for a position based on assumptions as to the comparative employment characteristics between sexes, e.g., the assumption that the turnover rate among women is higher than among men, or that women are less willing to work overtime.

2. the refusal to select an individual for a position based on a characterization attributed generally to members of either sex. Such characteristics may include, e.g., the belief that women are less capable of aggressive sales or less suited for physical labor, or that men are less adept at jobs requiring manual dexterity.

3. the refusal to select an individual because the preferences of co-workers, clients or customers run toward persons of a particular sex, or the custom or tradition has been to employ persons of a particular sex.

4. the refusal to select an individual because the employer may have to provide separate facilities for a person of the opposite sex, unless the expense would be clearly unreasonable, taking into consideration, among other factors, the cost involved, the nature of the employer's operation and the employer's ability to pay.

5. the refusal to select a woman for a position based on the belief that women with children should not work or are less reliable employees.

6. the refusal to select a woman for a position based on the fear that pregnancy may in the future render her unable to work.

c) The following are examples of instances in which sex may constitute a BFOQ:

1. where a person of a particular sex is necessary to provide authenticity or genuiness, e.g., an actor to play a male role or a woman to model feminine apparel.

2. where community standards not otherwise inconsistent with the Act demand that a person of a particular sex be selected, e.g., a male to be a men's washroom attendant, a woman to work as a fitter in a girdle or brassiere establishment.

56 Ill. Adm. Code 5210.80 Marital, Parental Status

An employer's rule or policy which restricts the employment opportunities of married women but not of married men discriminates against women because of sex in violation of the Act. Similarly, a rule or policy which restricts the employment opportunities of women (married or unmarried) with minor children, discriminates against women in violation of the Act.

56 Ill. Adm. Code 5210.90 Fringe Benefits

a) Fringe benefits, as used herein, includes medical, hospital, accident, life insurance, disability, pension and retirement benefits; profit sharing and bonus plans; leaves of absence; and other terms, conditions and privileges of employment.

b) It is a prima facie violation of the Act for an employer or labor organization to offer, contract for, or participate in a fringe benefit program which discriminates, or has the effect of discriminating, among employees or members on the basis of sex.

c) A pension or retirement plan which establishes different entrance ages or different optional or compulsory retirement ages based on sex, or which differentiates in employee or member contributions or benefits on the basis of sex, violates the Act.

d) It is not a defense under the Act to a charge of sex discrimination in fringe benefits that the cost of such benefits may be greater with respect to one sex than the other.

56 Ill. Adm. Code 5210.100 Memberships in Private Clubs

An employer which maintains a practice of purchasing, reimbursing or subsidizing memberships for any of its employees in private clubs must ensure that the practice is followed consistently among employees without regard to sex. An employer may not purchase, reimburse or subsidize an employee's membership in a club which limits its memberships based upon sex if the practice results in any disparity in overall professional status, advancement opportunities, or total compensation based upon sex.

56 Ill. Adm. Code 5210.110 Pregnancy, Childbirth and Childrearing

a) A written or unwritten policy or practice which excludes from employment applicants or employees because of pregnancy is a violation of the Act, unless the employee's pregnancy renders her physically unable to be trained for or to perform the duties of the position in question. If is also a violation for an employer to discharge an employee because she becomes pregnant.

b) Temporary disability resulting from pregnancy, miscarriage, abortion, childbirth and recovery therefrom must be considered by an employer offering leaves for other temporary disabilities to be a justification for a leave of absence for a female employee. The term and conditions of pregnancy-related disability leaves of absence may not be more restrictive, and need not be more generous, than those applied to disability leaves for other purposes.

c) Non-disability leaves of absence for the purpose of childrearing shall be granted on the same terms and conditions applied to other non-disability leaves of absence. An employer's policy or practice regarding leaves for childrearing must be applied equally to male and female employees.

d) Illness or disability caused or contributed to by pregnancy, miscarriage, abortion, childbirth, and recovery therefrom must be treated as any other temporary disability under a disability or medical benefit plan available in connection with employment. Policies and practices involving matters such as the commencement and duration of leave, the availability of extensions, the accrual of seniority and other benefits and privileges, and payment under any wage loss or insurance plan, must be applied to disability due to or related to pregnancy or childbirth on the same terms and conditions as they are applied to other temporary disabilities.

Part 5220 Joint Rules of the Human Rights Commission and the Department of Human Rights: National Origin Discrimination in Employment

56 Ill. Adm. Code 5220.100 Definition of National Origin Discrimination

a) Under section 1-103(K) of the Illinois Human Rights Act, Ill. Rev. Stat. 1985, ch. 68, par. 1-103(K), "national origin" means – "...the place in which a person or one of his or her ancestors was born."

b) An individual has been discriminated against on the basis of "national origin" if the individual has been denied equal employment opportunity because of national origin or because the individual has physical, cultural or linguistic characteristics or a name which identifies that person's national origin.

56 Ill. Adm. Code 5220.200 Unlawful Considerations

A person is the victim of "unlawful discrimination" on the basis of national origin if the person is discriminated against because of animosity directed towards individuals of a particular national origin group. A person need not be a member of the national origin group in order to be protected under the Illinois Human Rights Act, Ill. Rev. Stat. 1985, ch. 68, par. 1-101 et seq.; "the Act". The following subsections provide examples of the rule:

a) An individual is protected by the Human Rights Act if he or she is discriminated against because of marriage to or association with persons of a national origin group.

b) An individual is protected by the Human Rights Act if he or she is discriminated against because his or her name or spouse's name is associated with a national origin group.

c) An individual is protected by the Human Rights Act if he or she is discriminated against because of membership in schools, churches, temples, or mosques generally used by persons of a national origin group and the discriminatory action is motivated by the connection between the school, church temple, or mosque and the national origin group.

d) An individual is protected by the Human Rights Act if he or she is discriminated against because of membership in, or association with, an organization identified with or seeking to promote the interests of a national origin group, and the discriminatory action is motivated by the connection between the organization and the national origin group.

56 Ill. Adm. Code 5220.300 The Bona Fide Qualification Exception

The exemption stated in section 2-104(A) of the Human Rights Act, which allows discrimination if national origin is a bona fide occupational qualification will be strictly construed. The burden is on the employer to prove that no person of a particular national origin can perform the job in an acceptable manner.

56 Ill. Adm. Code 5220.400 Citizenship Requirements

In those circumstances where citizenship requirements have the purpose or effect of discriminating against an individual on the basis of national origin, they are prohibited by the Human Rights Act.

56 Ill. Adm. Code 5220.500 Pre-Employment Inquiries

An employer, employment agency or labor organization may not require a job applicant to disclose his or her national origin or ancestry, unless it can show a bona fide occupational qualification. Likewise, an employer, employment agency or labor organization may not require a job applicant to disclose his or her citizenship where a citizenship requirement would have the purpose or effect of discriminating against a person on the basis of national origin. In deciding whether a citizenship requirement is having the effect of discriminating against individuals on the basis of national origin, the Human Rights Commission and the Department of Human Rights will consider whether the percentage of the employer's workers of a particular national origin group is similar to the percentage of qualified workers of the same national origin group found in the geographical area from which the employer draws his or her workers. An analagous analysis will be applied to charges brought against employment agencies and labor organizations which have citizenship requirements. Nothing in this section shall be construed to require an employer, employment agency or labor organization to employ individuals who are not able to lawfully work in the United States (See Section 5220.600). It is not a violation of the Act for an employer, employment agency or labor organization to uniformly inquire of all applicants whether they are able to lawfully work in the United States.

56 Ill. Adm. Code 5220.600 Undocumented Workers

The Illinois Human Rights Act does not require an employer, employment agency or labor organization to employ any individual who is not able to lawfully work in the United States. The protections of the Act will, however, extend to all individuals, regardless of their ability to work lawfully in the United States. Accordingly, individuals who are not able to lawfully work in the United States will be allowed to file charges with the Illinois Department of Human Rights ("The Department"), and said charges will be processed in accordance with the law.

56 Ill. Adm. Code 5220.700 Suspect Employment Criteria

The use of selection criteria which have a disparate impact on individuals of a national origin group is unlawful, unless the criteria are justified by business necessity. It is not a defense to show that the total selection process does not have a disparate impact. The following selection criteria may have a disparate impact on national origin groups:

a) Height or weight requirements;

b) Fluency in English requirements, such as denying employment opportunities because of an individual's foreign accent or inability to communicate well in English; and

c) Training or education requirements which deny employment opportunities to an individual because of his or her foreign training or education, or which require an individual to be foreign trained or educated.

56 Ill. Adm. Code 5220.800 Speak English Only Rules

a) An employer may not have a rule requiring that employees speak only in English at all or at certain times where the rule has the purpose or effect of discriminating against individuals on the basis of national origin. It is a defense to an allegation that a "speak English" rule has a disparate impact on a particular national origin group to show that the rule is justified by business necessity.

b) It is common for an individual whose primary language is not English to inadvertently change from speaking English to speaking his or her primary language. Therefore, if an employer believes it has a business necessity for a speak-English-only rule at certain times, the employer should inform its employees of the general circumstances when speaking only in English is required and of the consequences of violating the rule. If an employer fails to effectively notify its employees of the rule and makes an adverse employment decision against an individual based on a violation of the rule, the Human Rights Commission ("the Commission") and the Department will consider the employer's application of the rule as evidence of discrimination on the basis of national origin.

56 Ill. Adm. Code 5220.900 Harassment

a) An employer has an affirmative duty to maintain a working environment free of harassment on the basis of national origin.

b) Ethnic slurs and other verbal or physical conduct relating to an individual's national origin constitute harassment when this conduct:

1. has the purpose or effect of creating an intimimating, hostile or offensive working environment;

2. has the purpose or effect of unreasonably interfering with an individual's work performance; or

3. otherwise adversely affects an individual's employment opportunities.

c) An employer is responsible for its acts and those of its agents and supervisory employees with respect to harassment on the basis of national origin regardless of whether the specific acts complained of were authorized or even forbidden by the employer and regardless of whether the employer knew or should have known of their occurrence. The Commission and the Department will examine the circumstances of the particular employment relationship and the job functions performed by the individual in determining whether an individual acts in either a supervisory or agency capacity.

d) With respect to conduct between fellow employees, an employer is responsible for acts of harassment, in the workplace on the basis of national origin, where the employer, its agents or supervisory employees, becomes aware of the conduct, and fails to take immediate and appropriate corrective action.

e) An employer may also be responsible for the acts of non-employees with respect to harassment of employees in the workplace on the basis of national origin, where the employer, its agents or supervisory employees, becomes aware of the conduct and fails to take immediate and appropriate corrective action. In reviewing these cases, the Commission and the Department will consider the extent of the employer's control and any other legal responsibility which the employer may have with respect to the conduct of such non-employees.

Part 5300 Procedural Rules

56 Ill. Adm. Code 5300.10 Definition of Terms

Where used in this Part, unless the context otherwise clearly requires:

"Act" means the Illinois Human Rights Act [775 ILCS 5].

"Administrative Law Judge" means a hearing officer appointed by the Commission pursuant to Section 8-102(D) of the Act.

"Aggrieved Party" means a person who is alleged or proven to have been injured by a civil rights violation or believes he or she will be injured by a civil rights violation under Article 3 of the Act that is about to occur. (Section 1-103(B) of the Act)

"Chairperson" or "Chair" means the chief presiding officer of the Commission, designated by the Governor.

"Charge" means an allegation of a civil rights violation filed with or initiated by the Department in accordance with the Act and this Part.

"Civil Rights Violation" means any of the acts or practices constituting civil rights violations under Sections 2-102, 2-103, 2-105(C), 3-102, 3-102.1, 3-103, 3-104, 3-105, 4-102, 4-103, 5-102, 5A-102 and 6-101 of the Act.

"Commission" means the Illinois Human Rights Commission.

"Commissioner" means any duly appointed member of the Human Rights Commission, including, unless the context otherwise requires, the Chairperson.

"Complainant" means a person who files a charge with the Department, including the Department in the case of a charge initiated by the Department itself. The term shall have the same meaning in connection with a complaint filed by the Department or by an aggrieved party with the Commission.

"Complaint" means a written complaint for hearing filed by the Department or by an aggrieved party with the Commission in accordance with the Act and this Part.

"Department" means the Department of Human Rights (DHR).

"Director" means the Director of the Department or a duly authorized designee.

"Electronic Filing" means filing a document in transferable electronic format via the internet or facsimile.

"Executive Director" means the Executive Director of the Commission or a duly authorized designee.

"Party" means a person designated as complainant or respondent in a charge or complaint.

"Person" has the meaning prescribed in Section 1-103 of the Act.

"Respondent" means a person against whom a charge or complaint is filed in accordance with the Act and this Part.

"Vice Chair" means the Commissioner, selected by the Commission to serve in that capacity, who is authorized to act in the absence of the Chairperson to ensure that vacancies do not impair the right of the remaining members to exercise all the powers of the Commission (Section 8-101(C)(3) of the Act).

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.20 Computation of Time

For purposes of computing any period of time provided for under the Act or this Part, the date of any act, event, service or default from which such period of time begins to run shall not be included. If the last day of any such period of time shall fall on a Saturday, Sunday or legal State holiday, such time period shall continue to run until the end of the next day which is not a Saturday, Sunday or legal State holiday. When the period of time prescribed or allowed is less than seven days, intermediate Saturdays, Sundays and legal State holidays shall be excluded from the computation.

History

• Source: Amended at 47 Ill. Reg. 13492, effective September 11, 2023

56 Ill. Adm. Code 5300.30 Service of Pleadings

a) Manner of Service. Unless otherwise provided, all motions, orders, notices and other pleadings required to be served under the Act or this Part shall be served either personally, electronically, or by first-class mail.

b) Proof of Service. Proof of service shall be filed when service is required. Proof of service shall consist of the statement of the individual making service, specifying the manner and date of such service and the address of each recipient. If the individual making service is not an attorney, the statement shall be verified.

c) Effective Date of Service by Mail. Service by mail is complete four days after the date of mailing stated in the proof of service.

d) Effective Date of Personal or Electronic Service. Service by personal delivery or electronic means is complete on the date of transmission stated in the proof of service.

History

• Source: Amended at 47 Ill. Reg. 13492, effective September 11, 2023

56 Ill. Adm. Code 5300.40 Filing

a) All documents and pleadings required by the Act or this Part to be filed with the Commission shall be deemed filed when received in the Commission's Chicago or Springfield office. An item properly received by mail shall be deemed to have been filed on the date specified in the applicable proof of mailing. Proof of mailing shall be made by filing with the Commission a certificate of the attorney, or the affidavit of a person who is not an attorney, stating the date and place of mailing and the fact that proper postage was prepaid. The certificate or affidavit shall be filed with the Commission at the same time the item to which it refers is filed. If the certificate or affidavit does not accompany an item filed by mail, an item received by mail shall be deemed to have been filed when postmarked, properly addressed, and posted for delivery.

b) All papers, and copies of those papers, for filing and service shall be typewritten on white paper 8½ by 11 inches. Copies may be reproduced by any printing or duplicating process providing a clear image. All filings must be unbound.

c) Each document, in an initial filing, shall bear on the first page the caption, descriptive title, and the Charge numbers assigned by the Department, and shall identify the party on whose behalf it is to be filed. All subsequent documents after the initial filing shall also include the Administrative Law Section (ALS) file number. For all documents in any matter that is proceeding under the alternative hearing procedure of Section 8A-102.5 of the Act, the words "alternative hearing procedure" and the name of the Administrative Law Judge hearing the matter shall be contained in the caption following the ALS file number. The final page of each document shall contain the name, address, and telephone number of the attorney in active charge of the case, or of the party if appearing pro se.

d) If the matter is pending before an Administrative Law Judge, the original and one copy of each document shall be filed.

e) Except for a Request for Review and documents in support of a Request for Review, if a document is to be considered by a Commission panel, then the original and one copy of the document must be filed. If the document is to be considered by the full Commission, then the original and one copy must be filed. If a document is a Request for Review or is in support of a Request for Review, then only the original must be filed. The following documents are considered documents in support of a Request for Review: motion for extension of time, response to Request for Review, reply to response to Request for Review, argument in support of Request for Review, and non-party response to Request for Review.

f) Except as otherwise provided, all pleadings and other papers required to be served on a party shall be filed as follows:

1. in matters pending before an Administrative Law Judge, such pleadings and papers shall be filed in the Commission office to which that Administrative Law Judge is assigned;

2. if the document is to be considered by a Commission panel or the full Commission, the document shall be filed with the Executive Director in the Commission's Chicago or Springfield office.

g) The office hours of the Commission are from 8:30 a.m. to 5:00 p.m. No filings filed in person will be accepted outside regular business hours.

h) Parties shall not include Social Security Numbers in documents filed with the Commission.

i) All documents filed electronically must be in PDF format.

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.50 Separability

In the event any provision or term of this Part, or any amendment thereto, is determined by a court or other authority of competent jurisdication to be invalid, such determination shall not affect the remaining provisions which shall continue in full force and effect.

56 Ill. Adm. Code 5300.210 Subpoenas

a) Issuance

1. Subpoenas shall be issued by a Commissioner to compel the attendance of a witness or the production of books, payrolls, records, correspondence, documents, papers or other evidence under the following circumstances:

A) At the instance of the Department to facilitate its investigation of a charge; or

B) At the instance of a party to the proceedings, in connection with a hearing convened pursuant to this Part; or

C) At the instance of a party to the proceedings, solely to obtain the production of books, payrolls, records, correspondence, documents, papers or other evidence from non-parties in anticipation of a hearing convened pursuant to this Part. Subpoenas issued in anticipation of a hearing may issue at any time subsequent to the time all respondents have answered the complaint or are required to answer the complaint and not prior to that time, except by agreement of the parties or with leave of the Administrative Law Judge. This Section does not confer a right on a party to take a deposition of any person.

2. Blank subpoenas may be obtained for use pursuant to this subsection by applying to the Executive Director. The applicant shall specify the charge or complaint for which the subpoena is to be used and the type of subpoena requested.

b) Witness and Mileage Fees – The cost of service and witness and mileage fees shall be borne by the person requesting the subpoena. Witness and mileage fees shall be the same as are paid witnesses in the circuit courts of the State of Illinois, as set forth in Section 4.3 of the Circuit Courts Act [705 ILCS 35/4.3].

c) Service and Contents – The person requesting a subpoena shall be responsible for its service on the subpoenaed person by personal service, by registered or certified mail or by leaving a copy at the principal office or place of business of a subpoenaed corporation or partnership. A subpoena shall be served reasonably in advance of its return date. The subpoena shall state the name and address of the person initiating its issuance, and shall identify the person or evidence subpoenaed and the person to whom, the place at which, and the date and time when it is returnable. The person requesting the subpoena shall also serve a copy of the subpoena upon all parties of record. Service of the copy of the subpoena on the parties may be by first-class mail.

d) Petition to Quash or Modify – Within 5 days after service of a subpoena on any person and service of copies of the subpoena on the parties, the person or any party may file a petition to quash or modify the subpoena, stating reasons in support of the relief. The petition shall be filed with the Commission in the case of a subpoena issued during the Department's investigation of any matter, and with the Administrative Law Judge in the case of a subpoena issued in connection with, or in anticipation of, a hearing before the Judge. A copy of the petition shall be served at the same time on the person serving the subpoena. Within 5days after service of the petition, or within any longer period that the Commission or a 3 member panel or the Administrative Law Judge may order, the serving party may file an answering statement to the petition. A hearing may be held in such a dispute at the discretion of the Commission or Administrative Law Judge. When a petition is properly filed with the Commission, the Commission may refer the question to an Administrative Law Judge for hearing, but the final decision will be by the Commission. Whenever a petition to quash a subpoena is properly filed under this Section, the petitioner shall not be required to respond to the subpoena until the petition has been ruled upon.

e) Enforcement – Whenever any person shall knowingly fail or refuse to comply with a subpoena served in accordance with this Section, the Commission, at the instance of the person serving the subpoena, shall petition the appropriate circuit court pursuant to Section 8-104(E) of the Act for an order enforcing the subpoena.

History

• Source: Amended at 34 Ill. Reg. 16373, effective October 5, 2010

56 Ill. Adm. Code 5300.220 Access to Commission Records

a) Request for Review Records – Except as otherwise provided in this Part, the record in every pending charge considered by the Commission on a request for review shall be confidential and not subject to public disclosure, provided that the parties to such a charge and the Department shall be allowed access to the record upon making suitable arrangements therefor at any time after final disposition by the Commission of the request for review.

b) Hearing Records – The official record in every Complaint before the Commission or an Administrative Law Judge shall consist of the charge, Complaint, and notice of public hearing, and all subsequent pleadings, notices, motions, evidence received, and statements of matters officially noticed, offers of proof and objections and rulings thereon, transcripts, briefs and memoranda received from the parties or the Department for the consideration of the Commission or Administrative Law Judge, orders and decisions and exceptions and responses thereto, and amendments to any of the above. The official record (except such evidence as is placed under protective order by the Administrative Law Judge or the Commission) shall be available for public inspection upon making appropriate arrangements with the Commission employee having custody of such record, at any time after issuance of the notice of hearing. The parties shall have access to the entire official record.

c) Retention of Records – The Commission shall maintain in its offices all files available for inspection by the public or a party pursuant to subsections (a) and (b), for the full period during which such file is active and for an additional period of at least two years from the date when all proceedings (including any proceedings pursuant to the Administrative Review Law [735 ILCS 5/Art. III]) have been disposed of. Final Orders and Decisions of the Commission, Final Orders of Administrative Law Judges in cases under the alternative hearing procedure, and Orders pursuant to requests for review will be retained as part of the permanent record of the Commission.

d) Copies – The Commission shall not provide copies of documents that are available for inspection by any person under this Subpart B, except to the extent that extra copies may exist in the Commission's files.

e) Place of Inspection – Inspection of any files or documents which are available for that purpose shall be permitted only at the office of the Commission at which such file or document is maintained.

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.310 Settlement Agreements

a) If terms of settlement are agreed to by the Parties to a Charge prior to the filing of a Complaint and if the terms of settlement are approved by the Department pursuant to Section 7A-103 of the Act, the proposed settlement agreement shall be filed by the Department with the Commission at its Chicago office.

b) If terms of settlement are agreed to by the Parties after a Complaint has been filed, the Parties shall submit the terms of settlement to the Administrative Law Judge assigned to the case. The Administrative Law Judge shall transmit the terms to the Commission for approval pursuant to Section 5300.320 of this Part. If there is no Administrative Law Judge assigned to the case, the Parties shall submit the terms directly to the Executive Director of the Commission.

c) Terms of settlement shall be in writing and signed by the Parties.

History

• Source: Amended at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.320 Consideration by Commission

Proposed terms of settlement shall be considered by a three-member panel of the Commission. If the proposed terms are unambiguously drawn, not inconsistent with the Act, and knowingly and voluntarily entered into, the Commission shall approve them by entering an order incorporating the terms of settlement and dismissing the charge pursuant thereto. Said order shall be served by the Commission on the Department and the parties.

History

• Source: Amended at 5 Ill. Reg. 2709, effective March 2, 1981

56 Ill. Adm. Code 5300.330 Non-Compliance

a) When the Department believes that a party has violated written terms of a settlement approved by the Commission, it may file a notice with the Commission, with service upon all parties, specifying the nature of the alleged violation and praying for an order remanding the matter for hearing or authorizing the Department to seek judicial enforcement.

b) Whenever the Department files a notice of a violation, the party allegedly violating the Commission's order may file a response with the Commission within 15 days after service of the notice upon it. A 3 member panel of the Commission shall consider the Department's notice and the response, if any, and shall enter an order, with service on the parties and the Department, which shall either direct the Department to seek judicial enforcement pursuant to Section 8-111(C) of the Act, remand the matter to an Administrative Law Judge, or find that no violation exists. If the Commission determines that a violation has occurred, it will instruct the Department to seek judicial enforcement. If the Commission is unable to determine whether a violation has occurred, it will remand the matter to an Administrative Law Judge for a hearing.

History

• Source: Amended at 34 Ill. Reg. 16373, effective October 5, 2010

56 Ill. Adm. Code 5300.400 Applicability of the Subpart

a) This Subpart D applies only to requests for review in cases in which the charge was filed after January 1, 2008. Pursuant to Section 8-103 of the Act, the Commission has jurisdiction over requests for review in cases in which the cause of action was filed on or after January 1, 2008.

b) After January 1, 2008, all requests for review received by the Department will be evaluated by Department staff to determine if the charge in the case was filed on or after January 1, 2008. If the charge was, in fact, filed on or after January 1, 2008, the staff of the Department will stamp the date the request for review was received by the Department on the face of that document and then forward it to the Commission for processing pursuant to Section 8-103 of the Act.

History

• Source: Amended at 34 Ill. Reg. 16373, effective October 5, 2010

56 Ill. Adm. Code 5300.410 Filing with Commission

A party may request review by the Commission of a decision by the Department to dismiss or default by filing a request for a review with the Commission at its Chicago office after receipt of the Department's notice of its decision. The request may be accompanied by an argument and supporting materials.

a) The Request for Review deadline is 90 days after the date of service of the Notice of Dismissal or 30 days after the date of service of the Notice of Default. If the last day falls on a Saturday, Sunday, or legal State holiday, the 90th or 30th day shall be the day after the weekend date or legal State holiday. DVD submissions and any other electronic media, such as audio or video recordings, in support of a request are not acceptable and will be returned to the sender.

b) The Request for Review, argument, and supporting materials shall not exceed 45 pages. Once a proper Request for Review is filed with the Commission by the requesting party, a Notice of the Request for Review will be immediately served on the Department of Human Rights and the non-requesting party to the Charge by the Commission. Once the Request for Review is filed, the Commission will not accept additional arguments or exhibits from the requesting party. With the exception of electronically filed PDF documents, no electronic media will be accepted.

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.420 Notice by Commission

The Commission shall notify the Department and other parties to the charge of the filing of a timely request for review. Notice to the Department shall be accompanied by a copy of the request. Only the Department and the party requesting review shall participate in any proceedings under this Subpart.

History

• Source: Amended at 5 Ill. Reg. 2709, effective March 2, 1981

56 Ill. Adm. Code 5300.430 Response by Department

a) The Department has 30 days from the date of service of the Notice of Filing Request in which to file a Response with the Commission. The Department shall serve a copy on the requesting party and all original parties to the Charge at the same time. If the Department opposes the Request for Review, its response shall consist of the following:

1. a copy of the Charge, including amendments;

2. the Department's investigation report;

3. results of additional DHR investigation, if any; and

4. a statement of DHR's position, including proposed findings to support dismissal.

b) If the Department's response indicates the Department is unopposed to the relief sought by the requesting party in its Request for Review, the Executive Director of the Commission shall enter an order vacating the dismissal or default.

c) If the Department's response indicates the Department is unopposed to the relief sought by the requesting party in its Request for Review, and the respondent on the charge files a response to the Department's response to the Request for Review, the matter shall be assigned to a panel of three Commissioners for consideration.

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.440 Reply to Response

a) The party filing the Request may, within 15 days after service of the response, file a Reply with the Commission, with service on the Department at the same time. Only Replies that are limited to addressing issues raised in the response will be considered by the Commission. Replies shall not exceed 30 pages.

b) The respondent on the charge, in case of dismissal, or the complainant, in the case of default, may file a Response to the Request for Review within 15 days after receipt of the Department's Response to the Request for Review. The Response shall be filed with the Commission, serving a copy at the same time on the party filing the Request and the Department. The Response shall not exceed 30 pages.

History

• Source: Amended at 44 Ill. Reg. 18930, effective November 23, 2020

56 Ill. Adm. Code 5300.450 Extensions of Time

a) A party may seek additional time to file an argument and material in support of a timely Request for Review or timely reply to the Department's response pursuant to this subsection. For a Request for Review and the Department’s response, one 30-day extension will be allowed through the issuance of an Executive Director order. For a reply and a non-requesting party response, one 15-day extension will be allowed through the issuance of an Executive Director order. The Department shall file its response in accordance with Section 5300.430 within 30 days after receipt of the additional argument or materials.

b) The Department may request additional time to file its response by filing a written motion with the Commission, serving a copy at the same time on the party filing the Request for Review and all parties to the original Charge. A request for additional time not exceeding 30 days shall be granted by the Commission through the issuance by the Executive Director of a written order served on the party filing the Request for Review and on the Department.

c) Any motion for an extension of time for over 30 days in matters concerning a Request for Review and the Department’s response and 15 days for a reply and a non-Requesting party response shall be considered by a Panel of three Commissioners.

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.460 Consideration of Request for Review

a) A three-member panel of the Commission will review the Request for Review and, if it agrees with the Department, it shall enter an order stating its findings and reasons.

b) In instances of default, the Commission will notify the Complainant that the Complainant has the option of having a hearing to determine damages conducted by a Commission Administrative Law Judge or the circuit court.

c) Within 90 days after the Complainant's receipt of this Order of Default, the Complainant shall elect to either commence a civil action for damages in the appropriate circuit court by filing an appropriate pleading with the circuit court in accord with court rules and procedures; or the Complainant shall file a written request with the Commission to set a hearing on damages, to be conducted in conformity with this Part. If the Complainant fails to take the affirmative steps described in this subsection to commence or set a hearing on damages, the Complainant may be deemed to have waived the right to damages. The Complainant shall serve the Respondent and the Department with notice of the commencement of the hearing on damages. If the Complainant elects to commence a civil action for damages in the circuit court, the Complainant shall also serve the Commission with notice of those proceedings.

d) Should the Commission Panel find in favor of the requesting party, it shall order that the dismissal or default entered by the Department be vacated, and, when appropriate, remanded to the Department for action consistent with the vacate order.

e) If the dismissal or default is affirmed, the matter may be appealed to the Appellate Court within 35 days after the date of service of the Commission's Final Order.

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.470 Additional Information or Referral for Hearing

a) Additional Information – Whenever the Commission determines that additional information is necessary in order for it to reach a decision on a request for review, it shall order that the Department or the party making the request file such additional information for its consideration.

b) Hearing – Whenever the Commission determines that a hearing should be held on a factual issue before it makes its decision on a request for review, it shall enter an order referring the matter to the Chief Administrative Law Judge. The order shall specify the nature and scope of the proceedings to be had. After conclusion of the proceedings, the Administrative Law Judge shall file with the Commission a report which shall include findings of fact and conclusions based thereon, serving copies at the same time on the Department and the party requesting review.

History

• Source: Amended at 5 Ill. Reg. 2709, effective March 2, 1981

56 Ill. Adm. Code 5300.480 Decision

If the Commission determines that the Department's decision should be sustained, it shall enter an order stating its findings and reasons, and, in the case of a Request for Review of a decision to default, shall further order that the matter be referred to the Department for further proceedings consistent with the Act. Otherwise, it shall order that the dismissal or default of the Department be vacated. The Commission shall cause the order to be served on the Department and all parties to the charge.

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.490 Tolling of Time Period (repealed)

History

• Source: Repealed at 33 Ill. Reg. 626, effective January 2, 2009

56 Ill. Adm. Code 5300.495 Pending Requests

All requests for review pending on the effective date of this Part shall be considered in accordance with the provisions of this Subpart D; Provided, the Department shall have thirty (30) days from the effective date of this Part to file its response in accordance with Section 5300.430.

56 Ill. Adm. Code 5300.510 General

All parties shall have the right to be represented by counsel, to be present and to participate in any hearing under this Part, except a hearing under Section 5300.470(b) of this Part in which only the Department and the party filing the Request shall participate. The right to participate shall include the rights to call, examine and cross-examine witnesses and to introduce evidence into the record.

56 Ill. Adm. Code 5300.515 Election to Proceed Under the Alternative Hearing Procedure

a) Parties may elect to proceed under the alternative hearing procedure set forth in Section 8A-102.5 of the Act. A unanimous election to proceed under the alternative hearing procedure must be stipulated in writing by all Parties.

b) For any Complaint filed with the Commission, a written election to proceed under the alternative hearing procedure must be filed with the Commission on or before 30 days after the filing of all Respondents' answers to the Complaint, unless the Chief Administrative Law Judge on motion and for good cause shown extends the time. If an extension is granted, the written election must be filed prior to the service by any Party of any discovery request, or prior to the expiration of the extension, whichever comes first.

c) Any Party may obtain from the Commission the list of the pool of Administrative Law Judges currently available for the alternative hearing procedure at the Chicago or the Springfield office by telephonic, electronic, or written request.

d) The written election to proceed under the alternative hearing procedure, signed by all Parties, shall be entitled "Stipulation of Election of Alternative Hearing Procedure Pursuant to Section 8A-102.5" and shall state:

The Parties hereby stipulate to proceed under the alternative hearing procedure set forth in Section 8A-102.5 of the Illinois Human Rights Act. The parties acknowledge that they have certain rights under the regular hearing procedure, including but not limited to more discovery and the right of appeal. The parties knowingly and voluntarily waive those rights.

The Parties hereby select Administrative Law Judge to hear this matter; or

The Parties shall inform the Commission in writing of their selection of an Administrative Law Judge within 10 days after the filing of this stipulation. The Parties hereby acknowledge that there is no right to vacate or revoke this stipulation except if the selected Administrative Law Judge becomes unavailable to issue a Final Order disposing of the Complaint.

The Parties hereby acknowledge that there shall be only limited discovery available to them as specified in Section 5300.715 of the Commission's Procedural Rules.

The Parties hereby acknowledge that there is no right of appeal from the selected Administrative Law Judge's Final Order disposing of the Complaint based upon a dispositive motion or upon the pleadings and evidence presented at hearing, and hereby waive all right of appeal except for Orders procured by fraud or duress.

e) If a selected Administrative Law Judge becomes unavailable due to death, leaving the Commission's employment or any other cause, during the proceeding of a matter and is thereby unavailable to issue a Final Order disposing of the Complaint, within 30 days after the receipt of a written notice of such unavailability from the Commission, the Parties shall inform the Commission in writing of their selection of another Administrative Law Judge to continue proceeding under the alternative hearing procedure on the matter based on the record to date. If the Parties fail to timely select a successor Administrative Law Judge, the matter shall automatically no longer continue under the alternative hearing procedure and shall be reassigned to an Administrative Law Judge by the Chief Administrative Law Judge pursuant to Section 5300.520(b).

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.520 Conduct of Hearing

a) All hearings hereunder, including hearings under the alternative hearing procedure, shall be conducted consistent with this Part by an Administrative Law Judge who shall be a licensed attorney appointed to be an Administrative Law Judge for the Commission pursuant to Section 8-102(D) of the Act.

b) The Chief Administrative Law Judge shall assign to an Administrative Law Judge each Complaint or other matter on which hearing is required. The Chief Administrative Law Judge may, in his/her discretion, combine several Complaints or requests for review for purposes of hearing and other proceedings, when it is found that sufficient common issues of fact or law are involved. If the Parties timely elect to proceed by right or are granted leave to proceed under the alternative hearing procedure, the Chief Administrative Law Judge shall, if the selected Administrative Law Judge is other than the Administrative Law Judge to whom the Complaint was originally assigned, reassign the Complaint to the selected Administrative Law Judge for hearing and other proceedings. If a Complaint which was proceeding under the alternative hearing procedure ceases to so proceed due to the unavailability of the selected Administrative Law Judge and the Parties' failure to timely select another, the Chief Administrative Law Judge will reassign the Complaint to an Administrative Law Judge for hearing and other proceedings not under the alternative hearing procedure.

c) All hearings once commenced shall continue on successive work days until completed unless the Administrative Law Judge rules otherwise by announcement at the hearing or by appropriate notice to all parties.

d) All hearings shall be open to the public except hearings upon requests for review.

History

• Source: Amended at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.530 Powers and Duties of Administrative Law Judge

a) Subject to the provisions of the Act and of this Part, the Administrative Law Judge shall have full authority to govern the procedure of the hearing and to admit or exclude testimony or other evidence.

b) The Administrative Law Judge shall rule on all proper motions and objections by any party from the time the Judge is assigned the matter by the Chief Administrative Law Judge or selected by the Parties electing to proceed under the alternative hearing procedure until the Judge's recommended decision and/or Final Order is filed with the Commission or issued to the Parties.

c) The Administrative Law Judge may exclude from the proceedings any person who engages in improper conduct at the hearing. At the request of any party, the Administrative Law Judge shall exclude all witnesses from the hearing room, except that one representative of each party in addition to counsel shall be allowed to remain throughout.

d) The Administrative Law Judge may grant continuances for good cause shown. Requests for continuance shall be made in writing to the Administrative Law Judge sufficiently in advance of a scheduled hearing to permit reasonable notice to all parties.

History

• Source: Amended at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.540 Ex Parte Communications

A party or his representative shall not communicate, directly or indirectly, with an Administrative Law Judge in connection with any issue of fact or in connection with any other issue except upon notice and opportunity for all parties to participate.

56 Ill. Adm. Code 5300.550 Form of Pleadings and Other Papers (repealed)

History

• Source: Repealed at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.560 Appearances

a) Each Complainant and Respondent shall enter a written appearance on the Party's own behalf or by counsel as soon as practicable after issuance of the Complaint, serving copies at the same time on all Parties. An appearance by a Party or counsel with the Department prior to issuance of the Complaint shall constitute an appearance before the Commission, except when:

1. The Complaint is filed by the Complainant pursuant to Section 7A-102(G)(2) of the Act, or

2. The appearance explicitly limits representation to proceedings conducted by the Department.

b) An attorney may not withdraw an appearance for a Party without leave of the Administrative Law Judge, and without reasonable notice of a motion to withdraw given by personal service or by certified mail directed to the Party represented at the Party's last known address.

c) An attorney who is not authorized to practice law in Illinois may be granted leave to appear on behalf of a Party on a pro hac vice basis in the same manner and circumstances as provided in Illinois Supreme Court Rule 707. Ill. S. Ct. R. 707 (2018).

d) The appearance shall include the Party or counsel’s name, address, telephone number, and email address.

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.570 Place and Manner of Filing Papers (repealed)

History

• Source: Repealed at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.610 Filing of Complaint

Complaints shall be filed by the Department or, pursuant to Section 7A-102(G) of the Act, by the Aggrieved Party with the Chief Administrative Law Judge. Where the Department files the Complaint, it shall immediately serve a Notice of Filing on all Parties.

History

• Source: Amended at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.620 Service of Complaint

Within five days after a Complaint is duly filed with the Commission by the Department or by an Aggrieved Party, the Commission shall cause it to be served on all Parties either personally or by depositing copies in the mail, properly addressed and posted, for certified delivery.

History

• Source: Amended at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.625 Elections in Real Estate Transaction Cases

When a Complaint is filed under Section 7B-102(F) of the Act, a Complainant, a Respondent, or an Aggrieved Party on whose behalf the Complaint was filed, may elect to have the claims asserted in that Complaint decided in a civil action in a circuit court of Illinois. The election must be made not later than 20 days after the receipt by the electing Person of service of the Complaint by the Commission. The Person making the election shall file it with the Commission and shall give notice of doing so to the Department and to all other Complainants, Respondents and Aggrieved Parties to whom the charge relates. If an election is made, the Commission will act no further on the Complaint. The file on the Complaint will be closed by administrative action. If an election is not made, the Commission will continue proceedings on the Complaint in accordance with the Act and this Part.

History

• Source: Added at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.630 Notice of Hearing

The Complaint shall be accompanied by a Notice of Hearing which shall state the time, place and nature of the hearing upon the Complaint, the legal authority and jurisdiction under which the hearing is to be held, and a reference to the particular sections of the Act and Rules involved. The hearing shall be scheduled to commence not less than thirty (30) nor more than ninety (90) days following service of the Complaint, and at a site within one hundred (100) miles of the place where the act or practice complained of is alleged to have occurred; provided, however, that the hearing may be convened on any other date or at any other place upon the consent of the Parties. All Parties shall be notified in the Notice of Hearing of the Administrative Judge to whom the Complaint has been assigned. All pleadings and other documents related to the Complaint shall be directed to such Administrative Law Judge.

History

• Source: Amended at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.640 Answer

a) Time of Filing – Each Respondent shall file an answer to the Complaint within thirty (30) days of the date of service of the Complaint, but the Administrative Law Judge to whom the Complaint is assigned may, upon motion and for good cause shown, grant further time for the filing of an answer. In the event a Respondent files a motion to dismiss the Complaint within the said thirty (30) days and said motion is denied, such Respondent shall have fifteen (15) days from the date of service of an order of denial within which to file its answer. In addition, the Administrative Law Judge may require a Respondent to file an answer or supplemental answer within a reasonable time following an amendment to the Complaint.

b) Service – An answer, supplemental answer, or motion to dismiss or response thereto, shall be served upon all Parties, and upon the Department to the attention of its General Counsel.

c) Contents – The answer shall be in writing and signed under oath or affirmation, and shall contain:

1. A specific admission or denial of, or assertion that the Respondent is without sufficient knowledge or information to form a belief with respect to, each and every allegation of the Complaint;

2. A statement of any matter constituting a defense against any allegations of the Complaint;

3. The name, post office address and telephone number of Respondent and Respondent's counsel.

d) Failure To Deny Allegation – Any allegation in the Complaint which is not denied or admitted in the answer shall be deemed admitted, unless the Respondent shall state in the answer that it is without sufficient knowledge or information to form a belief with respect to such allegation.

e) New Matter in Answer – Any allegation of new matter contained in the answer shall be deemed denied without the necessity of a reply thereto being filed, unless a reply is ordered by the Administrative Law Judge conducting the hearing.

f) Failure to File Answer – The failure of a Respondent to file an answer to the Complaint as hereinabove provided shall be deemed to constitute an admission of the allegations contained in the Complaint.

History

• Source: Amended at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.650 Amendments to Pleadings

a) At any time prior to issuance of the Administrative Law Judge's Recommended Order and Decision or Final Order in a case proceeding under the alternative hearing procedure, the pleadings may be amended for good cause shown. A motion to amend under this Subsection shall be in writing, and shall state the specific amendments proposed and the reasons therefor. Where the Department filed the Complaint in the case, a motion to amend the Complaint may be made by either the Department or the Complainant. A motion to amend a pleading shall be served upon all Parties, and upon the Department to the attention of its Chief Legal Counsel. Where leave is granted to file an amended Complaint, it must be served upon all Parties of record and the Department by the Complainant, or by the Department if it moved to amend, within 7 days after the date of the Order granting leave to file the amended Complaint, or within such additional time as the Administrative Law Judge may order. It is not the obligation of the Commission to serve amended Complaints.

b) Amendments to the Complaint may encompass any unlawful discrimination which is like or reasonably related to the charge and grows out of the allegations in such charge, including, but not limited to, allegations of retaliation.

c) A motion made prior to the close of a hearing that a pleading be amended to conform to the evidence may be addressed orally on the record to the Administrative Law Judge conducting the hearing and shall be granted for good cause shown.

d) An amendment to a pleading shall relate back to the date of the filing of the original pleading.

History

• Source: Amended at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.660 Substitution and Addition of Parties

a) A Complaint may be amended by the Complainant to substitute or name additional Parties Respondent if such parties are successors or assigns of a named Respondent. Mere misnomer of a Party, however, shall not be grounds for dismissal and may be cured at any time by amendment of the pleadings. A Person may be added as Party Respondent, even if that Person is not a successor or an assign of the named Respondent, if the following terms and conditions are met:

1. The Charge in the case was filed within 300 days after the date of the civil rights violation allegedly committed by the Person sought to be added as a Party Respondent;

2. The failure to join the Person as a Party Respondent was inadvertent;

3. The Person sought to be added as a Party Respondent was given notice of the filing of the Charge at the time the original Charge was filed;

4. The nature of the original Charge was such that the Person sought to be added knew, within the 300 day period, that the Charge grew out of a transaction or occurrence involving or concerning him or her;

5. The addition of the Person sought to be named as a Party Respondent does not raise new factual questions which were not considered by the Department of Human Rights in its investigation; and

6. The cause of action alleged against the Person sought to be made a Party Respondent in the case arises out of the same transaction or occurrence set out in the original Complaint.

b) If a Party to a Complaint dies, the proper Party or Parties may be substituted upon motion. If a motion to substitute is not filed within 90 days after the death is suggested of record, the Complaint may be dismissed as to the deceased Party.

c) No Person shall be added as a Party Respondent except as provided in this Section.

d) If substitution of a Party occurs in a matter proceeding under the alternative hearing procedure of Section 8A-102.5 of the Act, the election of the alternative hearing procedure remains effective and is binding on the substituted or successor Party and the matter shall continue to proceed under the alternative hearing procedure.

e) If addition of a Party occurs in a matter proceeding under the alternative hearing procedure of Section 8A-102.5 of the Act, the additional Party shall within 30 days after being made a party in the matter inform the Commission in writing of his/her/its stipulation to continue proceeding under the alternative hearing procedure on the matter before the selected Administrative Law Judge based on the record to date. If the additional Party fails to timely so stipulate, the matter shall automatically no longer continue under the alternative hearing procedure and may be reassigned to another Administrative Law Judge by the Chief Administrative Law Judge.

History

• Source: Amended at 44 Ill. Reg. 18930, effective November 23, 2020

56 Ill. Adm. Code 5300.710 Prehearing Memorandum

a) The notice of public hearing issued in conjunction with a Complaint shall be accompanied by a description of the contents to be included in a prehearing memorandum to be completed jointly by the parties. The purpose of the memorandum shall be to ascertain the positions of the parties and to reach agreements on stipulations of fact, admission of documents and other matters that will expedite the hearing and determination of the Complaint. Once the parties have completed the memorandum, the Administrative Law Judge may issue a pre-hearing Order reflecting matters agreed to and rulings as to disputed matters. The Administrative Law Judge may waive the preparation of a prehearing memorandum when a party is not represented by counsel. The Administrative Law Judge may order a prehearing conference, if one is deemed necessary.

b) Should a party fail substantially to comply with the directions set out for the pre-hearing memorandum or fail to appear at a scheduled pre-hearing conference, the Administrative Law Judge, on motion, may file a recommendation of dismissal or default or issue a Final Order disposing of a case proceeding under the alternative hearing procedure or other appropriate Order imposing sanctions as justice may require.

History

• Source: Amended at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.715 Discovery for Alternative Hearing Procedure Matters

a) Initial Disclosure of Information – For all Complaints proceeding under the alternative hearing procedure, the Parties shall have an initial duty of disclosure as follows:

1. Time of Disclosure and Continuing Duty – The Parties shall make the initial disclosure required by this rule as fully as then possible within 90 days after the filing of the stipulation to proceed under the alternative hearing procedure unless the Administrative Law Judge, on motion and for good cause shown, shortens or extends the time. Upon service of a disclosure on another Party, the disclosing Party shall file only a notice of the service of the disclosure with the Commission. The duty to provide disclosures as delineated in this rule shall be a continuing duty, and each Party shall seasonably supplement or amend disclosures whenever new or different information or documents become known to the disclosing Party. All disclosures shall include all information and data in the possession, custody and control of the parties as well as that which can be ascertained, learned or acquired by reasonable inquiry and investigation.

2. Prompt Disclosure of Information – Within the time set forth in this subsection (a)(1), each Party shall disclose in writing to every other Party:

A) The factual basis of the claim or defense. In the event of multiple claims or defenses, the factual basis of each claim or defense.

B) The names, addresses, and telephone numbers of all persons whom the Party believes may have knowledge or information relevant to the events, transactions or occurrences that gave rise to the action, claim or defense, and the nature of the knowledge or information each such individual is believed to possess.

C) The names, addresses, and telephone numbers of all persons who have given statements regarding the action, claim or defense, whether written or recorded, signed or unsigned, and of the custodian of the copies of those statements.

D) The names, addresses, and telephone numbers of each person whom the disclosing Party expects to call as an opinion witness at trial, the subject matter on which the opinion witness is expected to testify, the conclusions and opinions of the opinion witness and the bases therefor, the qualifications of the opinion witness, and copies of any reports prepared by the opinion witness.

E) A computation and the measure of damages alleged by the disclosing Party and the document or testimony on which such computation and measure are based and the names, addresses, and telephone numbers of all damages witnesses.

F) The existence, location, custodian, and general description of any tangible evidence or documents that the disclosing Party plans to use at trial.

G) A list of the documents, or in the case of voluminous documentary information, a list of the categories of documents, known by a Party to exist whether or not in the Party's possession, custody or control and which that Party believes may be relevant to the subject matter of the action, and those which appear reasonably calculated to lead to the discovery of admissible evidence, and the dates upon which those documents will be made, or have been made, available for inspection and copying. Unless good cause is stated for not doing so, a copy of each document listed shall be served with the disclosure. If production is not made, the name and address of the custodian of the document shall be indicated. A Party who produces documents for inspection shall produce them as they are kept in the usual course of business.

3. Each disclosure shall be made in writing, accompanied by the affidavit of an attorney or a Party which affirmatively states that the disclosure is complete and correct as of the date of the disclosure and that all reasonable attempts to comply with the provisions of this rule have been made. A copy of such affidavit shall be filed with the Commission.

4. In addition to any other sanction the Administrative Law Judge may impose, the Administrative Law Judge shall exclude at hearing any evidence offered by a Party that was not timely disclosed as required by this Section, except for good cause shown.

b) Limited Discovery Procedures – Except as may otherwise be ordered by the Administrative Law Judge upon motion and for good cause shown, only the following limited discovery is allowed for Complaints proceeding under the alternative hearing procedure. Except as limited herein, the provisions, including service requirements and response time limits, of Section 5300.720 and Section 5300.745 of this Part apply as if fully set out herein.

1. Written Interrogatories – Each Party may propound to any other Party a total of 20 written interrogatories and supplemental interrogatories in the aggregate, including subparts.

2. Deposition – An evidence deposition may be taken as of right only under the provisions of Section 8-104(F) of the Act. No discovery deposition may be taken except as allowed by the Administrative Law Judge upon motion and for good cause shown.

3. Production Requests – Each Party may propound to any other Party a total of 5 requests to produce for inspection, copying or photographing any document, object or tangible thing which is relevant to the subject matter of the Complaint or defense.

4. Requests To Admit – Each Party may serve on any other Party a total of 10 written requests for the admission by the latter of the truth of any specified relevant fact set forth in the request. Each Party may also serve on any other Party a written request for the admission of the genuineness of any relevant documents described in the request. Copies of the documents shall be furnished with the request unless copies have already been furnished by the requesting Party.

History

• Source: Added at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.720 Discovery

a) For all complaints not proceeding under the alternative hearing procedure, discovery shall be obtainable through the following methods:

1. Written Interrogatories – A party may direct written interrogatories to any other party, serving copies of the interrogatories at the same time on all other parties. The interrogatories shall be restricted to the subject matter of the complaint or defense and shall avoid undue detail or the imposition of excessive burden or expense on the answering party. Within 28 days after service of the interrogatories upon the answering party, the answering party shall serve upon the propounding party an answer under oath or affirmation, or an objection to each interrogatory, serving copies of the answers and objections at the same time on all other parties. Any objection to an answer or refusal to answer an interrogatory shall, upon motion of the party propounding the interrogatory, be ruled upon by the Administrative Law Judge. When appropriate, a document may be served in answer to an interrogatory. Supplemental interrogatories shall not be allowed except on leave of the Administrative Law Judge for good cause shown.

2. Production, Inspection, Copying or Photographing of Documents and Tangible Things – A party, by written request served upon all other parties, may require any other party to produce for inspection, copying, or photographing any document, object, or tangible thing that is relevant to the subject matter of the complaint or defense. The party upon whom the request is served shall respond to the request within 28 days, stating, with respect to each item or category, that inspection and related activities will be permitted as required unless the request is objected to, in which event the reasons for objection shall be stated. The response shall be served on all parties. On motion of the requesting party, the Administrative Law Judge shall rule with respect to the objections.

3. Depositions

A) A deposition may be taken only under the provisions of Section 8-104(F) of the Act.

B) A party may take discovery depositions either for good cause shown or by agreement. A discovery deposition taken for good cause or by agreement may be taken only upon leave of the Administrative Law Judge. No party shall serve a notice of deposition for a discovery deposition without the leave of the Administrative Law Judge.

b) Prior to the time all respondents have answered or are required to answer, no discovery procedure shall be noticed or undertaken, except by agreement of the parties or with leave of the Administrative Law Judge for good cause shown.

c) At any time, the Administrative Law Judge may, on the Administrative Law Judge's own motion or on the motion of any party or witness, make such protective Orders as justice and fairness may require, and any other Order denying, limiting, conditioning or regulating discovery, including setting or modifying any due date for discovery, to prevent unreasonable annoyance, expense, embarrassment, disadvantage or oppression. A party may be deemed to have timely filed any discovery requests, including requests for admission of fact and requests for admission of genuineness of document (Section 5300.745), upon a finding of substantial compliance by the Administrative Law Judge.

d) All matters that are privileged against disclosure in civil cases in the courts of the State of Illinois shall be privileged against disclosure through any discovery procedure under this Section. When information or documents are withheld from disclosure or discovery on a claim that they are privileged pursuant to a common law or statutory privilege, that claim shall be made expressly and shall be supported by a description of the nature of the documents, communications, or things not produced or disclosed and the exact privilege that is being claimed.

e) The types of discovery of information from parties and witnesses shall be the same as in other civil cases in the circuit courts of this State, except as provided for discovery depositions in subsection (a)(3). The procedure for obtaining discovery of information from parties and witnesses shall be as specified in this Part. If this Part does not contain a procedure with respect to a particular type of discovery, the Code of Civil Procedure [735 ILCS 5] will be considered persuasive authority by the Commission. When the Code of Civil Procedure refers to "rules", the applicable Supreme Court Rules on discovery will also be considered.

f) The hearing of a matter shall not be delayed to permit discovery unless due diligence is shown.

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.725 Filing of Disclosure Information and Discovery Material

a) All disclosures required in cases under the alternative hearing procedure and all requests for discovery and all responses to requests for discovery shall be served upon other counsel or parties, but shall not be filed with the Commission. The party responsible for service of the disclosure information or the discovery material shall serve a copy of a Certificate of Service with the Commission. The party responsible for service of the disclosure information or the discovery material shall retain the original and become the custodian.

b) If a motion is filed with respect to any disclosure information or discovery material, copies of the portions of the material in question shall be filed with the motion.

History

• Source: Amended at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.730 Motions and Objections

a) Motions and objections directed to the Administrative Law Judge pursuant to the authority granted in Section 5300.530(b) may be stated in writing or on the record, except for a motion to amend the pleadings pursuant to Section 5300.650(a), which must be in writing.

1. A written motion shall briefly state the Order or relief requested and the specific grounds upon which relief is sought.

2. A written motion shall be served at the same time upon all parties and filed at the Commission office of the Administrative Law Judge to whom it has been directed.

3. The following motions shall also be served upon the Department:

A) Motion to dismiss and any response to the motion pursuant to Section 5300.640(b). This subsection (a)(3)(A) shall be construed to include any motion for summary decision, or other motion regardless of title, that requests dismissal of the complaint;

B) Motion to amend the pleadings pursuant to Section 5300.650(a); and

C) Motion to allow a Commission or Department employee to testify at a hearing pursuant to Section 5300.750(b)(4).

b) Except as provided in subsection (f), for motions to dismiss, the complaint and motions for summary decision, responses to written motions may be filed by any party within 5 days after service of the motion, or within any other period as the Administrative Law Judge may order, and shall be served at the same time upon all other parties. In deciding whether to extend the period for responding to the motion, the Administrative Law Judge shall consider the complexity of the issues raised by the motion, and the ability of the responding party to file a response within the 5-day period. Except under extraordinary circumstances, the time for responding to a motion shall not exceed 45 days. The Administrative Law Judge may, on the Administrative Law Judge's own motion or motion of the Department, enter an Order permitting the Department to file a response to a written motion. In deciding whether to allow the Department to file a response, the Administrative Law Judge shall consider:

1. Whether resolution of the motion raises issues beyond those involved in the specific case;

2. Whether the Department has an interest different from that of the complainant or respondent; and

3. Whether the Department can articulate a particular point of view better than one or both parties.

c) Written motions and responses should set forth the arguments and authorities relied upon to permit the Administrative Law Judge to decide without oral argument on the motion.

d) Written Notice of Hearing on the motion shall be filed at the Commission's office, along with a copy of the motion, and served upon all parties and also upon the Department as specified in subsection (a). The Notice of Hearing on the motion shall show the name of the Administrative Law Judge before whom, and the date and time when, the motion shall be presented. The motion shall be in writing and a copy of the motion or a statement that it previously has been served shall be served with the notice. Copies of all papers to be presented to the Administrative Law Judge with the motion shall be served with the notice or the notice shall state that copies have previously been served. The moving party shall schedule the motion for hearing by entering the case name and ALS number and the nature of the motion in the motion book in the Commission's Chicago office.

1. If notice of hearing is given by personal service, the notice shall be delivered before 4:00 P.M. on the second State business day preceding the hearing of the motion.

2. If notice is given by mail, the notice shall be deposited with the U.S. Postal Service no later than the fifth State business day preceding the hearing of the motion. The certificate of service attached to the motion will be prima facie proof of the date the notice is deposited with the U.S. Postal Service.

e) All motions arising out of complaints in which the site of the alleged civil rights violation is outside Cook County and all motions arising out of complaints proceeding under the alternative hearing procedure of Section 8A-102.5 of the Act shall be governed by the procedures specified in subsections (a), (b) and (c). These motions shall not be noticed for hearing at the Commission's office in Chicago; however, if all of the parties to a complaint, except to a complaint proceeding under the alternative hearing procedure of Section 8A-102.5 of the Act, in which the site of the alleged discrimination is outside Cook County agree to appear for a hearing on a motion at the Commission's Chicago office, the procedure specified in subsection (d) may be utilized.

f) Regardless of the site of the alleged civil rights violation, all motions to dismiss the complaint and all motions for summary decision shall be filed and responded to in accordance with the procedures set forth in subsections (a), (b), and (c).

g) All motions on complaints proceeding under the alternative hearing procedure of Section 8A-102.5 shall be decided by the selected Administrative Law Judge based on the written motions and responses only, except when the Administrative Law Judge deems oral argument useful; in that case, the Administrative Law Judge shall issue an Order setting a date and time for the motion to be argued. Oral argument may be set at a Commission office or by telephone conference hearing.

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.735 Summary Decision

a) At any time after the service of a complaint and prior to service of a decision pursuant to Section 8A-102(I), 8A-102.5(B)(4) or 8B-102(J) of the Act, the complainant or the respondent may move, with or without supporting affidavits, for a summary Order in the moving party's favor as to all or any part of the relief sought. An Administrative Law Judge may not preclude the filing of a motion for summary decision except within the 60-day period prior to the date set for the hearing on the merits of the complaint. Once the Administrative Law Judge has set a deadline for the filing of the motions for summary decisions in accordance with this Section, no motion may be filed after that date without leave of the Administrative Law Judge, even if the hearing on the merits is postponed.

b) Procedure – The non-moving party may file counter-affidavits prior to the time of the ruling on the motion. The Order sought shall be rendered without delay if the pleadings and affidavits, if any, show that there is no genuine issue as to any material fact and that the moving party is entitled to a recommended Order as a matter of law. An interim recommended summary Order, interlocutory in character, may be rendered on the issue of liability alone, although there is a genuine issue as to the relief to be awarded. The term without delay (Section 8-106.1(B) of the Act) means that consideration of the motion shall not be stayed without the agreement of the parties. Further, the Administrative Law Judge may not postpone consideration of the motion until after the public hearing. The term does not mean that motions for summary decision will be given preference over other pending motions in the case at issue or other cases pending in front of the Commission.

c) Affidavits or Motions Made in Bad Faith – If it appears to the satisfaction of the Administrative Law Judge at any time that any affidavit or motion presented pursuant to this Section is presented in bad faith or solely for the purpose of delay, the Administrative Law Judge may recommend that the party employing the use of affidavits for dilatory purposes shall pay to the other party the amount of reasonable expenses incurred as a result of the filing of the affidavit or motion, including reasonable attorney's fees.

History

• Source: Amended at 34 Ill. Reg. 16373, effective October 5, 2010

56 Ill. Adm. Code 5300.740 Interlocutory Appeals

a) The Commission shall not entertain interlocutory appeals from rulings by an Administrative Law Judge, except when the Administrative Law Judge determines that a specific ruling is of such extraordinary significance that a decision of the Commission is required prior to completion of the case. Only the Administrative Law Judge shall have authority to certify a question for the Commission's consideration.

b) Upon the issuance of an order certifying a question to the Commission, the Administrative Law Division shall transmit to the clerk of the Commission the Administrative Law Judge's order and all pleadings and briefs which were submitted to the Administrative Law Judge concerning the certified matter. The Commission shall consider the matter based upon the documents submitted to the Administrative Law Judge. If additional briefing is required to resolve the question certified to the Commission, the Commission will issue an order requesting supplemental briefs and setting up a schedule for the filing of the supplemental briefs.

History

• Source: Amended at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.745 Admission of Fact or of Genuineness of Documents

a) Request for Admission of Fact – A Party may serve on any other Party a written request for the admission by the latter of the truth of any specified relevant fact set forth in the request.

b) Request for Admission of Genuinesness of Document – A Party may serve on any other Party a written request for admission of the genuineness of any relevant documents described in the request. Copies of the documents shall be served with the request unless copies have already been furnished.

c) Admission in the Absence of Denial – Each of the matters of fact and the genuineness of each document of which admission is requested is admitted unless, within twenty-eight (28) days after service thereof, the Party to whom the request is directed serves upon the Party requesting the admission either (1) a sworn statement denying specifically the matters of which admission is requested or setting forth in detail the reasons why he cannot truthfully admit or deny those matters or (2) written objections on the ground that some or all of the requested admissions are privileged or irrelevant or that the request is otherwise improper in whole or in part. If written objections to a part of the request are made, the remainder of the request shall be answered within the period designated in the request. A denial shall fairly meet the substance of the requested admission. If good faith requires that a Party deny only a part, or requires qualification of a matter of which an admission is requested, the Party shall specify so much of it as is true and deny only the remainder. Any objection to a request or to an answer shall be heard by the Administrative Law Judge upon prompt notice and motion of the Party making the request.

d) Public Records – If any public records are to be used as evidence, the Party intending to use them may prepare a copy of them insofar as they are to be used, and may seasonably present the copy to the adverse Party by notice in writing, and the copy shall thereupon be admissible in evidence as admitted facts in the case if otherwise admissible, except insofar as its inaccuracy is pointed out under oath by the adverse Party in an affidavit filed and served within 14 days after service of the notice.

e) Effect of Admission – Any admission made by a Party pursuant to request under this rule is for the purpose of the pending action only. It does not constitute an admission to be used against the Party in any other proceeding.

History

• Source: Added at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.750 Hearing Procedures

a) Adverse Witness – At the hearing, a witness may be called and examined as if under cross-examination in the same manner and circumstances as provided in Section 2-1102 of the Code of Civil Procedure [735 ILCS 5/2-1102].

b) Testimony and Evidence

1. All testimony taken at the hearing shall be under oath or affirmation.

2. All testimony and other evidence shall be subject to the same rules of evidence as are applicable in courts of record in the State of Illinois.

3. Compelling Appearances of Parties at Hearing – The appearances at the hearing of a Party or a person who at the time of the hearing is an officer, director, or employee of a Party may be required by serving the Party with a notice designating the person who is to appear. The notice also may require the production at the hearing of documents or tangible things. If the Party or Person is a non-resident of the county, the Administrative Law Judge may order any terms and conditions in connection with its appearance at the hearing that are just, including payment of its reasonable expenses. Upon a failure to comply with the notice, the Administrative Law Judge may enter any Order that is just.

4. No Commission or Department employee shall testify on behalf of a Party at a hearing with respect to the contents of any files, documents, reports, memoranda or records of the Commission or Department or of the results of any investigation conducted by the Department except upon Order of the Administrative Law Judge. Any Party may apply for such an Order in the form of a motion and such motion shall identify the Commission or Department employee whose testimony is desired, the nature of such person's testimony, and the specific purpose to be served thereby. The motion will be granted only upon a showing that the information to be elicited from such testimony is admissible and cannot be obtained through other means. A motion to compel a Department employee to testify shall be served by the movant on the Department to the attention of its Chief Legal Counsel.

5. No testimony or other evidence concerning attempts to settle or adjust an alleged civil rights violation shall be given or received in any hearing without the written consent of all Parties.

6. Written stipulations, signed by the Parties to be bound thereby, may be introduced in evidence. Oral stipulations may be made on the record.

c) Record of Proceedings – The Commission shall arrange for a record of the proceedings to be made, transcribed and filed in the Chicago or Springfield office of the Commission. Any such record will be made available for examination by the public in either the Chicago or Springfield office upon reasonable notice.

d) Briefs and Oral Argument – At the conclusion of the evidence, the Administrative Law Judge shall permit the Parties to argue orally and/or submit such briefs or proposed findings of fact and conclusions of law within such time as the Administrative Law Judge may determine. The Department may request leave to file an amicus brief upon an issue presented by the record in a hearing wherein it is not a Party, upon motion to the Administrative Law Judge, which motion shall be served on all Parties. Such motion shall be granted, and a briefing schedule ordered, if, in the opinion of the Administrative Law Judge, the interests of justice would be served thereby. Each Party filing a brief shall file it with the Administrative Law Judge and at the same time serve copies upon all other Parties.

e) Sanctions for Unreasonable Conduct – Should a Party fail to appear at a scheduled hearing without requesting a continuance reasonably in advance, or unreasonably refuse to comply with any Order entered under this Part, or otherwise engage in conduct which unreasonably delays or protracts proceedings, the Administrative Law Judge may file a recommendation of dismissal with prejudice or default or other appropriate Order imposing sanctions as justice may require, including requiring the offending Party or attorney to pay the reasonable expenses and attorney's fees incurred by any other Party as a result of the misconduct. In a case proceeding under the alternative hearing procedure, the Administrative Law Judge may issue a Final Order containing any sanction for unreasonable conduct which the Commission may impose under this Section.

History

• Source: Amended at 22 Ill. Reg. 1336, effective January 1, 1998

56 Ill. Adm. Code 5300.760 Preparation of Recommended Order and Decision

Except for Complaints proceeding under the alternative hearing procedure, following the taking of testimony and the submission of oral argument and briefs, the Administrative Law Judge shall prepare and file with the Commission a written Recommended Order and Decision, which shall include:

a) A summary of the respective contentions of the Parties;

b) Findings of fact based upon, and limited to, the testimony and other evidence of record and upon matters of which official notice may be taken pursuant to Section 10-40(c) of the Illinois Administrative Procedure Act [5 ILCS 100/10-40(c)];

c) A determination as to whether or not a preponderance of the evidence sustains the Complaint, or each portion thereof;

d) An analysis of the case and reasoning to support the Administrative Law Judge's determination;

e) The Administrative Law Judge's Recommended Liability Determination.

1. If it is determined that the preponderance of the evidence supports the Complaint or portions thereof, the Recommended Order shall sustain the Complaint to that extent and require the Respondent to take such actions as are provided under Section 8A-104 or Section 8B-104 of the Act. If the Complainant is entitled to an award of attorney's fees and costs pursuant to Section 8B-104(D) of the Act, the Administrative Law Judge's recommended decision shall be styled a Recommended Liability Determination and shall direct the Complainant to file a petition for an award of attorney's fees pursuant to the procedure established in Section 5300.765 of this Part. Such Recommended Liability Determination shall promptly be served upon all Parties.

2. If it is determined that the Complaint shall be dismissed and that the Complaint was frivolous, unreasonable or groundless or that the Complainant continued to litigate after it became clearly so and that the Respondent is therefore entitled to an award of attorney's fees pursuant to Section 8A-102(I)(5) of the Act, the Administrative Law Judge's recommended decision shall be styled a Recommended Liability Determination and shall direct the Respondent to file a petition for an award of attorney's fees pursuant to the procedures established in Section 5300.765 of this Part. Such Recommended Liability Determination shall promptly be served upon all Parties;

f) The Administrative Law Judge's Recommended Order and Decision

1. If it is determined that the preponderance of the evidence does not support the Complaint, the Administrative Law Judge's recommended decision shall dismiss the Complaint and shall constitute the Recommended Order and Decision for review by the Human Rights Commission pursuant to Subpart I of this Part.

2. Following submission of materials in connection with any petition for attorney's fees filed as directed in subsection (e)(1) or (e)(2) of this Section pursuant to Section 5300.765 of this Part, the Administrative Law Judge shall prepare a recommended decision which shall incorporate the Recommended Liability Determination by reference and shall include recommendations as to the amount of reasonable attorney's fees and/or costs and a discussion of the issues relevant thereto. This recommended decision shall constitute the Recommended Order and Decision for review by the Human Rights Commission pursuant to Subpart I of this Part.

3. A Recommended Order and Decision that includes a monetary award shall specify the amount recommended to be paid pursuant thereto as of the date of the conclusion of the public hearing and the formula for calculation of supplemental monetary awards, if any.

The Commission shall promptly serve a copy of such Recommended Order and Decision upon all Parties and the Department. Service of the Recommended Order and Decision begins the running of time for filing exceptions pursuant to Section 5300.920 of this Part. Following the issuance of the Recommended Order and Decision pursuant to subsection (f)(1) or (f)(2) of this Section, all pleadings, motions, or other requests shall be directed to the General Counsel of the Human Rights Commission.

History

• Source: Amended at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.762 Preparation and Issuance of Final Order in Alternative Hearing Procedure Proceedings

a) For all cases which proceed to public hearing under the alternative hearing procedure of Section 8A-102.5 of the Act, following the taking of testimony and the submission of oral argument and briefs, if any are ordered, the selected Administrative Law Judge shall prepare a written Final Order disposing of the Complaint based upon the pleadings and evidence presented. The Final Order shall include:

1. a determination as to whether a preponderance of the evidence sustains the Complaint or each portion thereof;

2. a brief discussion of the analysis of the case and reasoning to support the Administrative Law Judge's determination with sufficient detail to apprise the Parties as to the basis for the decision; and

3. a determination of the damages and relief, including attorneys fees and costs, to which any Party is entitled.

b) The Final Order need not contain detailed findings of fact and conclusions of law.

c) The Final Order may provide for any relief or penalty identified in Section 8A-104 of the Act.

d) The Final Order shall be issued by the selected Administrative Law Judge and shall be served by the Commission on all Parties and the Department personally or by registered or certified mail.

e) The Final Order entered by an Administrative Law Judge in a case proceeding under the alternative hearing procedure shall be deemed the final decision of the Commission and shall not be subject to review by any three member panel of the Commission nor by the full Commission. Such Final Orders are enforceable in the same manner as Orders And Decisions issued by the Commission.

f) A Party may not apply for and obtain review of a Final Order by filing a petition for review in the Appellate Court pursuant to Section 8-111(A) of the Act except on the basis of fraud or duress. By stipulating to disposition of the Complaint under the alternative hearing procedure, the Parties waive all right of appeal except for Orders procured by fraud or duress.

g) The Final Order entered by an Administrative Law Judge in a case proceeding under the alternative hearing procedure shall not be considered Commission precedent.

History

• Source: Added at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.765 Petitions for Fees and/or Costs

a) Within 21 days after the service of a Recommended Liability Determination pursuant to Section 5300.760(e)(1) or (e)(2) of this Part or pursuant to an Order entered after a hearing by the selected Administrative Law Judge in a case proceeding under the alternative hearing procedure, the Party or Parties designated therein may file with the Administrative Law Judge a petition for fees and/or costs, supported by argument and affidavits. Such supporting documentation shall include the following:

1. The number of hours for which compensation is sought, itemized according to the work that was performed, the date upon which the work was performed and the individual who performed such work;

2. The hourly rate customarily charged by each individual for whom compensation is sought and appropriate documentary support for such claimed rate. In the case of a public law office which does not charge fees, or which charges fees at less than market rate, counsel may provide documentation of the rate prevalent in the practice of law for attorneys in the same locale with comparable experience and expertise;

3. Other factors that affect the computation of fees or costs, as determined by the courts of Illinois and the decisions of the Commission; and

4. Documentation of costs for which the Party seeks reimbursement.

b) Copies of such petitions and supporting documents shall be served by the petitioning Party on all other Parties at the time of filing with the Administrative Law Judge, and proof of service shall be provided. Neither fees nor costs will be awarded in the absence of proper petition therefor.

c) Within 21 days after the service of the petition for an award of attorney's fees and/or costs, all other Parties may file written objections to the petition. Copies of such objections shall be served on all other Parties at the time of filing with the Administrative Law Judge, and proof of service shall be provided. Failure to file such objections shall be deemed a waiver of any objections to the award of fees. No reply in support of the petition or in response to objections may be filed except upon leave granted by the Administrative Law Judge upon motion and good cause shown.

d) A Party may request additional time to file a pleading governed by this Section by written motion filed with the Administrative Law Judge stating the reasons therefor. Copies thereof shall be served at the same time on all other Parties. Such requests for extension of time shall be granted where good cause is shown.

e) The Administrative Law Judge may convene a hearing to resolve contested issues and may take other steps to produce a complete record with regard to a claim for fees and/or costs.

f) Following the submission of the petition for fees and/or costs and objections thereto and the completion of a hearing, if any, the Administrative Law Judge shall prepare a Recommended Order and Decision pursuant to Section 5300.760(f)(2) of this Part or, in a case proceeding under the alternative hearing procedure, shall prepare a Final Order pursuant to Section 5300.762 of this Part.

History

• Source: Amended at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.770 Settlement (repealed)

History

• Source: Repealed at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.780 Voluntary Dismissal

The complainant may obtain dismissal of the complaint, with prejudice, by filing a written motion with the Administrative Law Judge and serving all parties and the Department. If knowingly and voluntarily made, such motion shall be granted and the proceedings dismissed by the Administrative Law Judge by written order served on all parties and the Department.

History

• Source: Amended at 5 Ill. Reg. 2709, effective March 2, 1981

56 Ill. Adm. Code 5300.782 Authority for Sections 5300.783-5300.787 (repealed)

History

• Source: Repealed at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.783 Fees and Costs (repealed)

History

• Source: Repealed at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.784 Motion for Fees or Costs (repealed)

History

• Source: Repealed at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.785 Responses to Motions for Fees or Costs (repealed)

History

• Source: Repealed at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.786 Extensions of Time (repealed)

History

• Source: Repealed at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.787 Supplemented Record (repealed)

History

• Source: Repealed at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.805 Scope of Motion Practice

a) A motion may be filed with the Commission to obtain any relief which the Commission may grant under the provisions of the Act.

b) Unless another procedure is specifically provided for in this Part, the procedure provided for in this Subpart shall be followed with respect to all motions or other requests for relief directed to all motions or other requests for relief directed to the Full Commission or a 3-member panel thereof.

History

• Source: Added at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.810 Recommended Order Not Final (renumbered)

History

• Source: Renumbered to Section 5300.910 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.815 Form of Motions and Objections

All motions directed to the Commission must be submitted in writing. The motion shall state the nature of the order or relief requested, and shall be accompanied by a memorandum of law which states the points and authorities relied upon by the movant. Any objections to motions shall be filed with the Commission within 10 days after service of the said motion. The objections shall be accompanied by a memorandum of law containing the points and authorities relied upon in opposition to the motion.

History

• Source: Added at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.820 Exceptions to Recommended Order (renumbered)

History

• Source: Renumbered to Section 5300.920 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.825 Presentation of Motions

Unless otherwise provided in this Part, motions shall be presented by the Commission's staff to the Commission at the first available meeting of the full Commission or the Commission panel which follows the expiration of the ten (10) day response period provided for in Section 5300.815. Motions will be considered by the Commission based upon the memoranda submitted by the Parties. Unless it is requested by the Commission, no oral argument will be allowed on motions. If the Commission requests oral argument, it will send the Parties written notice.

History

• Source: Amended at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.830 Responses to Exceptions (renumbered)

History

• Source: Renumbered to Section 5300.930 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.835 Emergency Motions

a) If action is required on a motion prior to the time of the next scheduled Commission meeting at which the requested relief could be statutorily granted, the motion shall be clearly identified as an emergency motion. All emergency motions shall contain a memorandum stating why the motion must be decided prior to the time of the appropriate Commission meeting. All emergency motions shall be presented by Commission staff to the Chairperson, or the Vice Chair in the absence of the Chairperson, of the Commission.

b) The Chairperson, or the Vice Chair in the absence of the Chairperson, of the Commission shall have the authority to consider and grant motions filed under subsection (a) if, and only if, the sole relief requested in the motion is the extension of a filing deadline imposed by the Act or this Part. The Chairperson, or the Vice Chair in the absence of the Chairperson, shall grant those motions only on just terms and for good cause shown.

c) The Chairperson, or the Vice Chair in the absence of the Chairperson, of the Commission shall have the authority to direct the convening of an emergency full Commission or panel meeting to consider an emergency motion. The emergency meeting shall be convened when a party will suffer irreparable damage if the motion is not considered until the next appropriate, regularly scheduled meeting. The following examples illustrate situations in which an emergency meeting will be convened. This is not an exhaustive listing of all situations in which an emergency meeting will be considered appropriate:

1. An emergency meeting will be convened if a delay in petitioning the circuit court for enforcement of a subpoena will make it difficult or impossible for the court to enforce the subpoena.

2. An emergency meeting will be convened if a Commission Order is being violated, and a delay in an action for enforcement will make it difficult or impossible to put the parties into the position they would have been in had there been no violation of the Order.

3. An emergency meeting will be convened upon the motion of the Department if a delay in the approval of the terms and conditions of a settlement makes it difficult or impossible for either party to comply with the terms of the settlement.

d) Every emergency motion shall contain a proposed Order granting the relief requested by the movant.

History

• Source: Amended at 34 Ill. Reg. 16373, effective October 5, 2010

56 Ill. Adm. Code 5300.840 Extensions of Time (renumbered)

History

• Source: Renumbered to Section 5300.940 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.845 Agreed Motions and Orders

If a motion has been agreed to by all parties, it shall clearly state that it is an agreed motion on its face. Agreed motions shall be considered in accordance with the procedure provided for in Section 5300.825 of this Subpart unless they are also emergency motions. An agreed motion shall contain a proposed agreed order.

History

• Source: Added at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.850 Oral Argument (renumbered)

History

• Source: Renumbered to Section 5300.950 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.855 Extension of Time

All motions for extension of time directed to the Commission shall contain the following information:

a) The number of previous motions for extension of time filed by the movant, and

b) The disposition by the Commission of previous motions for extension of time.

History

• Source: Added at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.860 Form of Pleadings and Other Papers (renumbered)

History

• Source: Renumbered to Section 5300.960 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.865 Style of Documents for Commission Consideration

Except for Requests for Review, documents presented for filing before the Commission will not be accepted unless they are accompanied by the number of copies specified in Subsection 5300.40(e) of this Part. Every pleading filed for the consideration of a Commission panel or the full Commission shall state on its face either "For the consideration of a Commission panel" or "For the consideration of the full Commission." Any document which does not comply with this Section will not be accepted for filing by the Commission.

History

• Source: Amended at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.870 Ex Parte Communications (renumbered)

History

• Source: Renumbered to Section 5300.970 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.880 Brief by Department (renumbered)

History

• Source: Renumbered to Section 5300.980 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.910 Finality of Recommended Order

If no timely exceptions to the Recommended Order and Decision are filed in accordance with Section 5300.920 of this Part, the Recommended Order and Decision shall become the order of the Commission without further review. The Commission will serve on the Parties a notification that a Recommended Order and Decision has become the order of the Commission pursuant to this Section. The failure to file exceptions to a Recommended Order and Decision shall constitute a waiver of any arguments which could have been made to a Commission panel. A Party who fails to file exceptions shall be deemed to have failed to exhaust administrative remedies. If exceptions are filed, the Recommended Order and Decision will not be considered final unless and until it is made final by a Commission panel pursuant to this Part.

History

• Source: Amended at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.920 Exceptions to Recommended Order

Within thirty (30) days after service of the Administrative Law Judge's Recommended Order and Decision upon any Party, such Party may file with the Commission written exceptions, supported by argument, to the findings and recommended order of the Administrative Law Judge. Copies of such written exceptions and argument shall be served by such Party on all other Parties at the time of filing with the Commission, and proof of service provided. Except by permission of the Commission, the exceptions and argument shall not exceed thirty (30) pages.

History

• Source: Amended at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.930 Responses to Exceptions

If written exceptions to the Recommended Order and Decision are timely filed as hereinabove provided by any Party to the proceedings, all other Parties shall have the opportunity to file written responses and counter-arguments thereto. Such responses and counter-arguments shall be filed with the Commission within twenty-one (21) days after the service of the exceptions, and copies thereof served at the same time on all other Parties. Except by permission of the Commission, the responses and counter-arguments shall not exceed thirty (30) pages.

History

• Source: Amended at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.940 Extensions of Time

A Party may request additional time to file a pleading governed by Section 5300.920 or 5300.930 of this Part by written motion filed with the Commission stating the reasons therefor. Copies thereof shall be served at the same time on all other Parties. A request for additional time not exceeding fifteen (15) days in the case of a pleading governed by Section 5300.920 or ten (10) days in the case of a pleading governed by Section 5300.930 shall be granted by the Commission through the issuance by the Executive Director of a written order to all Parties; but such an extension shall be designated as final and no further extensions with regard to that pleading will be allowed. A request for additional time exceeding the aforementioned limitations will be granted by a three-member panel of the Commission only under exceptional circumstances.

History

• Source: Amended at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.945 Acceptance of the Recommended Order for Review

a) Following the filing of written exceptions and responses, a 3-member panel of the Commission shall decide whether to accept the case for review. If the panel declines to review the Recommended Order and Decision, it shall issue a notice to the Parties and enter the notice on the record. Upon the entry of the notice, the Recommended Order and Decision of the Administrative Law Judge shall become the Order of the Commission. In that case, all recommendations shall be considered accepted. If the Administrative Law Judge recommended a final disposition of the Complaint and charge, the Recommended Order and Decision shall be considered final and appealable.

b) Where a time limit is calculated based on the date of service of a Commission order, that time limit shall be calculated based on the date of service of the notice that the Commission has declined review. After the entry of the notice described in this Section, references in the Act or this Part to the Order and Decision of the Commission shall be deemed to be references to the Recommended Order and Decision of the Administrative Law Judge.

History

• Source: Added at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.950 Oral Argument

Any Party to the proceedings shall be permitted to request oral arguments in support or opposition to the Recommended Order and Decision, by including a written demand therefor at the time of filing exceptions or responses as hereinabove provided. If oral arguments are so requested and if the Commission panel decides to review the Recommended Order and Decision, it shall set a date for such arguments to be heard and shall serve notice in writing of the time and place so fixed to all Parties at least 20 days prior thereto. Any other Party not previously requesting oral argument shall be allowed to present such arguments at the same time and place and should file a written notice of intention to participate with the Commission, with service thereof on all other Parties, not less than 10 days prior to the date set. If no Party requests oral argument, and if the Commission panel decides to review the Recommended Order and Decision, it shall decide the case based upon the written record unless at least two members of the panel find that oral argument is necessary to resolve an issue presented by the Recommended Order and Decision, the exceptions or the response. In all such cases the Commission shall serve notice of oral argument in writing. The Commission shall arrange for a record of oral arguments to be made, transcribed and filed in its Chicago office as part of the official record in the case.

History

• Source: Amended at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.960 Form of Pleadings and Other Papers

All exceptions, responses and other papers filed with the Commission shall conform with the provisions of Section 5300.40 of this Part.

History

• Source: Amended at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.970 Ex Parte Communications

A party or his representative shall not communicate, directly or indirectly with any member of the Commission in connection with any issue in a pending case except as provided in this Part and upon notice and opportunity for all parties to participate.

History

• Source: Section 5300.970 renumbered from Section 5300.870 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.980 Brief by Department

The Department in a matter where it is not a party, may be granted leave by a three-member panel of Commissioners to submit an amicus brief upon a question of law presented by the recommended order and decision. Such leave will be granted upon motion to the Commission and a copy of the motion shall be served on all parties. Such a motion should be made prior to the time any party's exceptions to the recommended order and decision are due, and if granted the Commission shall modify the schedule for submission of exceptions and responses to afford the parties adequate time to respond to the Department's brief. Such a motion by the Department will be granted by the Commission if it is satisfied that the interests of justice would be served thereby.

History

• Source: Section 5300.980 renumbered from Section 5300.880 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.1010 Request to Present Additional Evidence

Any party to the proceedings may request an opportunity to submit additional evidence for the record, subsequent to issuance of the Administrative Law Judge's recommended order and decision, by including a written request therefor at the time of filing exceptions or responses as hereinabove provided. Such request shall be supported by a statement specifying in detail the evidence which petitioner proposes to present, its relevance, and the reasons why such evidence was not presented at the hearing. A request to present additional evidence shall be granted by the Commission or a three-member panel only if it determines that substantial justice so requires. In general, such a request will be viewed with disfavor by the Commission.

History

• Source: Section 5300.1010 renumbered from Section 5300.910 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.1020 Motion for Rehearing Before an Administrative Law Judge

Any party may request a rehearing of all or any portion of a case, before the same or a different Administrative Law Judge, by including a written request therefor at the time of filing exceptions or responses as hereinabove provided. Such request shall be supported by a statement of the reasons why such party believes that a rehearing is necessary. A motion for rehearing will be granted by the Commission or a three-member panel only if it determines that substantial justice so requires.

History

• Source: Section 5300.1020 renumbered from Section 5300.920 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.1030 Remandment on the Commission's Own Motion

The Commission or a three-member panel on its own motion may remand a case for a rehearing in whole or in part, or for the taking of additional evidence, whenever in its opinion such action is necessary to do justice in the case or to facilitate a fair and complete adjudication of the issues.

History

• Source: Section 5300.1030 renumbered from Section 5300.930 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.1040 Remand Proceedings

Whenever the Commission or a three-member panel shall determine to remand any case, the Commission shall issue and serve upon all parties a written order to such effect. The order shall provide that the cause is remanded to an Administrative Law Judge, and shall specify the nature and scope of the proceedings to be had. The person conducting such proceedings shall set a date for hearing, if necessary, of not less than thirty nor more than ninety days after service of the remand order, with due notice to all parties. The remand proceeding shall be conducted in accordance with the provisions of Subparts E and G of this Part. After conclusion of the proceedings, the Administrative Law Judge shall file with the Commission written findings and recommendations based thereon, and shall serve copies at the same time on all parties. Such findings and recommendations shall be subject to review by the Commission or a three-member panel as provided in Subpart I of this Part.

History

• Source: Section 5300.1040 renumbered from Section 5300.940 and amended at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.1050 Rehearing Before Full Commission (renumbered)

History

• Source: Renumbered to Section 5300.1150 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.1060 Modification of Commission Order (renumbered)

History

• Source: Renumbered to Section 5300.1160 at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.1110 Commissioners Participating

The Commission, through a panel of three members designated by the Chairperson, shall decide whether to review the Recommended Order and Decision of the Administrative Law Judge. If the panel decides to review the Recommended Order and Decision, it shall review the record and render a decision on behalf of the Commission with respect to all matters covered by the Recommended Order and Decision.

History

• Source: Amended at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.1120 Standard of Review

If a panel of the Commission accepts a Recommended Order and Decision for review, it shall accept the findings of fact of the Administrative Law Judge as true and correct, unless it shall find that such findings or any of them are contrary to the manifest weight of the evidence.

History

• Source: Amended at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.1130 Proposal for Decision

Whenever the Commission determines to reverse or substantially modify a recommended order and decision on grounds not addressed by exceptions, the Commission shall issue and serve upon all parties a Proposal for Decision in the same form and manner as provided in Section 5300.1140 of this Part. Said Proposal shall be accompanied by a notice affording all parties not less than thirty (30) days from the date of service thereof to file written exceptions to the entry of the decision. Such written exceptions, if any, shall be in the same form and treated in the same manner as if filed under Section 5300.920. If no such written exceptions are filed by any party, the Commission shall enter the Proposal for Decision as its Order and Decision in the case, and shall so notify the parties.

History

• Source: Section 5300.1130 renumbered from Section 5300.1030 and amended at 9 Ill. Reg. 6207, effective April 24, 1985

56 Ill. Adm. Code 5300.1140 Order and Decision

After a decision has been made to accept a Recommended Order and Decision for review, and after all proceedings provided for in Subparts I, J and K of this Part, except in cases which proceeded under the alternative hearing procedure, the panel of three Commission members shall issue its Order and Decision and shall serve a copy thereof on all parties and the Department personally or by registered or certified mail. Subject to the provisions of this Article, the Order and Decision of the Commission may affirm, reverse or modify in whole or any part the Recommended Order and Decision.

History

• Source: Amended at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.1145 Interest

Whenever an Order and Decision, or a Final Order in a case proceeding under the alternative hearing procedure, includes an award of interest pursuant to Section 8A-104(J) of the Act, the amount of interest shall be calculated according to the method set forth in this Section. This method shall also be used when a Recommended Order and Decision includes an award of interest and a panel of the Commission declines review.

a) Liability for interest begins on the first day of the calendar month following the civil rights violation. Interest shall accrue on a monthly basis thereafter. For example, if the violation occurred on June 15, liability for interest would begin on July 1, and the first month's interest would accrue on August 1.

b) The monthly rate of interest shall be 1/12 of the annual rate of interest for judgments specified in Section 2-1303 of the Code of Civil Procedure [735 ILCS 5/2-1303] for the calendar year in which interest accrues.

c) The monthly rate of interest shall be multiplied by the amount of damages which accrued as of the end of the last day of the month preceding the accrual of interest. For example, to calculate the amount of interest which accrues on August 1, one must multiply the monthly rate of interest by the amount of damages which accrued as of midnight on July 31.

d) Interest shall compound annually. For example, if the first month's interest accrued on August 1, 1988, the amount of monthly interest for August 1, 1989 would be calculated by adding the damages and interest which accrued as of July 31, 1989. This sum would then be multiplied by the applicable monthly rate.

e) Interest shall continue to accrue until the payment specified by the Order and Decision has been made.

History

• Source: Amended at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.1150 Rehearing Before Full Commission

a) Within 30 days after service of the Commission's Order and Decision or a notice that review has been declined, issued in accordance with this Part, a Party may petition for rehearing before the entire Commission.

b) Such petition shall be in writing and filed at the Commission's Chicago office in person, via U.S. Mail, or electronically, with service thereof at the same time on all other Parties. The petition shall clearly specify the reasons why rehearing should be granted. The Commission, at its discretion, may order that a response to the petition be filed.

c) The petition and response, if any, shall be reviewed by the entire Commission and shall be granted only by a vote of four Commissioners when it is clear that the petition raises legal issues of significant impact or that panels of the Commission have reached conflicting decisions.

d) The Commission shall issue an Order on every petition, and shall serve a copy thereof on all Parties personally or by registered or certified mail. Whenever a petition for rehearing is granted, the Order shall notify the Parties of the time and place of oral argument before the Commission and whether any additional written arguments will be considered. Upon the granting of the petition for rehearing, the Commission's Order and Decision will be vacated.

e) When rehearing has been granted by the Commission in a matter where the Department is not a Party, the Department may request leave to file an amicus brief upon a question of law presented by the petition for rehearing upon motion to the Commission, a copy of which shall be served on all Parties. Such a motion by the Department will be granted by the Commission if it is satisfied that the interests of justice would be served.

f) Whenever rehearing is granted by the Commission in accordance with this Section, the Commission shall issue an Order and Decision en banc in the same manner as provided in Section 5300.1140.

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.1160 Modification of Commission Order

At any time prior to a final order of the Court in a proceeding under Section 8-111 of the Act, the Commission or the panel which decided the matter, upon its own motion or the motion of any Party, and with due notice to all Parties, may modify or set aside in whole or in part any finding or order made by it in the course of reviewing a Recommended Order and Decision. In such event, the Commission shall issue and serve upon the Parties a Supplemental Order and Decision in the same manner as provided in Section 5300.1140.

History

• Source: Amended at 16 Ill. Reg. 7838, effective June 1, 1992

56 Ill. Adm. Code 5300.1170 Interlocutory Appeals

a) If a Party desires to appeal to the appellate court an Order of a 3-member panel or the full Commission which is not final, a motion for appropriate findings must be made in writing within 14 days after the date of entry of the Order in question. The procedure for consideration of such motions shall be as described in Sections 5300.805 - 5300.865 of this Part.

b) The filing of a motion under this Section does not act as an automatic stay of the Order in question. If a Party wants the effect of the Order to be stayed while the motion for findings is being considered, this relief must be requested in the motion. If the motion for findings is granted, the Commission will automatically stay proceedings pending a ruling by the appellate court.

c) The 3-member panel or the full Commission will grant the motion for findings if it finds that the Order in question involves a question of law as to which there is substantial ground for difference of opinion and that an immediate appeal from the Order may materially advance the ultimate termination of the litigation.

d) If the Commission makes the required findings, the moving Party must file an application for leave to appeal within 14 days after their entry, in accordance with Supreme Court Rule 308.

History

• Source: Added at 20 Ill. Reg. 7820, effective June 1, 1996

56 Ill. Adm. Code 5300.1200 Public Comment

a) At the beginning of each Commission meeting required to be open by the Open Meetings Act [5 ILCS 120], the Commission shall set aside a period of time for public comment. Any person desiring to address the Commission shall be allowed up to three minutes for comments or questions. Only one person may speak on behalf of any organization.

b) Because of demands on the Commission, the total time for presentations at any meeting shall be limited to 30 minutes unless a Commissioner moves for, and the Commission approves, a longer period. Any person wishing to address the Commission, but unable or not allowed to do so, may submit a written statement to the Commission.

c) Personal attacks, use of profane language, gender, racial, and/or ethnic slurs will not be tolerated. Speakers shall refrain from making rude, derogatory, abusive and/or slanderous comments and engaging in personal character attacks, and shall refrain from unduly boisterous or disruptive conduct. Speakers who fail to adhere to these rules of conduct shall not be allowed to continue speaking or may be removed from the Commission's premises.

d) Parties, witnesses, or counsel in any matter pending before the Commission, will not be allowed to address the Commission, other than for scheduled oral argument.

History

• Source: Added at 44 Ill. Reg. 18930, effective November 23, 2020

56 Ill. Adm. Code 5300.1205 Recording of Human Rights Commission Meetings

Any person may record by tape, film, or other means the meetings of the Commission or its Panels required to be open pursuant to the Open Meetings Act, provided that, if the recording process interferes with the overall decorum and proceeding of a meeting, the recording will be discontinued at the request of the Chair or other presiding officer.

History

• Source: Added at 44 Ill. Reg. 18930, effective November 23, 2020

56 Ill. Adm. Code 5300.1300 General Duties and Responsibilities of the Chair

a) The Chair shall preside at all en banc meetings of the Commission and act as an alternate in a proceeding when a Commissioner is absent or disqualified.

b) The Chair shall perform all duties incident to the office of Chair, which may include but are not limited to:

1. conducting public outreach with community groups, advocacy groups, legal groups, or social justice organizations, locally and nationally;

2. providing guidance with the Commission's budget;

3. providing guidance on Commission staffing needs;

4. providing assistance in recruiting Commission interns;

5. maintaining data on discrimination trends;

6. networking with other jurisdictions, locally and nationally, in matters of discrimination and civil rights;

7. providing guidance and policy on legislative matters;

8. providing assistance in creating and maintaining a formal training program for all Commissioners on the substantive and procedural aspects of the office of the Commissioner, current issues in discrimination law in areas mandated by the Illinois Human Rights Act, and professional and ethical standards;

9. providing assistance in improving the overall methodology of Commission rules, procedures, etc.

c) The Chair may delegate the duties in subsection (b) to the Commission’s Vice Chair.

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.1305 General Duties and Responsibilities of the Vice-Chair

In the absence or disability of the Chair, the Vice-Chair shall perform temporarily all duties of the Chair, and when so acting shall have all the powers of, and be subject to all restrictions upon, the Chair. In the event of the Chair's inability to act, the Commission shall elect a new Chair at the next regular or special meeting to serve until the expiration of the term of the succeeded Chair. The Vice-Chair shall be selected by the members of the Commission by majority vote. If the office of Vice-Chair is vacated before the expiration of a term, it shall remain vacant until the next regular meeting, at which time the Commission shall elect a new Vice-Chair to serve until the expiration of the term of the succeeded Vice-Chair.

History

• Source: Added at 44 Ill. Reg. 18930, effective November 23, 2020

56 Ill. Adm. Code 5300.1310 Ethics Officer

The General Counsel of the Commission or a designee shall serve as the Ethics Officer for the Commission, Staff Attorneys, and other Commission employees.

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.1315 Oath of Public Office

The Chair and all Commissioners shall take an Oath of Office or affirmation at the beginning of their term. The Oath shall constitute the Commissioner's sworn responsibility to the public trust. The Oath of Office shall be administered by the Executive Director of the Commission.

History

• Source: Added at 44 Ill. Reg. 18930, effective November 23, 2020

56 Ill. Adm. Code 5300.1320 Regular Meetings

a) The full Commission shall meet pursuant to the approved yearly calendar in Chicago, Illinois and in Springfield, Illinois via teleconference.

b) Commission Panels shall meet pursuant to the approved yearly calendar in Chicago, Illinois and in Springfield, Illinois via teleconference.

c) The Chair or a majority of the members of the Commission may call special meetings to address specific matters. Notice of a special meeting shall be given in accordance with the Open Meetings Act.

History

• Source: Amended at 46 Ill. Reg. 17343, effective October 5, 2022

56 Ill. Adm. Code 5300.1325 Cancellation of Meetings

The Chair may cancel a regular or special meeting if she or he is aware that a quorum of the body will not be present or if the meeting date conflicts with other responsibilities of the Commissioners. The Chair may cancel a meeting if, after roll call, a quorum fails to attend or if, during a scheduled meeting, the Commission loses a quorum. Notices of continued, rescheduled, or cancelled meetings shall be posted as provided by the Open Meetings Act.

History

• Source: Added at 44 Ill. Reg. 18930, effective November 23, 2020

56 Ill. Adm. Code 5300.1330 Commission Code of Ethics

Commissioners agree to maintain the highest standards of professional and personal conduct. Each Commissioner shall adhere to the highest standards of ethical conduct and support the Commission's mission, goals, and objectives and shall instill in the public a sense of confidence in the Commission's operations. The standard of conduct for the Commission includes, but is not limited to:

a) being accountable for its rules of procedures and decisions, and promoting accountability of all members of the Commission and Commission staff;

b) treating all Commission staff, members of the public, and colleagues with courtesy, respect, objectivity, and fairness;

c) conducting all Commission business in a timely manner and in a transparent manner with full disclosure of policies and procedures, and engaging in the decisionmaking process, except for those matters authorized under the Illinois Human Rights Act and the Open Meetings Act;

d) reviewing its actions, recommendations, and procedures periodically to determine whether the Commission has adhered to its Code of Ethics and mission in all respects;

e) being adequately prepared and fully informed to render a decision whenever required;

f) substantially abiding by the current Illinois Judicial Code of Conduct (Rules 61 through 100.13 of Article I of the Illinois Supreme Court Rules).

History

• Source: Added at 44 Ill. Reg. 18930, effective November 23, 2020

56 Ill. Adm. Code 5300.1335 Attendance Requirements

a) Except in the event of a notified absence (see subsection (b)), each Commissioner is expected to attend each regular or special meeting of the Commission. The Commission Secretary shall maintain a record of members' attendance.

b) A Commissioner's absence shall constitute a "notified absence" when the Commissioner, in advance of the meeting, informs the Commission Secretary that the Commissioner will be absent. A notified absence must be given 72 hours prior to the scheduled meeting when possible. An absence due to unforeseen circumstances, such as illness or emergency, shall also qualify as a notified absence when the Commissioner reports that absence to the Commission Secretary as soon as reasonably possible. The Commission Secretary shall record as non-notified all absences involving neither advance notice nor unforeseen circumstances.

c) The Commission Secretary shall report all instances of non-notified absences, as well as any instance of three consecutive absences of a member, from regular meetings in a fiscal year to the member's appointing authority.

History

• Source: Added at 44 Ill. Reg. 18930, effective November 23, 2020

56 Ill. Adm. Code 5300.1340 Disqualification of Commissioner

a) A Commissioner shall disqualify himself or herself in a proceeding, including the consideration of a settlement agreement, in which the Commissioner's impartiality might reasonably be questioned, including but not limited to instances in which:

1. he or she has a personal bias or prejudice concerning a party or a party's counsel, or personal knowledge of disputed evidentiary facts concerning the proceedings;

2. he or she served as an attorney in the matter in controversy, or an attorney with whom the Commissioner previously practiced law served, during that association, as an attorney concerning the matter;

3. he or she is a material witness concerning the matter.

b) Remittal of Disqualification

A Commissioner disqualified under subsection (a) may disclose on the record the basis of the disqualification and may ask the parties to consider, out of the presence of the Commissioner, whether to waive disqualification. If, following disclosure of any basis for disqualification other than personal bias or prejudice concerning a party, the parties, without participation by the Commissioner, all agree in writing that the Commissioner should not be disqualified, and the Commissioner is then willing to participate, the Commissioner may participate in the proceeding. The agreement signed by all parties shall be made a part of the record of the proceeding.

c) When a Commissioner withdraws from a case, it shall be the duty of the Commissioner to notify the Chair, whose function it shall be to transfer the case to an alternate Commissioner.

History

• Source: Added at 44 Ill. Reg. 18930, effective November 23, 2020

56 Ill. Adm. Code 5300.1400 Code of Ethics

a) Staff Attorneys hired pursuant to Section 8-101(E) of the Act shall adhere to the highest standards of ethical conduct, support the Commission's mission, goals, and objectives, and instill in the public a sense of confidence in the Commission's operations.

b) The standard of conduct for Staff Attorneys and other Commission employees includes, but is not limited to:

1. adherence to Commission personnel rules, procedural directives, and accountability to the members of the Commission and the Executive Director;

2. treatment of all Commission staff, the public, and colleagues with courtesy, respect, objectivity and fairness;

3. conduct of all Commission business in a timely and transparent manner, with full adherence to Commission policies and procedures; and

4. engagement in the Commission's decisionmaking process, to the extent requested by the Commission.

History

• Source: Added at 44 Ill. Reg. 18930, effective November 23, 2020

56 Ill. Adm. Code 5300.1405 Disqualification of Staff Attorneys

A Staff Attorney shall disqualify himself or herself from a proceeding, including the consideration of a settlement agreement, in which the Staff Attorney's impartiality might reasonably be questioned, including but not limited to instances in which:

a) he or she has a personal bias or prejudice concerning a party or a party's lawyer, or personal knowledge of disputed evidentiary facts concerning the proceedings;

b) he or she served as an attorney in the matter in controversy, or an attorney with whom the Staff Attorney previously practiced law served during that association as an attorney concerning the matter;

c) he or she is a material witness concerning the matter.

History

• Source: Added at 44 Ill. Reg. 18930, effective November 23, 2020

56 Ill. Adm. Code 5300.1410 Assignment of Request for Review

The Office of the General Counsel shall:

a) maintain supervisory control over all staff attorneys, contract attorneys, and Staff Attorneys;

b) maintain a Request for Review Docket for the regular meetings and a Special Backlog Panel;

c) be responsible for assigning contested matter cases and Request for Review matters to each Commission Panel and Special Backlog Panel;

d) create agendas for all Commission meetings and keep minutes of all Commission and Special Backlog Panel meetings;

e) review all Commission Panel orders and Special Backlog Panel orders prior to service; and

f) be responsible for the posting of all Panel decisions.

History

• Source: Added at 44 Ill. Reg. 18930, effective November 23, 2020

Chapter XII Prairie State 2000 Authority

Part 5400 Individual Training Assistance Program

56 Ill. Adm. Code 5400.100 Summary and Purpose

The purpose of the Individual Training Assistance Program (the "Program") is to assist unemployed individuals and employed workers in need of additional skills for continued employment, who are willing and able to work but who lack the appropriate skills to perform tasks in a modern business or industrial environment and who lack the financial resources to acquire those skills. Under this Program, the Prairie State 2000 Authority (the "Authority") may issue job-linked educational and vocational training vouchers to qualified institutions on behalf of individuals, the redemption of which, shall defray a portion of the tuition and expenses for qualified educational and vocational training programs.

56 Ill. Adm. Code 5400.110 Definitions

"Act" means the Prairie State 2000 Authority Act (Ill. Rev. Stat. 1991, ch. 48, par. 1501 et seq.).

"Applicant" means an individual who has applied to receive Benefits under the Program.

"Applications" means the applications for Benefits submitted by individuals under this Program.

"Authority" means the Prairie State 2000 Authority.

"Benefits" means the educational or vocational training vouchers authorized under the Act.

"Board" means the Board of Directors of the Authority.

"Dislocated Worker Center" means a center which provides a wide range of counseling, assessment, training, job search and placement services to workers and which is identified by the Illinois Department of Commerce and Community Affairs as a Dislocated Worker Center.

"Employed" means engaged in employment as defined in Section 206 of the Unemployment Insurance Act (Ill. Rev. Stat. 1991, ch. 48, par. 316).

"Fund" means the Prairie State 2000 Fund established in the Illinois State Treasury.

"Intake Center" means an institution meeting the requirements of Section 5400.220(b) and approved by the Board pursuant to Section 5400.220(d).

"Program" means the Individual Training Assistance Program.

"Qualified Training Program" or "Training Program" means a program qualified by the Board pursuant to Section 5400.210.

"Satisfactory Progress" means satisfactory progress as defined by a Training Provider in its published manual of rules and policies or in the absence of Training Provider policy, maintenance of a cumulative 80% attendance record and an average grade of "C" or better.

"Service Delivery Area" means the governing body of an area designated as a service delivery area under the federal Job Training Partnership Act (29 U.S.C. 1511).

"State" means the State of Illinois.

"Successfully Complete" or "Successful Completion" means successful completion as defined by and in accordance with the practices of the Training Provider and as published in the Training Provider's manual of rules and policies.

"Training Provider" means an institution which meets the eligibility requirements of Section 5400.210(c), and which provides a Training Program qualified by the Board pursuant to Section 5400.210(d).

"Unemployed" means an unemployed individual as defined in Section 239 of the Unemployment Insurance Act (Ill. Rev. Stat. 1991, ch. 48, par. 349).

"Workplace Literacy and Basic Skills Education" means those common branch skills and English-as-a-second-language skills that are directly related to the ability to perform occupational tasks.

History

• Source: Amended at 16 Ill. Reg. 8529, effective May 29, 1992

56 Ill. Adm. Code 5400.200 Eligible Applicants

Only individuals who are Illinois residents and who are 18 years or older are eligible to apply for and receive Benefits under the Program. In order to be eligible the Applicant must demonstrate the following:

a) The Applicant must be enrolled in or intend to enroll in a Training Program which has been certified by the Board as qualified for reimbursement pursuant to Section 5400.210(d).

b) The applicant has established vocational goals directed toward the acquisition of marketable skills. (Section 14(b) of the Act) Whether an Applicant has established vocational goals will be determined by the Intake Center reviewing the Application. Any course approved by the Authority will provide training directed toward the acquisition of marketable skills.

c) The applicant has not been issued vouchers in the maximum amount authorized under Section 5400.310 within the 24 months previous to the determination that the applicant is eligible for receipt of benefits under this program. (Section 14(c) of the Act)

d) The applicant will not receive funds for a job training program under the federal Job Training Partnership Act (29 U.S.C. 1511) for vocational classroom training or on the job training during the time he or she is receiving assistance under the program. (Section 14(c) of the Act)

e) The Applicant is either:

1. within a benefit year as defined in Section 242 of the unemployment insurance act, (Ill. Rev. Stat. 1985, ch. 48, par. 352) (Section 14(a) of the Act); or

2. unemployed but can establish at least a three year Unemployment Insurance coverage work history by having been employed as defined under Section 206 of the Unemployment Insurance Act (Ill. Rev. Stat. 1985, ch. 48, par. 316) a minimum of 3 years, such employment to have occurred within 10 years previous to the date of an application for benefits (Section 14(a) of the Act); or

3. employed, but is in need of additional skills for continued employment and would be determined to meet the requirements of the Unemployment Insurance Act to establish a benefit year if such applicant became unemployed through a lack of suitable work opportunities. (Section 14(a) of the Act)

f) The Applicant must be willing and able to meet any additional costs of the training under the Qualified Training Program such as additional fees or tuition costs not paid by the Authority.

56 Ill. Adm. Code 5400.210 Qualification of Training Programs and Training Providers

a) The Authority shall approve educational and vocational programs and courses as Qualified Training Programs in which individuals seeking additional educational skills may enroll and for which individuals may receive Benefits to defray the costs of the Training Program.

b) Training Programs which are eligible to be qualified pursuant to this Section shall:

1. provide vocational or educational training in semi-technical or technical fields or semi-skilled or skilled fields;

2. reflect current local labor market needs; and

3. be structured to develop marketable skills. (Section 17 of the Act)

Generally, except for workplace literacy and basic skills education training, if more than 50% of the training consists of basic education (such as remedial english or math) of if the training is in preparation of a job providing compensation based solely on commission, that training does not constitute vocational or educational training in semi-technical or technical fields or semi-skilled or skilled fields. Training Providers may utilize labor market information sources such as the Illinois Department of Employment Security and the Illinois Occupational Information Coordinating Council, to demonstrate that programs reflect current local labor market needs and are structured to develop marketable skills. Any Training Program approved pursuant to the federal Job Training Partnership Act, or paragraph C(5) of Section 500 of the Unemployment Insurance Act (Ill. Rev. Stat. 1991, ch. 48, par. 420), or approved as an apprenticeship Training Program by the Illinois Department of Employment Security is an eligible Training Program. (Section 17 of the Act)

c) Qualified Training Programs may be offered by Training Providers which are institutions located in the State (Section 17 of the Act) and which satisfy one of the following eligibility requirements:

1. The institution is operated by a public school as defined in the School Code (Ill. Rev. Stat. 1991, ch. 122, par. 1-3). (Section 17 of the Act)

2. The institution is operated by a public community college as defined in the Public Community College Act (Ill. Rev. Stat. 1991, ch. 122, par. 101-2). (Section 17 of the Act)

3. The institution is operated publicly or privately on a not for profit basis and meets standards substantially equivalent to those of comparable institutions operated by the State or by public community colleges. (Section 17 of the Act) In determining whether an institution meets standards substantially equivalent to those of comparable institutions operated by the State or by public community colleges, the Authority shall consider standards as established by the State Board of Education and shall consider factors such as the adequacy of the physical facilities, the qualifications of the instructors, and the placement history of the institution.

4. The institution is operated by a college or any business, trade, technical or vocational school which is recognized or accredited by a recognized national or multistate organization or association which regularly recognizes or accredits colleges or schools. (Section 17 of the Act)

5. The institution is operated publicly or privately, but does not operate as its principal business educational and vocational training programs, provided the programs offered by the institution are operated as a distinct unit of that institution, and participation in the program is not contingent on an individual's becoming an employee of that concern. (Section 17 of the Act)

d) On a quarterly basis the Board shall publish a list of Qualified Training Programs for which vouchers may be issued under these rules. The list shall be kept on file at the Authority's office and shall be available upon request. Qualified Training Programs must meet the requirements of subsection (b) of this Section and must be offered by a Training Provider meeting the requirements of subsection (c) of this Section. In selecting those programs which qualify, the Board shall consider the following:

1. The recommendations of the State Board of Higher Education, the State Board of Education, the Illinois Community College Board and other state agencies or associations. (Section 17 of the Act)

2. The extent to which the Training Program advances the purposes of the Act.

3. The extent to which the Training Program maximizes the number of jobs to be created or retained.

4. The degree of need for the skills to be provided by the Training Program.

5. The demand for the Training Program and the availability of funds to finance vouchers for the Training Program.

History

• Source: Amended at 16 Ill. Reg. 8529, effective May 29, 1992

56 Ill. Adm. Code 5400.220 Approval of Intake Centers

a) The Authority may utilize Intake Centers to process Applications submitted under this Program. The Intake Centers shall provide certain social and administrative services to further the goals of the Program. Intake Centers shall either provide educational services directly or contract with outside Training Providers to provide Applicants with educational and vocational training approved by the Authority.

b) Only those institutions which are operated on a not-for-profit basis and which offer Qualified Training Programs or have an arrangement with a Training Provider meeting the requirements of Section 5400.210(c)(1), Section 5400.210(c)(2) or Section 5400.210(c)(4) are eligible Intake Centers. Service Delivery Areas and Dislocated Worker Centers which otherwise meet the requirements of this Section are eligible for approval as Intake Centers.

c) Those institutions which are eligible pursuant to subsection (b) may submit applications to the Authority requesting designation as an approved Intake Center. All applications shall be submitted on forms provided by the Authority and shall include information the Authority deems necessary, such as the name and address of the Applicant, the Intake Center Coordinator, a description of the area to be served by the Intake Center, a description of services to be provided, and how the service will be provided.

d) The Authority shall review applications submitted pursuant to this Section and based on the availability of funds during any fiscal year, may approve for a period of one year institutions meeting the requirements of subsection (b) and shall allocate fund levels to each approved Intake Center. Approval of Intake Centers and levels of funding shall be determined, in part, by the demand for employment in the geographic area in which the Intake Center is located, the population of the geographic area, the time frame in which the Intake Center application is submitted, previous Intake Center performance, the nature of the facilities of the Intake Center, the placement history of the Intake Center and the availability of alternative program funds. All funds allocated to an Intake Center are subject to reallocation upon the Authority's finding that the funds are not being utilized.

e) Intake Centers approved by the Authority shall conduct assessment procedures necessary to determine whether unemployed Applicants have the capabilities required to Successfully Complete a training course or program. The Intake Center shall specify in its application to the Authority the assessment procedures it will utilize. These assessment procedures must be nationally recognized and must measure both aptitude and achievement.

f) Intake Centers approved by the Authority shall provide any other services described in an agreement to be executed by the Authority and the Intake Center. Such services may include placement assistance, client outreach and Applicant interviews.

56 Ill. Adm. Code 5400.230 Application Requirements

Applications for training shall be submitted by individuals on forms provided by the Authority and shall include information the Authority deems necessary, such as the Applicant's name and address, the Applicant's employment history and the name of the Training Program selected by the Applicant.

56 Ill. Adm. Code 5400.240 On-Site Inspection

During the period in which the Application is being reviewed and training provided, the Training Provider shall provide representatives of the Authority access to the site where the Training Program will be conducted. The Authority shall give notice prior to requesting access to the Training Program site and shall request such access only during normal business hours.

56 Ill. Adm. Code 5400.300 Selection Criteria

The Authority shall review completed Applications submitted by individuals and subject to the availability of funds, shall approve the award of Benefits to those Applicants the Board determines to be entitled to receive Benefits taking into account the following criteria:

a) Whether the Applicant fulfills the requirements of an eligible Applicant as defined in Section 5400.200.

b) Whether the Applicant is currently employed and in need of additional skills to maintain employment or currently unemployed. In the event sufficient funds are not available to meet all training applications on a current basis, priority shall be given to those applicants who are unemployed over those applicants who are employed but inappropriately skilled. (Section 15(c) of the Act)

c) In no event shall vouchers be issued under this Program unless funds have been appropriated or otherwise made available during the fiscal year. (Section 15(c) of the Act)

56 Ill. Adm. Code 5400.310 Amount of Vouchers

An Applicant whose application is approved by the Authority pursuant to the provisions of Section 5400.300 may receive the amount of Benefits established as follows:

a) If the Applicant is unemployed and meets the requirements of Section 5400.200(e)(1) or Section 5400.200(e)(2) the applicant may receive benefits in an amount equal to the aggregate costs of tuition, any required Training Provider fees to reimburse the Intake Center for the services it provides and required educational fees, such as lab fees, for the Training Program in which the applicant intends to enroll, all as approved by the Authority in its arrangement with the Intake Center or Training Provider; provided that the aggregate value of the vouchers to be issued, together with all such vouchers issued within the 24 months preceding the determination, shall not exceed $2,000, except for workplace literacy and basic skills education training. (Section 15(a) of the Act)

b) If the Applicant is employed and meets the requirements of Section 5400.200(e)(3) the applicant may receive benefits in an amount equal to 50% (and in the case of workplace literacy and basic skills education training, up to 100%) of the aggregate costs of tuition, any required Training Provider fees to reimburse the Intake Center for the services it provides and required educational fees, such as lab fees, for the Training Program in which the applicant intends to enroll all as approved by the Authority in its arrangement with the Intake Center or Training Provider; provided that, except in the case of workplace literacy and basic skills education training, the aggregate value of the vouchers to be issued, together with all such vouchers issued within the 24 months preceding the determination, shall not exceed $1,000. (Section 15(b) of the Act)

c) An applicant who has received benefits under the Act, the amount of which was determined under subsection (a) of this Section, is not eligible to receive benefits in the amount determined in subsection (b) of this Section until the applicant is qualified to receive benefits under subsection (b) of this Section and meets the requirements of Section 5400.200. (Section 15(f) of the Act)

History

• Source: Amended at 16 Ill. Reg. 8529, effective May 29, 1992

56 Ill. Adm. Code 5400.320 Notification and Submission of Claims

Upon approval under Section 5400.300 of an Application and after the Applicant has been admitted to the Training Program, the Intake Center which processed the Application shall give notice to the Board of the Applicant's admission and shall submit a claim for payment which specifies the name of the Applicant, the Training Program in which the Applicant is enrolled, the amount of the claim and the total amount of Benefits awarded to the Applicant for the Training Program. The Intake Center's claim for payment for reimbursement of the costs of the Applicant's participation in the Training Program shall be submitted on forms provided by the Authority and shall be verified by the Intake Center as being unduplicated.

56 Ill. Adm. Code 5400.330 Issuance of Vouchers

a) After the Authority has approved an Application for Benefits, the Authority shall issue a tuition voucher in the appropriate amount. The tuition voucher shall state on it's face the value of the voucher and the conditions to be met for partial or full redemption and shall refer to all provisions, rules and regulations governing the proper use of the voucher and all penalties which may result in the event the voucher is not used in accordance with such provisions, rules and regulations. (Section 13 of the Act). The voucher is to be delivered to the Intake Center which processed the Application. A copy of each tuition voucher issued shall be delivered to the individual receiving benefits under this program. (Section 16(c) of the Act). The Authority shall issue payment vouchers as provided in paragraph (b) of this Section. The Intake Center shall disburse that portion of the payment voucher which reimburses the costs of educational training provided by training institutions other than the Intake Center promptly upon the Intake Center's receipt of the payment voucher. No payment voucher shall be issued by the Authority for any claim determined to be qualified pursuant to Section 5400.300 after 52 weeks from the first day of the week during which a claim is made and for training services which are not completed before 92 weeks after the first day of the week during which the claim was submitted. (Section 15(d) of the Act)

b) The Authority shall issue payment vouchers to reimburse training of an Applicant in an amount to cover one-half (½) of the approved costs of training of such Applicant upon enrollment of the Applicant in a Training Program and one-half (½) upon completion of fifty percent of the scheduled clock hours of the Training Program.

56 Ill. Adm. Code 5400.340 Redemption of Vouchers

Upon receipt of the payment voucher, the Intake Center shall deliver the voucher to the State Comptroller who shall draw his warrant on the State Treasurer for payment from the Fund to the Intake Center.

56 Ill. Adm. Code 5400.400 Recordkeeping, Reporting and Access to Information

Any Intake Center participating in this Program who receives vouchers on behalf of individuals shall:

a) Submit periodic documented claims to the Authority for enrolled Applicants for which partial tuition and fees have been earned as provided in Section 5400.330(b).

b) Maintain documentation of all earned tuition and fees for three years and provide the Authority and its representatives reasonable access during business hours to such documentation for inspection. The Authority shall give notice to the Intake Center prior to requesting access to such documentation.

c) Notify the Authority of the Successful Completion of Training Programs by all Applicants enrolled in the programs offered by the Intake Center or other Training Provider.

56 Ill. Adm. Code 5400.410 Inspection of Records and Verification of Successful Completion

Representatives of the Authority may periodically visit and inspect the records including grades, course roster and attendance records of Intake Centers or Training Providers relating to enrolled Applicants in Qualified Training Programs in order to:

a) Verify enrollment of an Applicant in the Training Program.

b) Verify Satisfactory Progress of an enrolled Applicant.

c) Confirm Successful Completion by an Applicant of a Training Program.

56 Ill. Adm. Code 5400.420 Refund of Benefits

An individual receiving benefits under this program who fails to successfully complete a Training Program in which he or she is enrolled, shall refund the entire amount of all vouchers paid on his or her behalf unless the Board finds the individual was unable to successfully complete the training program because of medical disability, death or undue family hardship. (Section 19 of the Act). The Board shall make a finding of undue family hardship in those instances where there has been a substantial change in the financial resources of the family or where there has been a structural change in the family requiring the withdrawal of the Applicant from the work force.

Part 5410 Employer Training Assistance Program

56 Ill. Adm. Code 5410.100 Summary and Purpose

a) The Employer Training Assistance Program (the "Program") provides training funds to qualified employers who

1. currently employ workers threatened with layoff, or

2. are increasing the number of jobs available to Illinois workers, are expanding the tax base in Illinois or are increasing Illinois exports.

b) Under this Program the funds are used to defray the costs of qualified training programs provided by these employers. The establishment of employment training programs which foster job retention, reduce employer unemployment insurance costs and meet the needs of the economy for skilled workers is the principal goal of the Program.

56 Ill. Adm. Code 5410.110 Definitions

"Act" means the Prairie State 2000 Authority Act (Ill. Rev. Stat. 1985, ch. 48, par. 1501 et seq.).

"Applicant" means an employer who has applied to receive a Loan or Grant under this Program.

"Application" means an application submitted by an employer applying for Loans or Grants under this Program.

"Authority" means the Prairie State 2000 Authority.

"Board" means the Board of Directors of the Authority.

"Grant" means a grant awarded by the Authority under this Program.

"Loan" means a loan awarded by the Authority under this Program.

"Loan or Grant Agreement" means the Agreement signed by the Authority and an Applicant by which the Authority obligates itself to provide funds to the Applicant under this Program.

"Program" means the Employer Training Assistance Program.

"State" means the State of Illinois.

"Training Program" means a program of educational or vocational training which meets the requirements of Section 5410.210.

"Training Provider" means an institution which provides a Training Program.

56 Ill. Adm. Code 5410.200 Eligible Applicants

Persons qualifying as employers as defined in Section 205 of the Unemployment Insurance Act, (Ill. Rev. Stat. 1985, ch. 48, par. 315), are eligible to apply for and receive funds under the provisions of this Program, provided that the Applicant is unable to provide sufficient funds internally, or from other available sources, including Federal, State or locally administered employment training programs (Section 18(a)(2) of the Act); and:

a) the Applicant is expanding its business enterprise in this State, is locating a new business enterprise in this State, is introducing more efficient technology into its operations which will result in greater output per employee, is expanding into new markets, or is expanding exports from Illinois (Section 18(a)(3) of the Act); or

b) the employees to be provided training are threatened with layoff by the Applicant unless the proposed training is made available to them. (Section 18(a)(3)(ii) of the Act)

56 Ill. Adm. Code 5410.210 Eligible Training Programs

From applications filed by eligible employers, the Authority may select for an award of a Loan, Grant or both, on the basis of the criteria set forth in Section 5410.300, Training Programs which meet the following provisions:

a) The Training Program provides job-linked training which offers special skills for career advancement and which prepares the trainee for and leads directly to improved performance on the job or a new job with definite career potential and long-term job security. (Section 18(a)(1) of the Act)

b) The Training Program provides training in fields for which there are critical demands for certain skills. (Section 18(a) of the Act)

c) If the proposed Training Program is specifically the subject of an existing collective bargaining agreement, the signatory labor organization has consented in writing to the Training Program to be funded by the authority. (Section 18(c) of the Act)

56 Ill. Adm. Code 5410.220 Application Requirements

Applications for funds shall be submitted by Applicants on forms provided by the Authority and shall include the following:

a) The Applicant's name, address and telephone number, and the names of the Applicant's Chief Executive Officer or other authorized officer, Training Director and a contact person for the Training Program.

b) A brief description of the Applicant's business.

c) Identification of the Training Provider.

d) A budget indicating the costs of the employer Training Program, and the source of funds to finance the costs. The budget may be submitted on forms to be provided by the Authority and shall include information such as the cost of contractual services, the cost of materials and supplies, the salaries of personnel conducting the training, any travel costs, etc.

e) A description of the Training Program including total hours of training to be provided to each person.

f) Information demonstrating that the Applicant meets the requirements of Section 5410.200 and the Training Program meets the requirements of Section 5410.210.

g) Information regarding the employees who will participate in the Training Program including the names and social security numbers of the employees and other information regarding those employees the Authority deems necessary such as job title or classification.

56 Ill. Adm. Code 5410.230 Technical Assistance

Upon reasonable request, representatives of the Authority shall provide assistance to Applicants in completing the Application and Training Program budget.

56 Ill. Adm. Code 5410.240 On-Site Inspection

During the application process, Applicants shall provide representatives of the Authority access to the Applicant's place of business and site where the Training Program will be conducted. The Authority shall provide notice to the Applicant prior to requesting such access and shall request access only during normal business hours.

56 Ill. Adm. Code 5410.300 Selection Criteria

a) On at least a quarterly basis, and subject to the availability of funds, the Authority shall review Training Programs for which complete Applications have been received by Applicants who satisfy the requirements of Section 5410.200 and, considering the following criteria, shall select for an award of a Loan, Grant or both, those Training Programs which advance the purposes of the Act and comply with Section 5410.210:

1. The extent to which the Training Program addresses Authority objectives as stated in Section 5410.100;

2. The extent to which the Training Program maximizes the number of jobs to be created or retained (Section 18(f) of the Act);

3. The extent to which the Training Program defines training needs in terms of employability;

4. The relative degree of need for the skills to be provided by the Training Program, including both Applicant need and the transferability of the skills throughout the community in which the Applicant is located;

5. The extent to which the Training Program is designed to meet the training needs as defined by the Applicant;

6. The cost effectiveness of the Training Program, considering such statistics as the cost per contact hour and the cost per trainee;

7. The amount of the Applicant's financial contribution;

8. The financial capacity of the Applicant to repay the Loan, if applicable, considering statistics such as the Applicant's debt ratio, cash flow projections and production levels; and

9. The contribution the Training Program will make to the economic development of the State or region by the Applicant.

b) The nature and purpose of the Training Program will determine the extent to which each of the foregoing criteria will apply and the weight to be given by the Authority to each.

c) The Authority shall select for an award of a Loan, Grant or both only those Applicants who, in selecting persons for participation in the Training Program, agree to comply with all state and federal statutes, rules and regulations, which prohibit discrimination based on an individual's race, color, religion, place of national origin, ancestry, sex, age, marital status, physical or mental handicap unrelated to ability or an unfavorable discharge from military service, including Title VI of the Civil Rights Act of 1964, the Constitution of the United States, the 1970 Constitution of Illinois, the Illinois Human Rights Act and Section 504 of the Rehabilitation Act of 1973, as amended.

56 Ill. Adm. Code 5410.310 Eligible Costs

The costs of an employer incurred directly as a Training Program expense including salaries and benefits of training staff, contractual services, overhead, materials and supplies, equipment, travel and other related expenses directly necessitated by the Training Program are eligible costs of an employer which may be reimbursed by Loan or Grant proceeds or both.

56 Ill. Adm. Code 5410.320 Loan Amounts

The Authority may issue Loans in such amounts as the Board determines. The Board may approve Loans in amounts necessary to pay up to 100% of eligible costs, as defined in Section 5410.310, incurred by an employer for training. In determining the amount of the Loan to be awarded the Authority shall consider the availability of funds and the factors stated in Section 5410.300(a).

56 Ill. Adm. Code 5410.330 Terms of Loan

The Loan may mature at such time or times, may be at such interest rate, may be in such form, and may contain such terms, covenants, and assurances, all as may be provided by the Authority in the Loan Agreement.

56 Ill. Adm. Code 5410.340 Loan Forgiveness

The Authority shall provide in a Loan that for each individual who remains continuously employed on a full-time basis with the employer for one year after completion of the training program, up to a maximum of 25% of the eligible costs, as defined in Section 5410.310, attributable to that employee and financed by the loan, may be credited as partial repayment of the principal of such loan. (Section 18(d) of the Act)

56 Ill. Adm. Code 5410.350 Grant Amounts

The Board may approve Grants in amounts necessary to pay up to 50% of eligible costs, as defined in Section 5410.310, incurred by an employer for training. In determining the amount of the Grant to be awarded the Authority shall consider the availability of funds and the factors stated in Section 5410.300(a).

56 Ill. Adm. Code 5410.360 Withholding of Grant Proceeds

The Authority shall withhold at a minimum 25% of the amount of the grant until the trainee has been retained in employment for 90 days after the end of training, except for those occupations in which it is not customary for a worker to be employed 90 consecutive days with a single employer (including occupations such as carpentry, construction work, landscaping, roofing and other seasonal or trade occupations). In such cases the Board may substitute a period similar to the probationary period customary to such occupation, which shall be not less than 500 work hours. (Section 18(c) of the Act)

56 Ill. Adm. Code 5410.370 Grant Restrictions

The Board shall award Grants to Applicants only when the applicant has demonstrated that a loan would not achieve the purposes of the program (Section 18(f) of the Act). An Applicant may demonstrate that a Loan will not achieve the purposes of the program by demonstrating that a Loan is against company policy; that a Loan will place an unreasonable burden on the Applicant such as when there is an uncertainty as to future profits or where Loan repayments would impair cash flow, or by other similar demonstrations. No grant shall exceed one-half the cost of the Training Program to be provided by the employer or its agent. (Section 18(c) of the Act)

56 Ill. Adm. Code 5410.380 Fund Restrictions

a) No funds shall be provided for a Training Program which allows a person to receive employment training under that Training Program for a period greater than 18 consecutive months. (Section 18(e) of the Act)

b) No Training Program using funds provided under this program shall extend for more than 24 months. (Section 18(e) of the Act)

56 Ill. Adm. Code 5410.390 Disbursement of Proceeds

Upon approval of an Application for a Grant and execution of a Grant Agreement, and subject to the provisions of this Program, fifty percent (50%) of the funds to be provided by the Authority to the Applicant shall be immediately disbursed. The remaining fifty percent (50%) of the funds to be provided by the Authority shall be disbursed upon receipt of evidence that the employees who participated in the Training Program have been retained and are employed by the Applicant 90 days after completion of the Training Program. Upon approval of an Application for a Loan and execution of a Loan Agreement the funds to be provided by the Authority shall be immediately disbursed to the Applicant.

56 Ill. Adm. Code 5410.400 Recordkeeping and Access to Information

Any employer who receives Loans or Grants shall:

a) Maintain accounts, records and books relative to the Training Program including the name of each participant in the Training Program and whether the employee successfully completes the Training Program. The employer shall maintain those records for a period of three years from the date of completion of the Training Program.

b) Provide to representatives of the Authority at all times during normal business hours and as often as the Authority may require, reasonable access to the Training Program and to all reports, accounts, records and other data regarding the Training Program and the employees participating in the Training Program. The Authority shall provide notice to the employer prior to requesting such access.

c) Permit the Authority or any accountants approved by the Authority to make excerpts or transcripts of the Training Program accounts, statements and documents as required by the Authority.

56 Ill. Adm. Code 5410.410 Reporting

Employers who receives Grants or Loans shall submit to the Authority a progress report 90 days after completion of the training. The report shall include a brief description of the training provided and a statement indicating the progress and employment status of employees who participated in the Training Program. Employers who receive Loans shall submit an additional report one year after completion of the training which states the number of employees who participated in the training who are still continuously employed by the employer.

Chapter XIII Department of Labor

Part 6000 Amusement Ride and Attraction Safety Act

56 Ill. Adm. Code 6000.10 Definitions

In addition to those definitions found in Section 2-2 of the Amusement Ride and Attraction Safety Act, the following definitions shall apply for the purposes of this Part:

"Act" means the Amusement Ride and Attraction Safety Act [430 ILCS 85].

"ACCT" means the abbreviation for the Association for Challenge Course Technology, P.O. Box 19797, Boulder CO 80308.

"Administrative Hearing Fee" means a fee assessed by the Department upon an operator when the Department issues a notice for an administrative hearing under the Act and this Part.

"AIMS" means Amusement Industry Manufacturers and Suppliers International, P.O. Box 5178, Jacksonville FL 32247.

"All-Terrain Vehicle" or "ATV" means any vehicle designed and manufactured for off-road use.

"A.M. Best" or "Best" is the abbreviation for A.M. Best Company, Ambest Road, Oldwick NJ 08858.

"Annual Inspection" is the official inspection of an amusement ride or amusement attraction performed by the Director or the Director's designee.

"ANSI" means American National Standards Institute, Inc., 1899 L Street, NW, 11th Floor, Washington DC 20036.

"ASNT" means American Society for Nondestructive Testing, Inc., 1711 Arlingate Lane, P.O. Box #28518, Columbus OH 43228.

"ASTM" means ASTM International, 100 Barr Harbor Drive, West Conshohocken PA 19428.

"Board" means the Amusement Ride and Attraction Safety Board as defined in Section 2-3 of the Act.

"Building" means a structure that stands alone or that is cut off from adjoining structures by fire walls with all openings therein protected by approved fire doors.

"Carabiners" means shaped metal or alloy devices used to connect sections of jump rigging, equipment or safety gear.

"Carnival" or "Amusement Enterprise" means an establishment that offers amusement or entertainment to the general public by means of one or more amusement attractions or amusement rides, regardless of whether a form of payment is required for admission. [430 ILCS 85/2-2]

"Carnival Worker" or "Amusement Enterprise Worker" means an individual who performs work for a carnival, amusement enterprise, or fair to manage, physically operate, or assist in the operation of an amusement ride or amusement attraction when it is open to the public. [430 ILCS 85/2-2] This definition includes volunteers.

"Certified Arborist" means an individual who holds a valid arborist certificate from the International Society of Arboriculture or comparable authority in another state.

"Coaster – Intermediate" means any coaster that is more than 25 feet but less than 50 feet in height at the highest point of the track above grade.

"Coaster – Large" means any coaster that is 50 feet or more at the highest point of the track above grade.

"Concession Go-kart" means a go-kart specifically designed and manufactured for indoor or outdoor use for up to 15 mph.

"Crane Operator" means a person who is experienced in operating a crane used for hoisting material or personnel. Proof of experience shall be a statement on letterhead stationery from a present employer or a journeyman's card in good standing from the International Union of Operating Engineers.

"Department" means Illinois Department of Labor. [430 ILCS 85/2-2]

"Director" means the Director of the Illinois Department of Labor or the Director's designee. [430 ILCS 85/2-2]

"Dune Buggy" means a small vehicle generally made from standard compact rear engine chassis and prefabricated, often fiberglass body, originally equipped with wide low-pressure tires for driving on sand.

"Employee", for purposes of this Part, means an individual who is performing services for pay or lodging as an attendant or assistant on an amusement ride or amusement attraction.

"Employed" means to perform services for pay or lodging as an attendant or assistant on an amusement ride or amusement attraction.

"Fair" means an enterprise principally devoted to the exhibition of products of agriculture or industry in connection with which amusement rides or amusement attractions are operated. [430 ILCS 85/2-2]

"Haunted House" or "Special Amusement Structure" means an amusement attraction, whether temporary, permanent, or mobile, consisting of a structure or building open to the public that contains a device or system that conveys passengers or provides a walkway along, around, or over a course in any direction as a form of amusement arranged so that the egress path is not readily apparent due to visual or audio distractions or an intentionally confounded egress path, or is not readily available due to the mode of conveyance through the building or structure, as defined by the Life Safety Code (NFPA 2005). A Haunted House need not be Halloween-themed in order to be subject to this Act. Factors the Director may consider when determining whether any entity meets this definition include, but are not limited to, whether the entity has limited visibility and non-conspicuous points of egress.

"Inflatable Attraction" means an amusement ride or device that is designed for bouncing, climbing, sliding, or other forms of interactive play, is made of flexible fabric, is inflated by airflow by one or more blowers, and relies upon air pressure to maintain its shape. This definition shall not include inflatable devices that are used for professional exhibition or stunt work, safety and rescue activities, aerial or aviation structures or devices, exhibit floats, or similar inflatable devices.

"In-line Riding" means one person in front of the other.

"Kiddie Kart" means karts that are designed for 75 pounds or less per passenger and go less than 10 mph.

"Kiddie Rides" means amusement rides or amusement attractions designed for 75 pounds or less per passenger.

"Licensed Professional Engineer" means an individual who holds a valid license as a licensed professional engineer from the Illinois Department of Financial and Professional Regulation.

"Licensed Structural Engineer" means an individual who holds a valid license as a licensed structural engineer from the Illinois Department of Financial and Professional Regulation.

"Major Alteration" means a change in the type or capacity of an amusement ride or amusement attraction or a change in the structure or mechanism that materially affects its functions or operation. This includes but is not limited to changing its mode of transportation from non-wheeled to a truck or flatbed mount, and changing its mode of assembly or other operational functions from manual to mechanical or hydraulic.

"Major Breakdown" means a stoppage of operation of an amusement ride or amusement attraction occurring from damage to a structural component.

"Major Rides" means amusement rides or amusement attractions designed for more than 75 pounds per passenger. The term includes any coaster that is 25 feet or less at the highest point of the track above grade.

“NAARSO” means the National Association of Amusement Ride Safety Officials, 107 Dunbar Ave., Suite Q, Oldsmar FL 34677.

"NFPA" means National Fire Protection Association, 1 Batterymarch Park, Quincy MA 02169.

"Operating Staff" is inclusive of and means any of the following individuals or some combination thereof:

"Owner" means the individual, partnership, company, corporation, or any other entity, or agency of the State or any of its political subdivisions, that owns an amusement ride or amusement attraction.

"Agent" means an individual employed by the owner to carry out the responsibilities of management on the owner's behalf.

"Manager" means an individual, employed by the owner, who is responsible to the agent or the owner for the day-to-day, on-site management of an amusement ride or amusement attraction.

"Attendant" means an individual employed by the owner to physically operate an amusement ride or amusement attraction when such ride or attraction is open to the public.

"Assistant" means an individual employed by the owner to assist the attendant in operating an amusement ride or amusement attraction when such ride or attraction is open to the public.

"Operator" means a person, or the agent of a person, who owns or controls or has the duty to control the operation of an amusement ride or amusement attraction at a carnival, amusement enterprise, or fair. "Operator" includes an agency of the State or any of its political subdivisions. [430 ILCS 85/2-2]

"Payment of Fees" shall be deemed made when the Department receives all fees due, as calculated on the application, in the form of a certified check, cashier's check, or money order made payable to "Illinois Department of Labor", or in the form of an electronic payment using an electronic payment system designated by the Department for such payments. All fees shall be paid before a permit to operate an amusement ride or amusement attraction is issued.

"Permit" means a permit issued annually by the Department allowing an amusement ride or amusement attraction unit to be operated in the State of Illinois.

"Person" means any individual, partnership, corporation, limited liability company, association, governmental subdivision, or public or private organization of any character.

"PRCA" means Professional Ropes Course Association, 6260 E. Riverside Blvd., #104, Loves Park IL 61111.

"Public Use" means an operator of an amusement ride or amusement attraction does not prohibit or restrict access to the amusement ride or amusement attraction by members of the community, except as permitted under Section 2-19 of the Act and Section 6000.130 of this Part.

"Qualified Industry Training Professional" means an individual who, by possession of a recognized degree or certificate of professional standing, or who, by possession of extensive knowledge and experience and the completion of extensive training in the subject field, has successfully demonstrated their ability in training amusement ride or amusement attraction operating staff in the proper operation of that amusement ride or amusement attraction, as judged by a reasonable person.

"Qualified Person" means an individual who, by possession of a recognized degree, certificate or professional standing, or who, by possession of extensive knowledge, training and experience in the subject field, has successfully demonstrated ability in design, analysis, evaluation, inspection and specification in the subject work, project or product to the extent established by the manufacturer.

"Racing Go-Kart" means a go-kart specifically designed and manufactured for racing at 15 mph or more, for indoor or outdoor use.

"Roll Over Protection System" means a system that supports the combined driver and passenger weight capacity, as specified by the manufacturer, and the weight of the vehicle.

"Reinspection" is an inspection, other than the annual inspection made during the year, as a result of any necessary repairs not being completed while the inspector is on site.

"SAE" means the Society of Automotive Engineers, 400 Commonwealth Drive, Warrendale PA 15096.

"Serious Injury" means an injury for which treatment by a licensed physician is required.

"Slide" means an inclined surface with a change in elevation upon which people slide or are conveyed, including a dry slide, alpine slide, or toboggan slide, except:

water slides;

any slide that is placed in a playground and that does not normally require the supervision or services of a person responsible for its operation; or

any slide that is not open to the general public and for which admission is monitored and strictly controlled by invitation, company or group identification, or other means of identification. [430 ILCS 85/2-2]

"Snell Foundation" means Snell Memorial Foundation, 3628 Madison Avenue, Suite 11, North Highlands CA 95660.

"Structure" means something that is built or constructed with confined space and rigid walls.

"Tram" means any tram, open car, or combination of open cars or wagons pulled by a tractor or other motorized device that is not licensed by the Secretary of State, which may, but does not necessarily, follow a fixed or restricted course, and that is used primarily for the purpose of giving its passengers amusement, pleasure, thrills or excitement, and for which an individual fee is charged or a donation accepted, with the exception of hayrack rides. [430 ILCS 85/2-2]

"Working Days" means Monday through Friday, excluding State holidays.

"Zip Line" means a system consisting of a device, also known as a trolley, that is suspended on a cable or track, allowing a rider to travel from the departure point to an arrival point by holding on to or attaching to the device except any zipline that is placed in a playground and that does not normally require the supervision or services of a person responsible for its operations.

History

• Source: Amended at 49 Ill. Reg. 6097, effective April 25, 2025

56 Ill. Adm. Code 6000.15 Incorporated and Referenced Materials

a) The following regulations and standards are incorporated in this Part. All incorporations by reference refer to the regulations, guidelines and standards on the date specified and do not include any editions or amendments after the specified date.

1. Private and professional association standards:

A) A.M. Best Bond and Liability Insurance Ratings, available from A.M. Best Company, Ambest Road, Oldwick NJ 08858.

B) The following standards and recommended practices of the American National Standards Institute, Inc. (ANSI), which may be obtained from the American National Standards Institute, Inc., 1899 L Street, NW, 11th Floor, Washington DC 20036:

i) Standards

ANSI B-77.1 – 2006 Passenger Ropeways – Aerial Tramways, Aerial Lifts, Surface Lifts, Tows and Conveyors – Safety Requirements (2006); and

ANSI B30.5 – 2000 Safety Standard for Mobile and Locomotive Cranes (2006).

ii) Recommended Practices

ANSI SAE J-1241 Ground Vehicle Recommended Practices (1999).

C) American Society for Nondestructive Testing, Inc. (ASNT) Recommended Practice No. SNT-TC-1A (2006), which may be obtained from the American Society for Nondestructive Testing, Inc., 1711 Arlingate Lane, Columbus OH 43228.

D) The following standards of the ASTM International (ASTM), which may be obtained from the ASTM International, 100 Barr Harbor Drive, West Conshohocken PA 19428:

i) ASTM F770-18 Standard Practice for Ownership, Operation, Maintenance, and Inspection of Amusement Rides and Devices (2009);

ii) ASTM F2374-17 Standard Practice for Design, Manufacture, Operation, and Maintenance of Inflatable Amusement Devices (2010);

iii) ASTM F2007-12 Standard Practice for Design, Manufacture, and Operation of Concession Go‑Karts and Facilities (2012);

iv) ASTM F2291-21 Standard Practice for Design of Amusement Rides and Devices (2021), except 6.4.2.2;

v) ASTM F2374-10 Standard Practice for Design, Manufacture, Operation, and Maintenance of Inflatable Amusement Devices (2010);

vi) ASTM F2374-17 Standard Practice for Design, Manufacture, Operation, and Maintenance of Inflatable Amusement Devices (2017);

vii) ASTM 2959-19 Standard Practice for Aerial Adventure Courses;

viii) ASTM F2970-20 Standard Practice for Design, Manufacturing, Installation, Operation, Maintenance, Inspection and Major Modifications of Trampoline Courts (2020); and

ix) ASTM F2974-18 Standard Guide for Auditing Amusement Rides and Devices (2013).

E) The following standards of the National Fire Protection Association (NFPA), which may be obtained from the National Fire Protection Association, 1 Batterymarch Park, Quincy MA 02169:

i) NFPA 10, Standard for Portable Fire Extinguishers (2007);

ii) NFPA 30, Flammable and Combustible Liquids Code (2003);

iii) NFPA 70, National Electrical Code® – Article 525 Carnivals, Circuses, Fairs, and Similar Events (2005); Table 250.66 of the NFPA 2005 will be used to size ground conductors without any exemptions;

iv) NFPA 101, Life Safety Code (2005); and

v) NFPA 701, Standard Methods of Fire Tests for Flame Propagation of Textiles and Films (1999).

F) SAE J-1241-1999 Fuel and Lubricant Tanks for Motorcycles, which may be obtained from the Society of Automotive Engineers (SAE), 400 Commonwealth Drive, Warrendale PA 15096 (1999).

G) Snell Helmet Safety Standards, which may be obtained from Snell Memorial Foundation Inc., 3628 Madison Avenue, North Highlands CA 95660 (1998).

2. Federal Regulations

A) 29 CFR 1910.180 (2006); and

B) 29 CFR 1926.550(g) (2006).

b) The following State statutes are referenced in this Part:

1. Freedom of Information Act [5 ILCS 140];

2. Amusement Ride and Attraction Safety Act [430 ILCS 85];

3. Illinois Controlled Substances Act [720 ILCS 570]; and

4. Weights and Measures Act [225 ILCS 470].

History

• Source: Amended at 49 Ill. Reg. 6097, effective April 25, 2025

56 Ill. Adm. Code 6000.20 Exemptions

The following amusement rides or amusement attractions are exempt from the provisions of this Act:

a) Any amusement ride or amusement attraction which is owned or operated by a non-profit religious, educational or charitable institution or association if such amusement ride or amusement attraction is located within a building subject to inspection by the State Fire Marshal or by any political subdivisions of the State under its building, fire, electrical, and related public safety ordinances, and the amusement ride or amusement attraction itself is subject to inspection by a political subdivision of the State in accordance with Section 2-17 of the Act. (Section 2-16 of the Act) To qualify for this exemption, the owner or operator must file completed exemption forms, proof of insurance, and a 501(c)(3) registration letter with the Department annually, and all documents filed must be approved by the Director.

b) Unpowered, non-motorized equipment that is customarily placed in a playground, such as swings, seesaws, stationary spring-mounted animal features, rider-propelled merry-go-rounds, and slides, that do not normally require the supervision or services of a person responsible for its operation.

c) Any single passenger manually, mechanically, or electrically operated, coin-actuated ride that is customarily placed singly, or in groups, in a public location and that does not normally require the supervision or services of a person responsible for its operation.

d) Any amusement ride or amusement attraction that is not open to the general public and where admission is monitored and strictly controlled by invitation, company or group identification or other means of identification.

History

• Source: Amended at 46 Ill. Reg. 9899, effective May 26, 2022

56 Ill. Adm. Code 6000.25 Qualifications of Inspectors

All amusement ride and amusement attraction inspectors shall meet the following qualifications:

a) have knowledge, skill and mental development equivalent to completion of four years of college, including coursework in engineering, physics, physical sciences, or directly related fields. Evidence of related work experience may substitute for college on a year-for-year basis;

b) be proficient in Microsoft Word, Excel, Power Point and Outlook. Have the ability to use and understand inspection software and computer hardware materials;

c) have a working knowledge of effective methods of inspection and enforcement;

d) have the ability to prepare clear and concise inspection reports;

e) have a working knowledge of the fundamental principles of accepted safety and health practices and methods;

f) have the ability to interpret laws, rules, regulations and standards associated with amusement ride and attraction safety;

g) have the ability to climb amusement rides or amusement attractions and tolerate heights and work in extreme outdoor weather conditions;

h) receive annual training or continuing education (see Section 6000.120(c)) regarding amusement ride and attraction safety, fire protection safety, and occupational safety and health issues;

i) take appropriate course work and pass necessary examinations, such as those administered by the National Association of Amusement Ride Safety Officials (NAARSO) or the equivalent, as may be determined by the Department;

j) possess a valid Illinois driver's license and have the ability to travel.

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.30 Inspections

a) The inspector, upon presenting credentials, is authorized without prior notice to inspect and investigate during regular working hours, any establishment, assembly area, or other areas where amusement rides or amusement attractions are assembled or are in use.

b) Inspection includes a review of necessary documents required under this Part and observance or inspection of amusement ride or amusement attraction assembly or setup. Inspection of the amusement ride or amusement attraction is to include: foundation, blocking, fuel containers, mechanical conditions, and safe operation of the amusement ride or amusement attraction.

c) Inspections shall also include the observation of operators, assistants or attendants during the operation of amusement rides or amusement attractions. An inspector shall notify the owner or person responsible for the operation of the amusement ride or amusement attraction in writing via an inspection report or a verification report if an inspector observes distracted attendants or assistants as noted in Section 6000.120(i). The first offense or violation shall be a warning and the behavior is to be corrected by the owner or the person responsible for the operation of the amusement ride or amusement attraction. A second or subsequent violation may result in the revocation of the permit, the issuance of a Stop Operation Order for the amusement ride or amusement attraction that the assistant or attendant is running, and the imposition of a civil penalty.

History

• Source: Amended at 46 Ill. Reg. 9899, effective May 26, 2022

56 Ill. Adm. Code 6000.40 Application for a Permit to Operate

a) No amusement ride or amusement attraction shall be operated for public use at a carnival or fair in this State without a permit having been issued by the Director to the owner of that equipment.

b) The permit will be valid for one calendar year (January 1 through December 31). A permit is not transferable and, if the owner transfers ownership of the amusement ride or amusement attraction, all rights secured under the permit are terminated. Upon sale or transfer of ownership of the ride or attraction, the permit holder must notify the Department and remove the physical permit from the ride or attraction. The new owner must acquire a new permit from the Department before operating the ride or attraction.

c) At least 30 days prior to the first day of operation or the expiration of the permit, the owner or agent shall apply to the Director for a permit to operate in Illinois. The application shall be made on a form to be supplied by the Department and be accompanied by a certificate of insurance in the amount as set forth in Section 2-14 of the Act, Non-Destructive Test Certificates as required by Section 6000.280, the times and places where the amusement rides or amusement attractions will be available for inspection, and a check, money order or form of electronic payment through E-Pay for the required fees. The Director may waive the requirement that an application for a permit must be filed at least 30 days prior to the first day of operation or the expiration of the permit if the applicant gives satisfactory proof to the Director that the applicant could not reasonably comply with the date requirement and if the applicant immediately applies for a permit after the need for a permit is first determined. The Director may accept applications for a permit not filed at least 30 days prior to the first day of operation or the expiration of the permit only if the applicant applies for the permit prior to the inspection of the ride or attraction. [430 ILCS 85/2-10]

d) Inspections will be scheduled as expeditiously as practicable, considering the availability of inspectors, the location of the sites to be inspected, and the complexity of the inspection. An applicant must submit all of the required application materials, fees, insurance certificates and testing certificates at least 30 calendar days in advance of the first operation by the applicant in the State of Illinois.

e) If an amusement ride or amusement attraction undergoes a major alteration or is repaired after a major breakdown, it shall be reinspected.

f) The Department's website shall outline the most current method of applying for a permit and paying for fees. Without exception, payment may not be made to an inspector.

g) No permit will be issued if the owner or agent fails to comply with the Act, the procedures set forth in this Part, or if there are any:

1. Outstanding charges or fees;

2. Open Stop Operation Orders;

3. Modifications, repairs, or maintenance procedures that are not in accordance with manufacturer's standards; or

4. Misrepresentations or material omissions on documents or information submitted to the Department, as determined by the Director.

h) In order to keep the Department informed regarding the operation of relocatable or mobile amusement rides or amusement attractions, the owner or the person who will be operating or who controls or has the duty to control the operation of the amusement ride or amusement attraction shall submit, with the required registration application, a tentative itinerary and/or route sheet providing dates and locations of expected operation in the State of Illinois. Throughout the operating season, this itinerary and/or route sheet shall be updated through written submission of notices as to additional operating periods or locations as soon as practicable but prior to operation. The itinerary and/or route sheet shall be submitted on a form to be supplied by the Department and shall include the following:

1. the name of the company;

2. the name of the event and/or the event contact person and telephone number;

3. the location address of the event;

4. the date and time the amusement ride or amusement attraction is scheduled to arrive at the location;

5. the date and time the amusement ride or amusement attraction is scheduled to begin operation; and

6. the last date and time the amusement ride or amusement attraction is scheduled to be in operation at that location.

i) The Department shall maintain the confidentiality of all route sheets as authorized by Section 7(1)(g) of the Freedom of Information Act.

j) Waiver of inspection. The Director may waive the requirement that an amusement ride or amusement attraction or any part thereof be inspected before being operated, and may waive any applicable fees for inspection, if an operator gives satisfactory proof to the Director that the amusement ride or amusement attraction or any part thereof has passed an inspection conducted by a public or private agency whose inspection standards and requirements are at least as stringent as those requirements and standards established by the Department under the provisions of this Act. The Department may compel any documentation or evidence necessary to prove compliance with the requirements of Section 2-17 of the Act. The owner or operator shall pay any annual permit fees before the Director may waive this requirement. [430 ILCS 85/2-18]

History

• Source: Amended at 49 Ill. Reg. 6097, effective April 25, 2025

56 Ill. Adm. Code 6000.50 Permit, Inspection and Associated Fees

Fees assessed under the Act will be:

a) Permit Fees

1. Kiddie Rides: $10 each

2. Major Rides: $25 each

3. Other Amusement Attractions not otherwise specified: $25 each

4. Ski Lifts and Aerial Tramways: $25 each

5. Inflatable Amusement Attractions: $10 each

6. Permit Issued upon Resolution of a Stop Operation Order: $10 each

7. Rope Tows, Conveyors and Surface Lifts: $25 each

8. Coasters − Intermediate: $25 each

9. Coasters − Large: $25 each

b) Inspection Fees

1. Kiddie Rides: $45 each

2. Major Rides: $105 each

3. Other Amusement Attractions not otherwise specified: $105 each

4. Ski Lifts and Aerial Tramways: $365 each

5. Inflatable Amusement Attractions:

A) Inflatable Unit less than 1,500 square feet: $45 per unit

B) Inflatable Unit 1,500 square feet or greater: $120 per unit

6. Reinspection to Resolve a Stop Operation Order: $250 each

7. Reinspection: $30 each

8. Rope Tows, Conveyors and Surface Lifts: $105 each

9. Coasters – Intermediate: $235 each

10. Coasters – Large: $365 each

c) Administrative Hearing Fee: $250 per hearing when a Notice of Violation or Stop Operation Order or fine has been successfully levied by the Department.

d) An Expedited Site Inspection Fee is a surcharge that shall be paid by the operator to have its permit and inspection expedited. Expedited permit fees are assessed when an operator fails to notify the Department at least 30 calendar days in advance of operation and requests an inspection and permit. When the operator fails to properly notify the Department at least 30 calendar days in advance and requests an inspection and permit, the Department, absent proof that the operator could not reasonably comply with the 30-day requirement and that the request has not been made immediately after the need for a permit has been determined, may assess the following additional one-time site fee, which shall be paid before the Department issues a permit:

1. When the inspection is to be conducted during normal inspection hours (8:00 a.m. to 5:00 p.m. Central Standard Time) Tuesday through Friday, an additional fee of $250 per site shall be assessed.

2. When the inspection is to be conducted outside normal inspection hours, an additional fee of $500 per site shall be assessed.

e) When an operator cancels an inspection and fails to notify the Department or the inspector involved bythe close of business on the day before the scheduled inspection, the Department, depending upon the circumstances surrounding the cancellation and lack of notice, may charge a one-time fee in the amount prescribed by subsection (d)(1) or (d)(2) for the canceled inspection and rescheduling the inspection. This fee must be paid before the Department issues a permit.

History

• Source: Amended at 46 Ill. Reg. 9899, effective May 26, 2022

56 Ill. Adm. Code 6000.60 Revocation of Permit to Operate (repealed)

History

• Source: Repealed at 11 Ill. Reg. 19650, effective November 18, 1987

56 Ill. Adm. Code 6000.65 Suspension of Permit to Operate

a) The Director may deny, suspend, or revoke the permit to operate when the amusement ride or amusement attraction does not meet the requirements of the Act or this Part or has been operated in violation of the Act or this Part, or for other good cause under the meaning and purposes of the Act. The amusement ride or amusement attraction may not be operated while the permit is denied, suspended or revoked.

b) If the Department denies, suspends or revokes a permit or issues a Stop Operation Order as provided in Section 6000.180, it shall notify, in writing, the owner and, if the owner is neither the person operating nor controlling, nor has the duty to control, the operation of the amusement ride or amusement attraction, the Department shall also notify that person of the basis for the Department's action. If the Department issues a Stop Operation Order, the notice shall also include the conditions requiring correction at the time the Stop Operation Order is issued.

c) If the Department determines that all or part of an amusement ride or attraction is not in compliance with the Act or this Part, but is not an immediate danger to the public or an amusement ride or attraction worker, the Department may issue a Correction Notice to the owner or operator. The Correction Notice shall include information about the deficiencies for the owner or operator to address and the deadline to come into compliance. If the ride or attraction is not brought into compliance by the deadline, the Department may issue a Stop Operation Order, as provided in Section 6000.180.

History

• Source: Amended at 49 Ill. Reg. 6097, effective April 25, 2025

56 Ill. Adm. Code 6000.67 Administrative Hearings

a) If a person whose permit has been suspended or revoked; whose application for a permit has been denied; or who has received a Stop Operation Order, believes that the violation or condition justifying suspension, revocation, order, or denial does not exist; or if a person on whom a penalty for a violation of the Act or this Part has been assessed wishes to challenge the basis for the penalty or the amount of the penalty, the person may appeal the Department's action by filing a written request for a hearing within 10 business days after the Department's action. Failure to file an appeal and request for a hearing within 10 business days shall cause the decision of the Department to become a final administrative decision subject to the Administrative Review Law [735 ILCS 5/Art. III].

b) Unless otherwise mutually agreed by the parties, the Department shall schedule a hearing within 48 hours after the request for hearing. Prior to the hearing, the Department may attempt to resolve the matter by conference, voluntary mediation, conciliation, or persuasion.

c) Service of notice of a hearing, or any other document related to investigation or enforcement of violations shall be made by certified mail, by regular mail if service by certified mail cannot be completed, or by email to an email address previously designated by the party to be used for such purpose, to the address shown on the application for permit or to any other address on file with the Department or reasonably believed to be the current address of the permit holder. [430 ILCS 85/2-8.1(b)]

d) The written notice of a hearing shall specify the time, date and location of the hearing and the reasons for the action proposed by the Department.

e) At the hearing, the Department shall have the burden of establishing good cause for its action. Good cause shall be considered shown when the Department establishes that the ride or amusement attraction has been operating without a permit or the operator has failed to comply with the requirements for a permit as provided for under the Act and this Part.

f) The hearing under this Section shall comply with the Department's Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120), except that formal discovery, such as production requests, interrogatories, requests to admit and depositions shall not be allowed. Prior to hearing, the parties shall exchange documents and witness lists and may issue subpoenas.

g) The Administrative Law Judge's decision shall be rendered within 5 business days after the conclusion of the hearing and shall be deemed a final administrative decision by the Department, subject to the Administrative Review Law.

h) In computing any period of time prescribed or allowed by this Part, the day of the act, event or default after which the designated period of time begins to run is not to be included, and the designated period shall run until the end of the last day, or the next following business day.

i) If a party seeks judicial review of a final administrative decision, that party shall pay the actual cost to the Department of preparing the administrative record and filing the record in court. Payment shall be by electronic fund transfer, check or money order made payable to the Illinois Department of Labor.

History

• Source: Added at 49 Ill. Reg. 6097, effective April 25, 2025

56 Ill. Adm. Code 6000.70 Amusement Ride and Amusement Attraction Design and Construction

All amusement rides and amusement attractions shall meet the manufacturer's standards and specifications. No amusement ride or amusement attraction manufactured or undergoing major alterations after April 29, 1986 shall be placed in service unless:

a) The owner is supplied with a manual containing the operation procedures established by ASTM F770-18; and

b) It complies with ASTM F2291-21.

History

• Source: Amended at 46 Ill. Reg. 9899, effective May 26, 2022

56 Ill. Adm. Code 6000.80 Insurance

No person shall operate an amusement ride or amusement attraction unless there is in force a current liability insurance policy or policies, with coverage in amounts at least as great as those required by Section 2-14 of the Act.

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.85 Requirements for Liability Insurance

The owner, operator, agent or manager shall have in force liability insurance in the amounts specified in Section 2-14 of the Act.

a) Liability Insurance

1. Proof of insurance shall be a copy of the policy or policies, including all endorsements, or a certificate of insurance issued by the insurer and filed with the Department's Amusement Ride and Attraction Safety Division.

2. The company or companies affording coverage shall have a current Best's Financial Strength Rating of "B+" or better and a current Best's Financial Size Category of class "V" or better.

3. Policies and certificates issued by companies not a part of the Illinois Insurance Guaranty Fund shall bear a surplus lines stamp.

b) Self-Insured Governmental Bodies

1. A governmental body that is self-insured shall submit a Statement of Self-Insurance at least as great as those required by Section 2-14 of the Act.

2. If the governmental body's self-insurance is not as great as required, then the body shall also submit documentation of its excess coverage, either through a conventional insurance company or an insurance pool. If the excess coverage is through a conventional insurance carrier, then the A.M. Best ratings as stated in this Section shall apply. If a pool is used, the pool shall be registered with the Department of Insurance, and shall submit a financial statement to the Department's Amusement Ride and Attraction Safety Division evidencing a surplus to liability ratio of at least 2.5 to 1.

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.90 Penalties

a) Any person who operates an amusement ride or amusement attraction at a carnival, amusement enterprise, or fair without having obtained a permit from the Department or who violates a cessation order or other order issued by the Department under the Act is guilty of a Class A misdemeanor. Each day shall constitute a separate and distinct offense. (Section 2-15 of the Act)

b) Any person who interferes with, impedes, or obstructs in any manner the Director or any authorized representative of the Department in the performance of their duties under the Act is guilty of a Class A misdemeanor. (Section 2-15 of the Act)

c) The Department may assess a civil penalty not to exceed $2,500 per violation per day for a first violation, a civil penalty not to exceed $5,000 per violation per day for a second violation, and a civil penalty not to exceed $10,000 per violation per day for a third or subsequent violation to any person who owns or operates an amusement ride or amusement attraction without having obtained a permit from the Department in violation of the Act. (Section 2-15 of the Act)

d) The Department may assess a civil penalty in an amount not to exceed $5,000 for a first offense, not to exceed $10,000 for a second offense, and a subsequent offense shall result in the revocation of a permit to operate in accordance with Section 2-8.1 of the Act to any person that owns or operates a carnival or fair that fails to conduct a criminal history records check or a sex offender registry check for carnival or amusement enterprise workers in its employ, as required by the Act. (Section 2-20 of the Act)

e) The Department may assess a civil penalty not to exceed $1,000 per violation of any provision of the Act or this Part. Each amusement ride or amusement attraction operated in violation of the Act or this Part shall be a separate violation.

f) When the Department assesses a penalty in accordance with subsection (c), (d), or (e), the Department shall notify the owner/operator of the grounds for its action.

g) If a person against whom the penalty has been assessed wishes to challenge the basis for the penalty or the amount of the penalty, the person may appeal the Department's decision by filing a written request for a hearing within 10 business days after the Department's action. Hearings shall be conducted according to the provisions of Section 6000.67. Failure to file an appeal and request for a hearing shall cause the decision of the Department to become a final decision of the Department, subject to the Administrative Review Law.

h) Service of notice of a hearing shall be made by personal service or certified mail to the address shown on the application for permit, or to any other address on file with the Department and reasonably believed to be the current address of the permit holder, and may include any email address previously provided to the Department for the purposes of receiving notices and communications under this Act. [430 ILCS 85/2-8.1]

i) The written notice of a hearing shall specify the time, date and location of the hearing.

j) At the hearing, the Department shall have the burden of establishing the violation for which the penalty has been assessed.

k) The hearing under this Section shall comply with the Department's Rules of Procedure in Administrative Hearings (56 Ill. Adm. Code 120), except that formal discovery, such as production requests, interrogatories, requests to admit and depositions shall not be allowed. Prior to hearing, the parties shall exchange documents and witness lists and have the right to issue subpoenas.

l) The Administrative Law Judge's decision shall be deemed a final administrative decision of the Department, subject to the Administrative Review Law.

m) In computing any period of time prescribed or allowed by this Part, the day of the act, event or default after which the designated period of time begins to run is not to be included, and the designated period shall run until the end of the last day, or the next following business day.

n) A person's assertion that it was unaware of the Act or this Part shall not be considered a mitigating factor in determining the gravity of the offense.

History

• Source: Amended at 49 Ill. Reg. 6097, effective April 25, 2025

56 Ill. Adm. Code 6000.100 Employment of Carnival and Amusement Enterprise Workers

a) All persons that own or operate a carnival, amusement enterprise, or fair must conduct a criminal history records check and perform a check of the National Sex Offender Public Website (http://www.nsopw.gov) for carnival or amusement enterprise workers. This check must be performed annually for workers. The only exception to the requirement for the annual check is for workers who remain in the continuous employment of the entity. A worker who works only during the season but works each season is not exempt from the annual check. The annual check for a seasonal employee must be performed before the employee commences active employment each season.

b) No person that owns or operates a carnival, amusement enterprise, or fair shall employ a carnival or amusement enterprise worker who has been convicted of any offense set forth in Article 11 of the Criminal Code of 1961 or the Criminal Code of 2012 [720 ILCS 5], is a registered sex offender as defined in the Sex Offender Registration Act [730 ILCS 150], or has ever been convicted of any offense set forth in Article 9 of the Criminal Code of 1961 or 2012.

c) In order to comply with Section 2-20(c) of the Act requiring and maintaining a substance abuse policy that must include random drug testing, the owner or operator of the carnival, amusement enterprise, or fair must demonstrate the policy is enforced in practice. The policy must be in writing and must have been distributed to all affected employees, and there must be records documenting that employees have undergone random drug testing. The requirements of the Act are not satisfied if the random drug testing procedure has not been implemented in practice.

d) An owner or operator who conducts the background checks required by subsections (a) and (b), using false personal information submitted by a carnival or amusement enterprise worker for criminal history records check purposes, commits a violation of this Section if the owner or operator knew or reasonably should have known that the information was falsified. [430 ILCS 82/2-20]

e) In order to comply with Section 2-20 (h) of the Act at all times that an amusement ride or amusement attraction is in use an owner or operator shall ensure that at least one employee working on site has been certified to provide first aid and cardiopulmonary resuscitation (CPR). [430 ILCS 85/2-20]

History

• Source: Amended at 49 Ill. Reg. 6097, effective April 25, 2025

56 Ill. Adm. Code 6000.110 Assembly and Disassembly

a) The attendant of an amusement ride or amusement attraction shall comply with the manufacturer's construction manual for the assembly and disassembly of the amusement ride or amusement attraction. The manufacturer's construction manual shall be available for inspection by the Department. In the absence of a manufacturer's operating manual, the attendant or manager shall have the written step by step procedure or other documents used by the attendant for the assembly and disassembly of the amusement ride or amusement attraction.

b) Amusement rides and amusement attractions shall be kept away from overhead electrical lines, except for the electric power supply to each amusement ride or amusement attraction, by a minimum of 15 feet.

c) Quality of Assembly. Assembly work shall be in accordance with the manufacturers requirement or, in the absence of manufacturers requirements, in accordance with industry accepted standards.

d) Quality and Inspection of Parts. Parts worn beyond manufacturers specifications shall not be used. Close visual inspection of parts shall be made during assembly to discover such wear or damage and immediate inspection of fastening devices shall be made after assembly to assure that they have been properly installed.

e) Before being used by the public, amusement rides and amusement attractions shall be placed on or secured with blocking, cribbing, outriggers, guys, or other means as to be stable under all operating conditions.

1. Long guy wires or braces utilized for amusement ride or amusement attraction support shall be clearly marked with streamers or other devices to attract attention when located in pedestrian or traffic patterns.

2. Cement, brick, or stone type blocks shall not be used for blocking, cribbing or outriggers. Brick or similar type blocks may be permitted on buildings such as bumper cars and on platforms, cat walks, ramps, stairs and stations of amusement rides or amusement attractions that bear no weight of the amusement ride or amusement attraction.

3. Cribbing or crossing of blocks shall be required when more than 2 tiers high. The height of the blocking shall not exceed the width of the base.

f) All amusement rides and amusement attractions, such as but not limited to passenger tramways, where restoration of electric power could create a hazard shall be provided with a main disconnect switch capable of being locked only in the off position.

g) The path of travel of an amusement ride or amusement attraction shall have a clearance to ensure that a passenger on the amusement ride or amusement attraction cannot be injured by contacting any structural member or other fixed object when the passenger is in the recommended riding position.

h) All amusement rides or amusement attractions shall be adequately shielded to provide protection to spectators and riders.

1. Fences shall be erected to resist moving or tipping and shall prevent inadvertent contact between the spectator and rider. In determining whether an amusement ride or amusement attraction is adequately fenced, the inspector shall consider the maximum diameter and height of the amusement ride or amusement attraction operated at the manufacturers maximum recommendation. All barriers purchased after the adoption of this part, shall be at least 36 inches high for major rides and 24 inches high for kiddie rides and shall be located at a safe distance from the amusement ride or amusement attraction.

2. All power units shall be shielded by:

A) Fencing around unit;

B) Mesh guarding over unit; or

C) Total enclosure.

i) Leveling and alignment shall be to manufacturers specifications.

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.120 Requirements for Operation

No amusement ride or amusement attraction shall be operated for public use at a carnival, amusement enterprise, or fair in this State without an attendant or assistant. The attendant or assistant may be an employee or volunteer.

a) All attendants or assistants shall be at least 16 years of age.

b) The attendant shall operate no more than one amusement ride or amusement attraction at any given time, even if automatic timing devices are used to control the time cycle of the amusement ride or amusement attraction.

c) Attendants and assistants shall be trained in the proper use and operation of the amusement ride or amusement attraction as provided for in ASTM F770-18, ASTM 2374-17, and ASTM F2970-20. This training shall be performed in a language the operator understands. Additionally, any training materials provided to the operator should be written in a language the operator understands.

d) The attendant or assistant shall ensure that all passenger safety devices are in place around patrons before starting.

e) The attendant or assistant shall be within arm's length of the operator's station when the amusement ride or amusement attraction is in use.

f) The attendant or assistant shall not operate any amusement ride or amusement attraction while under the influence of alcohol or any drug or combination of drugs to a degree that renders the operator incapable of safely operating the amusement ride or amusement attraction. For the purposes of this Section, the term "drug" includes any substance defined as a drug by Section 102(t) of the Illinois Controlled Substance Act.

g) The attendant and/or assistant shall ensure that no one is permitted on an amusement ride or amusement attraction while carrying any article, i.e., food, beverages, packages, lighted cigarettes, etc., which could endanger the rider or spectators.

h) The record of attendant and assistant training required by subsection (c) shall be kept on file by the owner or operator and be made available to the inspector during inspection and upon request by the Department.

i) The attendant or assistant shall not use a cellular phone or any other handheld mobile device except when the use is in conjunction with the operations of the amusement ride or amusement attraction or the performance of the attendant's/assistant's duties, nor shall an attendant or assistant engage in any other activities that distract the attendant/assistant from the attendant's or assistant's duties while operating an amusement ride or amusement attraction.

j) Each amusement ride or amusement attraction shall clearly post at each entrance of the amusement ride or amusement attraction the height requirements, age requirements and any other restrictions set forth by the manufacturer or any more stringent requirements than those set forth by the manufacturer and imposed by the operator.

k) The owner or operator must comply with all the requirements of Section 2-20 of the Act regarding the employment of carnival or amusement enterprise workers, inclusive of volunteers, criminal history records checks, sex offender registry checks, and the maintenance of a substance abuse policy for carnival or amusement enterprise workers.

l) The owner or operator shall be required to acknowledge in writing that the owner or operator understands its obligations under the Act and confirm that the required criminal history records check and national search of sex offender registry checks have been performed. Upon annual inspection or reinspection, the owner or operator shall provide written evidence that the criminal history records check and the sex offender registry check have been completed for each carnival or amusement enterprise worker in its employ. If the documentation is not available upon inspection, the Department may grant the owner or operator five calendar days to obtain and provide documentation to the Department showing that the checks were requested and the results were received for each carnival or amusement enterprise worker. An owner or operator shall provide copies of the results of the criminal records check and the sex offender registry checks to the Department upon inspection or request by the Department.

m) The owner or operator shall also be required to provide written documentation that the owner or operator maintains a substance abuse policy that includes random drug testing of carnival or amusement enterprise workers.

n) All records required under the Act and this Part shall be maintained by the owner or operator for two years, unless the records relate to an ongoing investigation or enforcement action under the Act, in which case the records must be maintained until after their destruction is authorized by the Department or court order.

History

• Source: Amended at 49 Ill. Reg. 6097, effective April 25, 2025

56 Ill. Adm. Code 6000.130 Authority Regarding Passenger Safety

a) The owner or operator of an amusement ride or amusement attraction may remove a person from, or deny a person entry to, an amusement ride or amusement attraction if, in the owner's or operator's opinion, the entry or conduct may jeopardize the safety of that person or the safety of any other person. (Section 2-19 of the Act)

b) Any amusement ride or amusement attraction that is subject to guardian, height or weight requirement established by manufacturer, manager or attendant shall have that restriction in plain view at the entrance to the amusement ride or amusement attraction. The restriction may not be waived.

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.140 Signal Systems

a) When the attendant has an obstructed view of the area where the passengers are loaded and unloaded a signal system shall be provided and utilized for controlling, starting and stopping an amusement ride or amusement attraction.

b) The signal system adopted for the amusement ride or amusement attraction shall be printed and kept posted at both the attendant and assistant stations.

c) Signal systems shall be tested each day before the opening of the amusement ride or amusement attraction to the public. An amusement ride or amusement attraction requiring a signal system may not be operated if the system is not operational.

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.150 Daily Inspection and Test

a) Amusement rides and amusement attractions shall be inspected and tested on each day they are intended to be used. This inspection shall be made by a trained attendant as defined in Section 6000.120(c). Results of these daily inspections shall be recorded on industry approved forms or other forms approved by the Department. Completed inspection forms shall be certified by the manager. The record of daily inspection shall be kept on file by the manager for one calendar year and be made available to the inspector during inspection.

b) The inspection and test shall include the operation of control devices, speed limiting devices, brakes, anti-roll back dogs, and other equipment provided for safety.

c) The amusement ride or amusement attraction shall be operated through a minimum of one ride sequence.

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.160 Reports

a) Personal Injury Report. The owner or manager of an amusement ride or amusement attraction shall report a serious injury to the Department within 24 hours after the incident by telephone or other means of immediate communication. An owner or manager shall confirm in writing to the Director all such accidents within 48 hours after the incident. The report of an accident shall be on a form supplied by the Department.

b) Fatal Accident Reports:

1. An owner or manager shall as soon as physically possible report to the Director all fatal accidents resulting from the operation of an amusement ride or amusement attraction.

2. The initial report shall be made by telephone and followed within 24 hours in writing.

3. If the fatality is related to a major breakdown the Department shall initiate an investigation within 24 hours of initial notification.

4. The amusement ride or amusement attraction shall not be moved or repaired without the Department's written approval. This rule shall not be construed to hinder any action by emergency response personnel or to prevent the elimination of any obvious safety hazard.

5. The owner or manager shall afford the Department every facility for inspection. The owner or manager shall provide all information or facts known as to the cause of fatal accidents.

c) If a reportable injury occurs, as outlined in subsection (a), the equipment or conditions that caused the injury, as well as any still images or audio or video footage of the area in which the injury occurred and any other information collected regarding the incident, must be preserved for an investigation by the Department unless the Department determines an investigation to be unnecessary.

History

• Source: Amended at 49 Ill. Reg. 6097, effective April 25, 2025

56 Ill. Adm. Code 6000.170 Maintenance

a) Periodic maintenance as required or recommended by the amusement ride or amusement attraction manufacturer shall be performed. The maintenance shall be recorded on a log documenting daily maintenance, which shall detail the maintenance performed, the date performed and by whom performed, and that shall be available for review by the Department.

b) Maintenance records shall be maintained for one calendar year.

History

• Source: Amended at 38 Ill. Reg. 18668, effective August 26, 2014

56 Ill. Adm. Code 6000.180 Stop Operation Order

a) The Department of Labor may order, in writing, a temporary and immediate cessation of operation of any amusement ride or amusement attraction if it:

1. Has been determined after inspection to be hazardous or unsafe;

2. Is in operation before the Director has issued a permit to operate that equipment; or

3. The owner or operator is not in compliance with the insurance requirements contained in Section 2-14 of the Act. (Section 2-12 of the Act)

b) Reinspection shall be performed within five business days after the Department has been notified where and when a reinspection can be performed.

c) Only the Director may remove, deface in any manner, or cover a Stop Operation Order sticker after it has been applied to an amusement ride or amusement attraction.

History

• Source: Amended at 49 Ill. Reg. 6097, effective April 25, 2025

56 Ill. Adm. Code 6000.190 Fire Prevention and Protection

a) The inspector shall waive the requirement that an owner or agent be inspected under this Section prior to operation if an owner or agent gives satisfactory proof that all amusement rides, amusement attractions, and the carnival or fair site have passed an inspection conducted by the State Fire Marshal or the local fire protection agency. The inspection by the State Fire Marshal or local fire protection agency must have been conducted no more than 5 days prior to the department's inspection and must have been conducted in accordance with standards and requirements that are at least equal to those requirements and standards applicable to fire protection and prevention established in this Part.

b) If the inspection requirements have not been waived under the requirements of Section 6000.190(a), then the following shall apply.

1. The manager shall provide a portable fire extinguisher complying with NFPA 10 within 125 feet of any amusement ride, amusement attraction, or electrical distribution system.

2. Flammable waste, such as oily rags and other flammable or combustible materials, shall be placed in a covered metal container that shall be kept in easily accessible locations. The containers shall not be kept at or near access, egress or aisles.

3. Fire and smoke detecting systems shall be installed in each building or structure used in an amusement ride or amusement attraction that requires a darkened interior during operation.

4. Gasoline, other flammable liquids and flammable gases shall be stored in reasonably cool and ventilated places in accordance with NFPA 30.

A) Dispensing of these liquids shall be from approved safety cans painted red and marked with the word "Gasoline" in ½" high letters in a contrasting color. Damaged or leaking fuel containers are prohibited.

B) Smoking and/or the carrying of open flame, lighted cigars, cigarettes, or pipes is prohibited in any area where these liquids or gases are stored or transferred from one container to another.

C) Bulk storage (quantities over 12 gallons) is not permitted in any area accessible to the public.

5. Fabric constituting part of an amusement ride or amusement attraction shall meet the flame spread ratings of NFPA 701. A certificate or a test report from the fabric manufacturer or approved testing agency indicating a fire resistance rating equal to or better than the above standard shall be available upon request.

6. "No Smoking" signs shall be posted at the entrances/exits to all amusement rides or amusement attractions that require a darkened interior during operation.

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.200 Internal Combustion Engines

a) Under no circumstances shall the fuel supply be replenished while the engine is running.

b) Any enclosed area in which an internal combustion engine is operated shall be ventilated and exhaust fumes shall be discharged outside the area.

56 Ill. Adm. Code 6000.210 Means of Access and Egress

a) Steps, ramps and floors that provide access to and egress from amusement rides and amusement attractions shall be uniform in rise with firm mountings and wide enough to permit free movement of people.

b) Exit doors shall swing outward and if normally latched shall be equipped with panic bars, pressure plates or similar devices that open when simple pressure is applied.

c) Illumination, either natural or artificial, shall be provided at all regular and emergency exits so that safe egress is assured.

56 Ill. Adm. Code 6000.220 Electrical Equipment - Amusement Rides and Amusement Attractions

a) Effective January 1, 2010, all electrical equipment related to amusement rides and amusement attractions must comply with NFPA 70, Article 525.

b) Lock Out. A means shall be provided for locking out the power source to the amusement ride, amusement attraction, and equipment for maintenance, repair or inspection. This may be a padlock latch on the main switch.

c) High Voltage Lines. The outlets for electric power lines carrying more than 120 volts shall be clearly marked by a contrasting color marking pen or paint, a name label or a steel stencil imprint to show the voltage.

d) Outdoor Apparatus and Wiring. Electrical apparatus and wiring located outdoors shall be of such quality and so constructed or protected that exposure to weather will not interfere with its normal operation.

e) Grounding

1. Five wire electrical systems shall be grounded at the main power generator or main distribution panel. The neutral wire and equipment ground shall not be bonded together at any amusement ride or amusement attraction.

2. All other electrical systems shall have individual ground rods connected to the amusement ride or amusement attraction frame. The neutral wire and equipment ground shall not be bonded together at any amusement ride or amusement attraction.

3. Sufficient electrodes to achieve 25 ohms or less resistance to ground shall be utilized.

4. Any motor operating on 50 or more volts shall have its frame grounded.

f) Overcurrent Protection. Conductors shall be provided with overcurrent protection devices according to load. No such device shall be installed in neutral or grounding conductors.

g) Receptacles and Caps. All receptacles and attachment caps shall be of the grounding type.

h) Each amusement ride or amusement attraction not designed to be controlled directly by the passenger shall be provided with a fused power disconnect switch placed within arm's length of the attendant's station.

i) Safety Stop Circuits:

1. The resumption of operation after a system shutdown caused by loss of power or activation of a safety circuit or stop shall require manual restarting by the attendant.

2. Safety circuits shall not be bypassed during operation.

j) Emergency Lighting. If an amusement ride or amusement attraction requires a darkened interior during operation each building or structure shall be equipped with a battery powered emergency lighting system. In addition to a manual switch at the attendant's station, the system shall activate automatically when either a power failure occurs or the smoke and fire detection alarm sounds.

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.230 Hydraulic Systems

a) Hydraulic systems and related equipment used in connection with amusement rides or amusement attractions shall be maintained per manufacturers specifications to ensure safe operation at all times.

b) All systems shall have a manual lowering valve or bypass system.

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.240 Air Compressors and Equipment

a) Air compressors, air compressor tanks, and equipment used in connection with any amusement ride or amusement attraction shall be constructed, equipped, and maintained per manufacturers specifications to insure safe operation at all times.

b) Air compressor tanks, and equipment shall be inspected and tested to manufacturers specifications and a record of the last inspection made shall be kept and made available to the inspector upon request.

c) Air compressor tanks shall be drained daily to remove condensate.

d) Air compressor tanks and other air receivers used in connection with air compressors shall have the maximum allowable working pressure as determined by the manufacturer marked thereon.

e) Tanks shall have a pressure indicating gage.

f) Safety valves shall be used in every air pressure system to prevent the pressure from rising more than 10% above the maximum working pressure of the tank.

56 Ill. Adm. Code 6000.250 Wire Rope

a) Wire rope used on amusement rides and amusement attractions shall be thoroughly examined periodically per amusement ride or amusement attraction manufacturer's specifications.

b) Wire rope found damaged shall be replaced with new wire rope conforming to specifications set forth by the amusement ride or amusement attraction manufacturer. Any of the following conditions shall be cause for wire rope replacement:

1. In running ropes, 6 randomly distributed broken wires in one rope lay, or three broken wires in one strand in one rope lay. A rope lay being the length along the rope required for one strand to make one revolution around the rope;

2. In pendants or standing ropes (ropes bearing the entire load or subjected to constant pressure or shock loading), evidence of more than one broken wire in one rope lay;

3. Abrasion, scrubbing or peening causing loss of more than ⅓ of the original diameter of the outside wires;

4. Corrosion which results in surface pitting on the wires;

5. Kinking, crushing, birdcaging, or other damage resulting in distortion of the rope structure causing some members of the rope structure carrying more load than others;

6. Heat damage;

7. Reduction from the normal diameter of the wire rope of more than 3/64 inch for diameters up to and including ¾ inch; 1/16 inch for diameters over ¾ inch up to and including 11/18 inches; 3/32 inch for diameters over 11/18 inches up to 1½ inches;

8. Any rust that cannot be removed by wiping the wire rope with an oily rag or development of broken wires in the vicinity of attachments. If this condition is localized in an operating rope, the section in question may be eliminated by making a new attachment; and

9. Wire ropes used to support, suspend, bear or control forces and weights involved in the movement and utilization of tubs, cars, chairs, seats, gondolas, other carriers, the sweeps, or other supporting members of an amusement ride or amusement attraction shall not be lengthened or repaired by splicing.

c) When using U-bolt clips, the U section of each clip must contact the dead end or short end of the wire rope.

d) Mechanical devices, such as rollers, drums or sheaves, shall not have any chipping, unequal wear, surface roughness or deterioration in any area that contacts the wire rope.

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.260 Chain

a) Twisted wire or stamped chain is not permitted.

b) Chains with manufacturers certified load carrying capacities must be utilized for safety devices and stress bearing applications.

c) Any of the following shall be cause for chain replacement:

1. A 10% reduction in material diameter at the worn portion of the link;

2. A twisted or disfigured link;

3. Physical deterioration of a link by strain, usage, rust or corrosion;

4. Used for a purpose other than that for which the manufacturer recommended; or

5. Used to carry a load in excess of the manufacturer's working load limit.

d) Cold Shuts, "S" hooks, repair and lap links, and other hardware grade attachments must be welded shut if used to support passengers.

History

• Source: Amended at 18 Ill. Reg. 13384, effective September 1, 1994

56 Ill. Adm. Code 6000.270 Inflatable Amusement Attractions

All inflatable amusement attractions shall meet the manufacturer's standards and specifications.

a) Anchorage in accordance with the manufacturer's specifications shall be provided for inflatable amusement attractions and examined daily.

b) The fabric on inflatable amusement attractions shall be examined daily for rips and tears and those found shall be repaired immediately.

c) Ventilators and fans shall be shielded by one of the following methods:

1. Fencing around unit;

2. Mesh guarding over unit; or

3. Total enclosure.

d) Covered or enclosed inflatable amusement attractions shall be so designed that if a power failure occurs the structure will remain substantially erect for more than the time required to evacuate the normal rated occupancy or 5 minutes, whichever is the longer period.

e) No inflatable amusement attraction shall be placed in service unless the owner:

1. Complies with the applicable ASTM F2374 standard (ASTM F2374-17 for attractions manufactured on or after January 1, 2021; ASTM F2374-10 otherwise); and

2. Complies with ASTM F2374-17, Appendices X2 (Anchoring System Design) and X7 (Staking Guidelines).

f) No inflatable amusement attraction manufactured after January 1, 2020 shall be placed in service unless the owner:

1. Receives certification that the attraction has been designed, constructed and tested to the standards established by ASTM F2374-17;

2. Obtains and complies with the manual containing the operation procedures established by ASTM F2374-17; and

3. Obtains and complies with the maintenance procedures manual established by ASTM F2374-17.

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.280 Non-Destructive Testing

a) The owner or agent shall provide the Department with a certificate of non-destructive testing for each part for which the manufacturer recommends or the Board requires testing.

b) Persons performing non-destructive testing on amusement ride or amusement attraction components, also known as "technicians" under this Section, must be qualified as NDT Level II or III in accordance with the ASNT Recommended Practice No. SNT-TC-1A. Only qualified individuals may perform non-destructive testing on amusement ride or amusement attraction components. The Department may require submission of technicians' current certifications or accept previously submitted certifications.

c) The Department shall maintain and disseminate a listing of all amusement ride or amusement attraction components requiring non-destructive testing. This list shall include the test specifications and frequency of testing.

d) A separate non-destructive testing report must be submitted for each amusement ride or amusement attraction. Each non-destructive test report must contain all of the following information or the test will be rejected by the Department:

1. The name of the amusement ride or amusement attraction.

2. The name of the amusement company for which the non-destructive test technician is performing the non-destructive test. The company name indicated on the report must be the same company name indicated on the permit application.

3. The name of the manufacturer of the amusement ride or amusement attraction.

4. The amusement ride's or amusement attraction's serial number. The technician's signature indicates verification that the serial number indicated on the form is the true serial number of the amusement ride or amusement attraction being tested.

5. The date the non-destructive test was performed.

6. A statement identifying each part of the amusement ride or amusement attraction that the manufacturer or the Amusement Ride and Attraction Safety Board requires to be tested, and verifying that the test was performed in compliance with such requirements.

7. The manufacturer's bulletin numbers applicable to the amusement ride or amusement attraction.

8. A statement indicating the results of the tests performed.

9. The name, address, and telephone number of the testing firm.

10. The name, business address, and business telephone number of the technician performing the test.

11. The signature and printed name of the person who performed the non-destructive test and the person's level of certification with the American Society for Nondestructive Testing.

e) If a manufacturer has required an overhaul or mandatory replacement of any part of an amusement ride or amusement attraction, the owner or operator must submit proof that the overhaul or replacement was completed with the permit application. An invoice will suffice for proof of replacement parts.

History

• Source: Amended at 46 Ill. Reg. 9899, effective May 26, 2022

56 Ill. Adm. Code 6000.290 Ski Lifts, Aerial Tramways, and Rope Tows

a) New Construction and Alteration

1. All new construction must be registered with the Department before installation is commenced. This registration shall provide the name and mailing address of the owner or agent, the location of the installation, the design and location information cited in the section of the ANSI B77.1 that is applicable to the type of installation being registered.

2. The movement of an existing installation to a new location shall be considered new construction.

3. A newly constructed aerial tramway shall be subjected to an acceptance test and inspection as defined in the ANSI B77.1 for the installation being inspected before the installation is used by the public. These tests shall be witnessed by the Department.

4. Engineering and architectural work shall be performed by or under the supervision of a licensed professional engineer.

b) Inspection, Operation, Maintenance and Repair

1. After accidental activation of a safety stop or gate, the attendant shall make an inspection to determine the cause. No safety stop or gate may be installed which will allow automatic restart. The attendant shall physically restart the tramway.

2. Debris and foreign material shall not be allowed on, in, under, or around a passenger tramway. Spillage or leakage of grease, gasoline, oil, or other petroleum products shall be immediately cleaned up and, if due to mechanical fault, the fault shall be corrected.

3. Each snow-grooming and other authorized vehicles, except a snowmobile, shall conspicuously display a flashing or rotating yellow light when the vehicle is on, or in the vicinity of, a passenger tramway or tow. A snowmobile shall be permitted in the vicinity of a passenger tramway or tow only in emergency situations and must have a least one operating white light or flashing beacon on the front of the snowmobile.

4. No attendant or assistant may act as ticket seller or receive money while the aerial tramway is in operation.

c) Any aerial tramway malfunction that results in evacuation of passengers shall be considered a major breakdown. The Department shall be notified within 24 hours after the occurrence by telephone or other means of immediate communication. The owner or manager shall confirm in writing to the Director all such incidents within 48 hours after the occurrence of the incident.

d) Any serious injury or fatality resulting from the operation of an aerial tramway or tow shall be handled as required by Section 6000.160.

History

• Source: Amended at 34 Ill. Reg. 763, effective December 29, 2009

56 Ill. Adm. Code 6000.300 Go-Karts, Dune Buggies, and All-Terrain Vehicles (repealed)

History

• Source: Repealed at 28 Ill. Reg. 10569, effective July 19, 2004

56 Ill. Adm. Code 6000.302 Outdoor and Indoor Concession Go-Karts

a) Vehicle Requirements

1. All vehicles shall be equipped with driver padding and passenger padding, if applicable, including, but not limited to, steering wheel pad, headrest pad, steering wheel support post and seat cushions.

2. All vehicles shall be guarded to prevent interlocking of wheels during operation.

3. All vehicles equipped with seat belts shall be equipped with a roll over protection system.

4. Vehicles' shall be equipped with a guarding system that covers or encloses all rotating parts of the drive mechanism except the tires. The guarding system shall also cover the exhaust to protect the passenger when entering or exiting the vehicle.

5. Vehicles' fuel tanks shall be mounted and/or guarded in such manner that provides protection to the passenger during operation and if an accident should occur. Fuel tank caps shall conform to ANSI SAE J-1241.

6. Wheels shall be retained by a castellated nut and cotter pin or other positive method recommended by the manufacturer. Nuts with inserts of nylon or other material shall not be re-used.

b) Track and Course Requirements

1. The surface of the track or course used by go-karts shall be of a solid and binding material.

2. A barrier system shall be installed around the inner and outer edges of the track or course used by go-karts. It shall be securely anchored and extend the entire length of the track or course. The system may be a guardrail, rubber tires, a runoff strip or embankment of friable earth or gravel or a combination thereof.

A) When rubber tires are used for a barrier system, these tires shall be free of the rims and/or wheels. They shall be fastened together to form a continuous train. Tires shall never be stacked over two high.

B) If a metal or fiberglass rail is used as the barrier, the rail surface shall be kept free of sharp or protruding edges or seams and shall be maintained so that there are no loose or unsecured areas.

C) A barrier system shall be installed to designate and protect opposing traffic, the pit area or passenger loading area.

D) No one shall have access to the track and courses other than properly admitted go-kart drivers, employees of the licensee, and other persons authorized by the license for the purpose of maintenance, etc.

3. A fence or railing system shall be installed at maintenance buildings, driveways, pit areas, and fuel storage pumping areas to keep patrons awaiting amusement rides and spectators from entering these track areas without the permission of, or direction by, track personnel.

4. No intersecting course configurations, including but not limited to a figure 8 course configuration, shall be permitted.

c) Operation

1. The attendants or assistants shall be able to clearly view the entire course.

2. Fire extinguishers shall be charged and readily available to the track personnel at all times in accordance with ASTM F-2007-12 .

3. The refueling of vehicles with internal combustion engines or the charging of batteries in electric powered karts shall take place in the pit areas.

4. All storage containers of gasoline and other flammables shall be in accordance with Section 6000.190 (Fire Prevention and Protection).

5. Beginning at twilight at an outdoor operation, track lighting is required. During indoor operation, track lighting is required. Track lighting shall be in accordance with ASTM F-2007-12.

6. Monitoring

A) A signal system shall be installed to safely alert the drivers of the vehicles to a caution situation or to stop the vehicles in case of an emergency. This signal system may consist of, but is not limited to, a hand-held flag system or a set of lights visible to the drivers. The system shall be explained to the drivers before operating any vehicle.

B) Effective January 1, 2006, each vehicle shall be equipped with a throttle control device that can be activated from the ride attendant's station.

7. A separate and distinct maintenance log shall be kept for each vehicle. The maintenance logs shall be kept on a daily basis and kept available for inspector's review. All replacement of parts should be documented in the maintenance log for that vehicle. A comment section should be provided. On a daily basis, the track mechanic shall sign each log sheet indicating that the vehicle is ready to operate. This log shall include, but not be limited to, the following information:

A) Brake inspection;

B) Tire wear and pressure;

C) Steering inspection;

D) Body inspection;

E) Padding inspection;

F) Lubrication and engine oil check; and

G) Drive mechanism.

8. Only one patron per seat shall be permitted in each vehicle. No in-line riding shall be permitted.

d) Special Circumstances/Waiver of this Section

1. The Director may approve an operating permit for an existing facility that does not meet the requirements of this Section if the following apply:

A) A written request for waiver is submitted to the Director; and

B) The facility requesting waiver was built and licensed prior to January 1, 2007.

2. If, after January 1, 2007, any modifications are made to an existing track that would have otherwise been exempt under this Section, the existing track with the modifications shall not be eligible for a waiver and shall comply with this Section.

3. Tracks constructed on or after January 1, 2007 shall comply with this Section and are not eligible for a waiver under subsection (d)(1).

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.305 Racing Go-Karts

a) Vehicle Requirements

1. All vehicles shall be equipped with driver padding and passenger padding, if applicable, including, but not limited to, steering wheel pad, headrest pad, steering wheel support post and seat cushions.

2. All vehicles shall be guarded to prevent interlocking of wheels during operation.

3. All vehicles equipped with seat belts shall be equipped with a roll over protection system.

4. Vehicles shall be equipped with a guarding system that covers or encloses all rotating parts of the drive mechanism except the tires. The exhaust system shall be located or guarded to protect the passenger when entering or exiting the vehicle.

5. Vehicles with fuel tanks shall have the tanks mounted and/or guarded in a manner that provides protection to the passenger during operation and if an accident should occur. Fuel tank caps shall conform to ANSI SAE J-1241 and be designed and maintained so as not to leak.

6. Wheels shall be retained by a castellated nut and cotter pin or other positive method recommended by the manufacturer. Nuts with inserts of nylon or other material shall not be re-used.

b) Track and Course Requirements

1. The surface of the track or course used by go-karts shall be of a solid and binding material.

2. A barrier system shall be installed around the inner and outer edges of the track or course used by go-karts and shall extend the entire length of the track or course.

A) When rubber tires are used for a barrier system, these tires shall be free of the rims and/or wheels. They shall be fastened together to form a continuous train. Tires shall never be stacked over two high.

B) If a metal or fiberglass rail is used as the barrier, the rail surface shall be kept free of sharp or protruding edges or seams and shall be maintained so that there are no loose or unsecured areas.

C) A barrier system shall be installed to designate and protect the pit area or passenger loading area.

D) Access to the entire track shall be restricted.

3. A fence or railing system shall be installed at maintenance buildings or areas, driveways, pit areas, and fuel storage/pumping areas to keep patrons awaiting rides and spectators from entering these track areas without the permission of, or direction by, track personnel.

4. No intersecting course configurations, including but not limited to a figure 8 course or opposing traffic configuration, shall be permitted.

c) Operation

1. The attendants or assistants shall be able to clearly view the entire course.

2. Fire extinguishers shall be charged and readily available to the track personnel at all times.

3. The refueling of the vehicles with internal combustion engines or the recharging and/or exchanging of batteries shall take place in the pit areas.

4. All storage containers of gasoline and other flammables shall be in accordance with Section 6000.190 (Fire Prevention and Protection).

5. Beginning at twilight, track lighting is required and lighting is required for indoor tracks at all times during operations.

6. Monitoring

A) A signal system shall be installed to safely alert the drivers of the vehicles to a caution situation or to stop the vehicles in case of an emergency. This signal system may consist of, but is not limited to, a hand-held flag system or a set of lights visible to the drivers. The system shall be explained to the drivers before operating any vehicle.

B) Effective January 1, 2006, each vehicle shall be equipped with a throttle control device that can be activated from the ride attendant's station.

7. A separate and distinct maintenance log shall be kept for each vehicle. The maintenance logs shall be kept on a daily basis and kept available for inspector review. All replacing of parts should be noted. A comment section should be provided. The track mechanic shall sign each log sheet indicating that the vehicle is ready to operate. This log shall include, but not be limited to, the following information:

A) Brake inspection;

B) Tire wear and pressure;

C) Steering inspection;

D) Body inspection;

E) Padding inspection;

F) Lubrication and engine oil check; and

G) Drive mechanism.

8. Only one patron per seat shall be permitted in each vehicle. No in-line riding shall be permitted.

9. Personal Safety Equipment. Drivers of karts that are not equipped with seatbelts and roll bars shall wear the following personal safety equipment while on the track or course.

A) Drivers of karts shall wear the following personal safety equipment while on the track or course:

i) Head Gear – A full-face helmet with head sock complying with a Snell Foundation test specification as published in the Snell Helmet Safety Standards is mandatory. A full-face shield is mandatory. The helmet must be secured by a chinstrap.

ii) Neck Brace – The use of unaltered collar-type neck brace designed for racing is mandatory. Any driver losing his or her neck brace shall immediately precede to the pits and may, upon replacing the missing neck brace, return to the track.

B) Drivers of indoor karts that are not equipped with seatbelts and roll bars, and that go less than 7 mph, are not required to wear personal safety equipment as stated in this Section and are called kiddie karts.

d) Special Circumstances/Waiver of this Section

1. The Director may approve an operating permit for an existing facility that does not meet the requirements of this Section if the following apply:

A) A written request for waiver is submitted to the Director; and

B) The facility requesting waiver was built and licensed prior to January 1, 2007.

2. If, after January 1, 2007, any modifications are made to an existing track that would have otherwise been exempt under this Section, the existing track with the modifications shall not be eligible for a waiver and shall comply with this Section.

3. Tracks constructed on or after January 1, 2007 shall comply with this Section and are not eligible for a waiver under subsection (d)(1).

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.308 Dune Buggies and All-Terrain Vehicles

a) Vehicle Requirements

1. All vehicles shall be equipped with driver padding and passenger padding, if applicable, including, but not limited to, steering wheel pad, headrest pad, steering wheel support post and seat cushions.

2. All vehicles shall be guarded to prevent interlocking of wheels during operation.

3. All vehicles equipped with seat belts shall be equipped with a roll over protection system.

4. Vehicles shall be equipped with a guarding system that covers or encloses all rotating parts of the drive mechanism except the tires. The guarding system shall also cover the exhaust to protect the passenger when entering or exiting the vehicle.

5. Vehicles' fuel tanks shall be mounted and/or guarded in such manner that provides protection to the passenger during operation and if an accident should occur. Fuel tank caps shall conform to ANSI SAE J-1241.

6. Wheels shall be retained by a castellated nut and cotter pin or other positive method recommended by the manufacturer. Nuts with inserts of nylon or other material shall not be re-used.

b) Track and Course Requirements

1. A minimum width of 10 feet shall be maintained throughout the entire course or track.

2. The track or course shall be marked with signs to indicate designated path and to prohibit pedestrian or other traffic.

3. A fence or railing system shall be installed at maintenance buildings, driveways, pit areas, and fuel storage pumping areas to keep patrons awaiting rides and spectators from entering these track areas without the permission of, or direction by, track personnel.

4. No intersecting configurations, including but not limited to a figure 8 course or opposing traffic configuration, shall be permitted.

c) Operation

1. Fire extinguishers shall be charged and readily available to the track personnel at all times.

2. The refueling of the vehicles shall take place in the pit areas. All storage containers of gasoline and other flammables shall be in accordance with Section 6000.190 (Fire Prevention and Protection).

3. Beginning at twilight, track lighting is required and lighting is required for indoor tracks at all times during operations.

4. A separate and distinct maintenance log shall be kept for each vehicle. The maintenance logs shall be kept on a daily basis and kept available for inspector's review. All replacement of parts should be documented in the maintenance log for each vehicle. A comment section should be provided. On a daily basis, the track mechanic shall sign each log sheet indicating that the vehicle is ready to operate. This log shall include, but not be limited to, the following information:

A) Brake inspection;

B) Tire wear and pressure;

C) Steering inspection;

D) Body inspection;

E) Padding inspection;

F) Lubrication and engine oil check; and

G) Drive mechanism.

5. Only one patron per seat shall be permitted in each vehicle. No in-line riding shall be permitted.

6. Personal Safety Equipment

A) Head Gear – A full-face helmet with head sock complying with a Snell Foundation test specification is mandatory. A full-face shield is mandatory. The helmet must be secured by a chinstrap.

B) Neck Brace – The use of unaltered collar-type neck brace designed for racing is mandatory. Any driver losing his or her neck brace shall immediately precede to the pits and may, upon replacing the missing neck brace, return to the track.

d) Special Circumstances/Waiver of this Section

1. The Director may approve an operating permit for an existing facility that does not meet the requirements of this Section if the following apply:

A) A written request for waiver is submitted to the Director; and

B) The facility requesting waiver was built and licensed prior to January 1, 2007.

2. If, after January 1, 2007, any modifications are made to an existing track that would have otherwise been exempt under this Section, the existing track with the modifications shall not be eligible for a waiver and shall comply with this Section.

3. Tracks constructed on or after January 1, 2007 shall comply with this Section and are not eligible for a waiver under subsection (d)(1).

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.310 Water Slides (repealed)

History

• Source: Repealed at 26 Ill. Reg. 871, effective January 9, 2002

56 Ill. Adm. Code 6000.320 Dry Type Slides

a) Slide Design and Construction

1. Rigid supporting framework for slides shall be provided.

2. The means of access to the starting platform of the slide shall be designed, constructed and maintained so as not to present a hazard, such as cutting, pinching, puncturing, tripping or falling, to anyone using the slide.

3. The slide shall be banked or safety walls provided on curves to keep the slider's body on the slide.

4. The construction, dimensions, and the mechanical attachment of the slide components shall be such that the surfaces of the slide (slope, curves, turns and tunnels) are smooth and continuous for its entire length. All parts that might come in contact with the slider's body shall be arranged or finished so that they will not constitute a cutting, pinching, puncturing, or abrasion hazard through either casual contact or intended use.

5. A means of cushioning the rider's landing and/or stopping shall be provided.

b) During the operating season the manager shall:

1. Make a daily inspection, checking for:

A) Loose hand rails or steps on ladder or stairway;

B) Loose guard rails on slide;

C) Unusual movement of slide;

D) Sharp edges or rough surfaces on slide and safety rails;

E) Check all electrical circuits and lights for cracks, abrasions, exposed wiring, burned out bulbs, etc.; and

F) Condition of landing or stopping area.

2. Not use any mat which is not pliable and in good condition.

c) On slides requiring mats, the attendants shall:

1. Regulate the spacing of sliders so that there are no collisions at the bottom of the slide;

2. Make sure that all riders are sitting and positioned properly before sliding. All sliding should be done in an upright, sitting position. Absolutely no sliding should be done backwards or in a prone or standing position;

3. Regulate the traffic up the steps;

4. Instruct people to use handrails as they climb up the steps;

5. Assist people to get up after completing their ride; and

6. Collect the sliding mats.

d) On slides in excess of 25 feet to the platform, a minimum of two attendants must be used.

1. The attendants at the top of the slide shall:

A) Regulate the spacing of sliders so that there are no collisions at the bottom of the slide; and

B) Make sure that all riders are sitting and positioned properly before sliding. All sliding should be done in an upright, sitting position. Absolutely no sliding should be done backwards or in a prone or standing position.

2. The attendants at the bottom of the slide shall:

A) Regulate the traffic up the steps;

B) Instruct people to use handrails as they climb up the steps;

C) Assist people to get up after completing their amusement ride; and

D) Collect the sliding mats if mats are used.

History

• Source: Amended at 44 Ill. Reg. 19907, effective December 8, 2020

56 Ill. Adm. Code 6000.330 Trams

a) If the tram is used where other vehicular traffic is present, each car shall be equipped so as to prevent passengers from getting on or off except at designated stops.

b) Each tram car shall be equipped with a signal system complying to Section 6000.140.

c) The driver shall not start the tram until all passengers are seated.

d) The maximum allowable side to side motion when the tram is in motion shall not exceed six inches.

e) All hitches must be equipped with safety chains:

1. To keep the tram together; and

2. To keep the wagon tongue from hitting the ground.

f) Any axle extending beyond the face of the wheel shall be covered and/or guarded with a non-rotating shield.

g) Passengers shall not have to step up or down more than 12 inches to enter or exit the car.

h) Each loading/unloading area shall be fenced or otherwise guarded.

i) If tram is operated after dusk, it shall be equipped with head, side and tail lights and loading/unloading area shall be suitably illuminated with either natural or artificial light to assure safe access and egress.

History

• Source: Amended at 18 Ill. Reg. 13384, effective September 1, 1994

56 Ill. Adm. Code 6000.340 Bungee Jumping

This Section specifies the site, site approval, design, testing of equipment, management of the operation, operating procedures, emergency provisions and procedures for Bungee Jumping from any mechanically operated platforms that carry jumpers to the top of the structure.

a) In addition to the definitions in Section 2-2 of the Act and Section 6000.10, the following shall apply:

"Air Bag" – means an inflated device that cradles the body, with an air release breather system that dissipates the energy due to fall and allows the person to land without an abrupt stop or bounce.

"Ankle-binding" – means a harness used to wrap and hold together the jumper's ankles and attach the jumper to the bungee cord.

"Binding of Cord" – means a material used to hold the cord threads in place. May also protect the cord threads from damage.

"Bungee Cord" – means the elastic rope to which the jumper is attached. It lengthens and shortens and thus produces the bouncing action.

"Bungee Jumping" – means that activity in which a person free falls from a height and the person's descent is limited by the person's attachment to the bungee cord.

"Carabiners" – means shaped metal or alloy device used to connect sections of the jump rigging, equipment or safety gear.

"Catapulting" – means that the jumper is held on the ground while the bungee cord is stretched. On release, the jumper is propelled upwards.

"Cord" – See Bungee Cord.

"Double Jumping" – See Tandem Jumping.

"Dynamic Loading" – means the load placed on the rigging and attachments by the initial free fall of the jumper and the bouncing movements of the jumper.

"Equipment" – means the equipment, power or manually operated, used to raise, lower and hold loads.

"Incident" – means an event that could or does result in harm to a person or damage or loss of process (jumping interrupted or stopped).

"Jump Direction" – means the direction (forward or backward) in which a jumper is designed to jump from the jump point.

"Jump Height" – means the distance from the jump platform to the bottom of the jump zone.

"Jump Master" – means a person who has responsibility for the bungee jumping operation and who takes a jumper through the final stages to the actual jump.

"Jump Operator" – means a person who assists the jump master to prepare a jumper for jumping and operates the lowering system to lower the jumper to the landing pad.

"Jump Point" – means the position from which the jumper begins to fall or jump.

"Jump Space" – means the jump zone plus a safety factor in all directions.

"Jump Zone" – means the space bounded by the maximum designed movements of the jumper or any part of the jumper.

"Jumper" – means the person who falls or jumps from a height attached to a bungee cord.

"Jumper Safety Harness" – means an assembly to be worn by a jumper and to be attached to a bungee cord. It is designed to prevent the patron from becoming detached from the bungee cord.

"Jumper Weight" – means the weight of the jumper only.

"Landing Area" – means the surface area of the air bag or water directly under the jump space.

"Landing Pad" – means a padded area on which the jumper lands by means of the lowering appliance or equipment.

"Lateral Direction" – means movement of the jumper measured at 90 degrees to the designed jump direction.

"Launching" – See Catapulting.

"Licensed Professional Engineer" – means an individual who holds a valid license as a licensed professional engineer from the Illinois Department of Financial and Professional Regulation or comparable authority in another state.

"Loaded Length" – means the length of the bungee cord when extended to its fullest designed length.

"Moused" – means a binding around the point and shank of a hook to prevent it from slipping off.

"Operating System" – means the system of processing a jumper through the jump methods used on a particular site. This includes registration, preparation, getting to the jump point, methods of attachment, the rigging and lowering system, and the landing recovery method.

"Operating Manual" – means a document containing the procedures and forms for the operation of the bungee jumping activity and equipment on the site.

"Platform" – means the area attached to a lifting appliance from which the jumper falls or jumps.

"Preparation Area" – means the area where the jumper is prepared for jumping. It is a separate area on the ground.

"Recovery Area" – means an area beside the landing area where the jumper may recover from the jump before returning to the public area.

"Reverse Jumping" – See Catapulting.

"Rigging System" – means a combination of components that connects the jumper to the lifting point or hook of the appliance. The rigging system includes ropes, pulleys, carabiners, shackles and lowering equipment.

"Safe Working Load" or "SWL" – means the maximum rated load which can be safely handled under specified conditions, by a machine, equipment or component of the rigging.

"Safety Factor" – means the ratio obtained by dividing the breaking load of any piece of equipment by its working load.

"Safety Harness" – means an assembly to be worn by an operator. It is designed to be attached to a safety line and to prevent the operator from falling.

"Safety Line" – means a line used to connect safety harness or belt to an anchorage point or rail.

"Safety Space" – means the space extending beyond the jump zone as a safety factor (i.e., a space beyond the maximum designed movements of the jumper).

"Sandbagging" – is the practice of a jumper holding onto any object (including another person) while jumping off of a platform and during the initial descent, for the purpose of exerting more force on the bungee cord in order to stretch it further and then releasing the object at the bottom of the jump, causing the jumper to rebound with more force than could be created by the jumper's weight alone.

"Stunt Jumping" – is the combining of any other activity with bungee jumping; or, bungee jumping with a disregard for clearances with the ground or other structures.

"Tandem Jumping" – means the practice of two people harnessed together while jumping simultaneously from the same jump platform.

"Thread" – means a single strand of material used in a bungee cord. A bungee cord is constructed of a varying number of threads.

"Unloaded Length" – means the length of the bungee cord laid on a horizontal flat surface without load or stress applied.

b) Site and Operating Approval

1. Site Plan and Equipment Design and Construction

A) A licensed professional engineer's report that the design and construction of the structures, equipment, and operating areas meet the engineering requirements of ANSI B30.5, 29 CFR 1910.180 and 29 CFR 1926.550(g). These standards are incorporated by reference, do not include any later editions, amendments or corrections, and are considered suitable for a bungee jumping operation. The report shall contain site plans, safety zones, drawings and specifications of equipment, platform, rigging system and safety equipment and be submitted to the Department before construction.

B) An engineering evaluation shall be conducted annually and each time a major component is modified.

C) The Department shall maintain the confidentiality of the engineer's report as authorized by Section 7(1)(g) of the Freedom of Information Act.

2. Jumps shall be completed only under the direct control of a jump master.

3. Owners shall maintain a bottom safety space of at least 60 inches above the air bag, safety net, or water surface and a side safety space of at least 40 feet in all directions to any structure.

4. Prohibited activities include bungee catapulting, tandem jumping, stunt jumping, reverse jumping, launching and sandbagging.

c) Platform

1. The platform and its lifting appliance shall meet the requirements for working platforms. All components shall have a safety factor of not less than 3. The safe working load shall be marked on the platform.

2. The jump rigging shall be attached directly to the lifting point or hook of the appliance.

3. The jump rigging shall pass through or around the platform in such a way as to prevent damage to the jump rigging.

4. The platform for jumping shall be a constant height above the ground or surface. That is, adjustments for the weight of each jumper shall be made by the jump master's selection of bungee cord in accordance with the manual and the manufacturer's specification for the cord.

5. The platform shall have a non-slip floor surface.

6. The platform shall have sufficient working space for the required number of persons.

7. There shall be a gate across the jump point until the platform reaches the jump height.

8. The platform shall have anchor points for safety harnesses or safety belts for all persons carried on the platform.

9. All persons on the platform shall wear a safety harness and safety line. The jumper shall use a safety line until ready to jump.

10. There shall be an alternative method of jumper recovery should the main lowering system fail to lower the jumper.

11. The design of the platform and support straps shall provide for maximum stability of the platform.

12. The position of the jump point in relation to the equipment or platform shall be controlled to enable the jump to be in the designed direction. This shall be at 90 degrees (±10) to the equipment or platform.

13. All hooks, shackles and pins shall be moused.

14. The maximum wind speed and direction for the operation of the bungee jump shall be stated in the operation manual. The decision to operate is the responsibility of the equipment operator and jump master.

15. The jump master shall check the following daily:

A) The equipment has a current certificate to operate;

B) The wire rope shall be given a visual inspection;

C) All hooks, shackles and pins are moused;

D) All outriggers are fully extended;

E) There are established lines of communication between the jump platform and the equipment operator and between the equipment operator and the ground;

F) The hand signals required for visual communication between the person directing the equipment or lifting appliance and the equipment or lifting appliance operator are known by all parties; and

G) That the equipment operator knows who is directing the equipment.

d) Bungee Cord Requirement

1. The cord shall be designed and tested to perform within prescribed limits of stretch and load as stated in this Section.

2. The cord shall be made from natural or synthetic rubber or blends of natural and synthetic rubber that may be of various dimensions.

3. The materials used in the construction of the cord shall be such that the stretched length is consistent each time the same loading is applied.

4. Cord Binding

A) The binding shall hold the cord threads together in their designed positions.

B) The binding material shall have characteristics/specifications as approved by the manufacturer of the bungee cord.

C) The cord bindings shall be intact.

D) When bindings break during a day's operation, the cord shall be withdrawn from use until the bindings are replaced.

5. Shock Load on the Jumper. The following requirements apply:

A) The cord shall stretch in the jump to at least 2.5 times its unloaded length in its designed jumper weight range;

B) The unloaded length of the rigging system shall be less than half the designed extended length;

C) Maximum loaded length. The operating length of a bungee cord at its maximum designed dynamic load shall not exceed 4 times its unloaded length.

6. Testing of a New Design of Bungee Cord

A) Each manufacturer shall supply specifications for the cords being used.

B) Any change in specifications, including, but not limited to, changes that affect the performance of the bungee threads or cord, a change to the end attachments, a change in the material, source of supply or manufacturer, manufacturing methods, or equipment, shall constitute a new design and require review by a licensed professional engineer.

C) Bungee Cord End Attachment

i) Each end of the cord shall have an end attachment to connect the cord to the rigging and the jumper.

ii) The end attachment shall be of sufficient size and shape to allow easy attachment to the jumper harness and the rigging.

iii) The end attachment shall have a minimum breaking load of at least 4,400 pounds.

7. The maximum allowable life of the cord shall not exceed the manufacturer's specification.

8. A cord and its non-metallic connectors shall be withdrawn from use when the cord reaches its stated jump life.

9. Early withdrawal of the cord and its non-metallic connectors shall be required when:

A) The exposure to daylight exceeds 250 hours. This criterion does not apply when the cord cover or sleeve fully protects all of the cord from visible and ultra-violet exposure;

B) The time since the cord was manufactured is greater than 6 months;

C) There is evidence of threads exhibiting wear, such as bunched threads or uneven tension between threads or thread bands;

D) Broken threads exceed 5% of the total number over the length of the cord;

E) As the bungee cord stretches over the course of its jump life, the dynamic load required to extend the bungee to four times its unloaded length will reduce. When this dynamic load reduces to less than the maximum designed dynamic load, the cord shall be destroyed;

F) It has been in contact with solvents, corrosive or abrasive substances;

G) An incident occurs that could result, immediately or in due course, in a substantial substandard performance of the cord or its attachments;

H) Any discolorations are found; or

I) Any other flaws are found.

10. A cord withdrawn from use shall be destroyed. A bungee cord is considered destroyed when it is cut into lengths of 5 feet or less.

11. Daily Testing. Before starting and during the day's operations, the jump master shall:

A) Visually inspect the entire length and circumference of the bungee cord for signs of wear. The inspection shall be repeated at least 4 times during daily operation and recorded;

B) Visually check the bungee cord if the extended dynamic or static length changes during jumping; and

C) When unexpected changes in bungee cord performance occur, remove the bungee cord from service immediately and destroy it.

e) Jumper Safety Harness and Ankle Bindings

1. Jumper safety harness shall be either a full-body harness, a sit harness with shoulder straps, or ankle bindings.

2. Jump safety harness shall be available to fit the range of patron sizes accepted for jumping.

3. The ankle binding shall have been designed as an ankle harness and securely bind the jumper's ankles and secure the patron to the cord. The ankle binding shall not cause bruising and must provide evidence of redundancy.

4. The jumper safety harness shall be designed for the type of stress expected during operation.

5. The jumper safety harness shall be approved by the licensed professional engineer who conducts the annual inspection.

f) Ropes

All ropes for holding or lowering the jumper shall have a breaking load of at least 4,400 pounds.

g) Hardware

1. Carabiners shall be of the screw gate type with a minimum breaking load of 4,400 pounds.

2. Pulleys and shackles shall have a minimum breaking load of 4,400 pounds.

3. All pulleys shall be compatible with the rope size.

4. Webbing shall be of flat tubular mountaineering webbing or equivalent with a minimum breaking load of 4,400 pounds.

h) Life Lines and Harnesses

1. A safety harness and life line shall be used by all persons on the platform.

2. Life lines shall have a minimum breaking load of 4,400 pounds.

3. A life line shall be worn by the jumper until ready to jump.

i) Testing and Inspection

1. All jump rigging shall be inspected and tested daily. Harnesses, lowering/braking system and safety gear shall be inspected daily as set out in the manual. Inspections, findings and action shall be recorded.

2. All jump rigging, harnesses, lowering/braking systems and safety gear shall be of a load rating at least equal to the standard stated in the regulation.

3. Hardware that has been subject to abnormal loadings, impact against hard surfaces, or surface damage shall be replaced.

4. Ropes subject to abnormal shock load shall be replaced.

5. All ropes, webbing and bindings shall be inspected visually and by feel for signs of wear, fraying, or damage by erosive substances. Criteria for planned inspection shall be included in the manual.

6. Criteria for the periodic replacement of ropes, webbing, harnesses and hardware shall be included in the manual.

j) Replacement of Rigging and Equipment

1. At the beginning of each day's operation, replacements of at least the following equipment shall be available on site:

A) Bungee cord or cords;

B) Rigging hardware;

C) Ankle binding for jumpers;

D) Body safety harness for jumpers and staff; and

E) Safety lines and clips.

2. Any items of equipment, rigging or personal protective equipment found to be sub-standard shall be replaced immediately.

3. Jumping shall cease immediately when a sub-standard item cannot be replaced.

k) Identification of Equipment, Rigging, Bungee Cord and Safety Equipment

1. Each item shall have its own unique permanent identification number or tag.

2. The identification shall not harm the material of the item.

3. The identification shall be clearly visible to the operators during daily operations.

4. The identification of each item shall be recorded in the items log sheet.

5. The cords shall be color-coded as described in the on-site operations manual.

l) Landing Recovery Area

1. Over Land

A) The area shall be free of spectators at all times;

B) The area shall be free of staff and equipment except for an air bag or a safety net when a jumper is being prepared on the jump platform and until the bungee cord is at its static extended state;

C) The air bag or safety net shall be in position before jumper preparation commences on the platform;

D) The air bag or safety net shall be at least 18 feet by 25 feet and rated for the maximum free fall height possible from the platform during operation;

E) The jumper shall be lowered onto a clean, smooth, padded surface;

F) The jumper shall be allowed to recover before moving off the landing spot; and

G) A place to sit and recover should be provided close to, but outside, the landing area.

2. Over Water

A) Where the jump space or landing area is over pond, lake, river or harbor waters, the following shall apply:

i) The jump space and landing area shall be free from floating and submerged objects, members of the public, and all vessels except the landing/recovery vessel. In open waters, this space must be marked with buoys. A sign of at least 1 foot by 3 feet in dimension that reads "BUNGEE JUMPING KEEP CLEAR" shall be fixed to the shore structure or land mass. When above moving water, a mesh or screen must be placed in an upstream position to keep floating debris from entering the landing area;

ii) The landing and recovery vessel shall be positioned accurately and remain in a constant position for the duration of the landing procedure;

iii) The landing vessel shall have a landing pad size of at least 5 feet by 5 feet;

iv) The landing pad shall be within and lower than the sides of the vessel;

v) A vessel shall be present that can be maneuvered in the range of water conditions expected and will enable staff to pick up a jumper or other person who has fallen into the water;

vi) One person may operate the landing vessel when the vessel is positioned without the use of power. A separate person shall pilot the vessel when power is required to maneuver into or hold the landing position; and

vii) The vessel shall be equipped as required by the U.S. Coast Guard.

B) If the landing area is part of a constructed swimming pool complex, other pool, or is specially constructed for bungee jumping, the following shall apply:

i) The pool size shall meet the requirements for jump space shown in the engineer's report;

ii) Rescue equipment shall be available;

iii) The jump space and side safety space shall be fenced to exclude the public; and

iv) Only the operators of the bungee jump shall be within the jump space and landing areas.

C) The minimum water depth in the landing area shall be 9 feet.

m) Fences

1. Fences shall be designed and constructed to retain people, animals and objects outside the landing area.

2. All areas in which the jumper may land shall be fenced.

n) Storage

Adequate storage shall be provided both on-site and off-site to protect equipment from physical, chemical and ultra-violet ray damage. The storage shall be provided for current, replacement and emergency equipment organized for easy and orderly access. The storage shall be secure against unauthorized entry.

o) Communication

1. The following shall apply within the site:

A) There shall be an electronic voice communication link between:

i) The equipment operator and the platform;

ii) The platform and the landing/recovery area or vessel;

B) All staff shall be easily identifiable by other operators and the public; and

C) Instructions to jumpers and the public shall be put in positive terms to avoid misinterpretation and mistakes.

2. Emergency Service

There shall be a telephone communication link to the emergency service within 200 feet of the operation.

p) Safety and Loss Control Management

1. A jump master shall be designated Safety, Health and Loss Control Coordinator. The jump master shall hold a current Red Cross first aid rating and cardiopulmonary resuscitation (CPR) certificate or their equivalent.

2. Training, as required by Section 6000.120(c), shall be provided to all staff relative to their present or future duties as part of the operating staff. A record of training shall be kept available on site for review by the Department.

3. Planned inspections shall be conducted of the site, equipment and procedures by the jump master. The information gathered and the reporting and investigation of incidents shall be regularly analyzed and reviewed by management. Procedures, equipment, rigging and structures shall be designed to reduce the likelihood of any incidents occurring, or being repeated. All findings shall be forwarded to the Department.

4. A comprehensive emergency plan shall be developed for inclusion in the operations manual. The plan shall include the following elements: the steps necessary to rescue a jumper in case of crane failure or accident, emergency first aid to be given, contacting of and directing emergency service personnel to the site, crowd control, and notification to the Department.

5. The manual shall contain the site rules concerning the health and safety of employees and the public.

q) Staff and Duties

1. The minimum age for the crane operator and jump master shall be 21 years and for other staff members 18 years.

2. The staff of a bungee jumping operation shall include the following persons:

A) Site Controller

When more than one jump master is on the site, one of the jump masters shall also be designated controller. The site controller shall coordinate and be responsible and accountable for all operations;

B) Jump Master

i) Has complete control when jumping is occurring;

ii) Is the only person who takes the jumper through the final stages to the jump take-off;

iii) Is responsible for the training of the other staff (see Section 6000.120(c));

iv) Shall have a thorough knowledge of the site, its equipment, procedures and staff;

v) Selects the bungee cord and adjusts the rigging;

vi) Shall be located on the platform;

vii) Keeps a record of the number of times each cord has been used; and

viii) Shall ensure that the number of jumps undertaken in a period of time allows the tasks of each job to be carried out to meet the requirements of each job, as set out in the manual.

C) Jump operator's duties include:

i) Assisting the jump master to prepare the jumper;

ii) Attaching the jumper to ankle bindings or harness;

iii) Potentially attaching the jumper to rigging at the direction of the jump master;

iv) Carrying out check procedures;

v) Operating the lowering system; and

vi) Assisting in controlling the public.

D) Landing/recovery operator's duties include:

i) Assisting the jumper to land on the landing pad;

ii) Assisting the jumper to the recovery area;

iii) Overseeing the recovery of jumpers; and

iv) Assisting in controlling the public.

E) Registration clerk's duties include:

i) Registration of the jumper;

ii) Obtaining/deciding on medical clearance;

iii) Weighing and marking of the jumper's weight. The scale shall be certified annually and checked monthly by the operator for accuracy. The certification shall be done by a person recognized under the Weights and Measures Act [225 ILCS 470];

iv) Controlling movement of jumpers to the preparation area;

v) Controlling or assisting in controlling the public; and

vi) The payment process.

F) Vessel operators' duties shall include operating the landing and emergency vessels.

G) Crane operators must:

i) Be knowledgeable of the particular crane's controls and physically capable of performing the duties; and

ii) Respond to move signals only from the jump master but obey a stop signal given by any employee at any time.

r) Minimum Staff and Training

1. An operating team shall consist of no fewer than 4 people.

2. Training (see Section 6000.120(c)) shall be conducted by, or under the direct supervision of, a jump master.

3. Staff who are operating in training mode shall be directly supervised at all times.

4. A training component of the operating manual covering the critical tasks in the operation shall be available on the site. The tasks shall include maintenance and testing as well as jump procedures. The training shall require achieving mastery of the specified skills and knowledge.

s) Injury, Damage and Incident Events

1. Serious injury (as defined in Section 6000.10) shall be reported to the Department within one hour, and the operation shall be closed until the Department reopens it. All incidents shall be reported within 24 hours in accordance with Section 6000.160.

2. Owners/operators shall record all injuries, damage or near-miss events in the daily log.

t) Work Periods

The staff shall take regular breaks to ensure that fatigue does not downgrade their ability to operate an incident-free operation.

u) Medical and Age Restrictions for Jumpers

1. Jumpers shall be questioned on their medical condition.

2. Jumpers who declare medical conditions that may be affected by the jump shall not be allowed to jump. Medical conditions that disqualify a jumper include, at a minimum:

A) Pregnancy;

B) High blood pressure;

C) Heart conditions;

D) Neurological disorders;

E) Epilepsy; and

F) Neck, back, or leg injuries or disabilities.

3. A sign shall be erected listing the medical and age restrictions for jumpers. The sign shall be clearly visible to intending jumpers.

4. Any jumpers who, in the opinion of the operations staff, represent a danger to themselves or others shall not be allowed into the preparation area nor allowed to jump.

5. Jumpers who appear to be in an intoxicated or drugged state shall not be allowed to jump.

6. The minimum age for jumping shall be 18 years and proof of age shall be provided at the time of the jump. Proof of age shall be a valid driver's license or another type of photo identification issued by an agency of government or employer.

v) Site Operating Manual and Documentation

1. Each site shall have an operating manual, referred to as the manual, for the safe operation of bungee jumping on that site. The manual and all amendments shall be on-site and be freely available to staff and governing bodies.

2. The manual shall include the procedures for complying with this Part.

3. The manual shall include, but not be limited to, the following:

A) A site plan;

B) A description of operating systems and equipment;

C) Job procedures, including training (see Section 6000.120(c)), for each task in the operating system;

D) Job descriptions;

E) Sample of staff qualifications;

F) Staff selection procedures;

G) Maintenance standards and procedures;

H) Testing procedures and recording;

I) Criteria for the periodic replacement of rigging;

J) Criteria for the regular planned inspections of ropes, webbings and bindings;

K) Emergency plan and procedures;

L) Reporting of injuries, damage and incidents;

M) Requirements for maintaining logs, including:

i) Site;

ii) Equipment and rigging;

iii) Personnel;

iv) Name of jumper; and

v) Bungee cord used;

N) Records to be kept;

O) Requirements for analysis of records;

P) Inspection procedures, standards and follow-up actions; and

Q) Examples of forms to be used.

4. Daily Pre-opening Operating Procedures shall include:

A) Preparation. Setting up the site equipment and public amenities. There shall be a written checklist;

B) Inspection, testing and checking;

C) Personal protective equipment including gloves, life jackets, buoyancy aids, harnesses and life lines;

D) Items of equipment;

E) The communication systems;

F) The jump equipment and rigging;

G) The jump procedures;

H) Carry out test jumps;

I) Checking the bungee cord performance; and

J) Staff briefing for the day's operations. Includes appointment of the site controller when applicable.

5. Jump Procedures. The procedures shall at a minimum include the following:

A) Ensuring the exclusion of the public from the operating areas;

B) Registration of jumpers, including:

i) Name, address, city, county, state, zip code, and telephone number;

ii) Medical factors and exclusions;

iii) Age;

iv) Weight and marking; and

v) Payment;

C) Removal of loose objects;

D) Jumper preparation, including:

i) Harness or binding attachment; and

ii) Briefing/instructions to the jumper;

E) Jump preparation, including:

i) Prepare bungee cord and adjust connections;

ii) Connect the jumper and check connections to the rigging; and

iii) Final inspection by jump master (a checklist shall be used);

F) Landing/recovery procedures, including:

i) Lowering;

ii) Landing; and

iii) Disconnecting cord connections;

G) Return of the jumper to the public area; and

H) Preparing the bungee cord for the next jumper.

6. Closedown Procedures. The manual shall include the following close down procedures:

A) Equipment – cleaning, inspection, testing and checking;

B) Completion of records, both site and personal;

C) The necessary daily maintenance of equipment, structures and facilities;

D) The storage of equipment;

E) The cleanup and disposal of rubbish;

F) Security check and lock-up;

G) De-briefing of staff on:

i) Incidents/events occurring during the day;

ii) Equipment, rigging and bungee cord changes required before the next day's operations start; and

iii) Maintenance work not completed but required before the next day's start.

w) Emergency Provisions and Procedures

1. Each site shall have an emergency plan.

2. A medium first aid kit and blankets shall be on site.

3. All jump masters shall be qualified in lifesaving techniques, first aid, and cardiopulmonary resuscitation techniques through the American Red Cross or equivalent training, including "in water rescue of spinal injuries or unconscious patients".

4. Where the site includes moving water or swift water, the site operating manual shall specify the rescue training and qualification required for all operators and staff on the site.

5. Emergency lighting shall be provided at all jump sites that operate between ½ hour before sunset and ½ hour after sunrise. The emergency lighting system shall illuminate the jump platform, the jump space, and the landing area. The emergency lighting system shall have its own power source.

x) An owner or operator of a bungee jumping operation that is permitted under the Act and this Part may disclose or advertise such permit status. Misrepresentation of permit status shall be a violation of the Act. No owner or operator shall advertise any bungee jumping operation as being otherwise endorsed or approved by the Department, in any advertisement, brochure, commercial, TV or radio show, or newspaper, or in any other public manner.

History

• Source: Amended at 49 Ill. Reg. 6097, effective April 25, 2025

56 Ill. Adm. Code 6000.350 Zip Lines

a) In addition to the definitions in Section 2-2 of the Act and Section 6000.10, the following shall apply to and govern this Section 6000.350:

"Acceptance Inspection" means the final inspection of a zip line performed upon installation completion and before commissioning.

"Anchor System" means a system of anchorages and anchorage connectors that provide a secure termination for a life safety system, personal safety system, belay system, or rope rigging system.

"Anchorage" means the terminating component of a life safety system, personal safety system, belay system, or rope rigging system intended to support any force applied to the system.

"Anchorage Connector" means an interface component coupling any anchor system or system component to an anchorage.

"Automatic Anchorage Connector" means an anchorage connector that is properly engaged by automatic action without manually applied fasteners in the connector.

"Brake" means a device, method or system used to arrest the traverse of the participant.

"Brake System" means a complete system comprised of the primary and emergency brakes.

"Canopy Tour" means a guided aerial exploration or transit of the forest canopy, most commonly by means of a series of zip lines or aerial walkways with platforms.

"Commissioning" means an action by the installer or other competent person of putting a new element or course into service for the owner/operator.

"Competent Person" means a person possessing the skills, knowledge, experience, training and judgment to perform assigned tasks or activities satisfactorily, as determined by a reasonable person.

"Dismount" means the act of disembarking from the zip line and proceeding away from the landing area.

"Fixed Zip Line" means a zip line that is designed to be used at a fixed, single location and not readily moved to a different location.

"Landing Area" means the area provided for arrest and dismount after traversing a zip line.

"Mobile Zip Line" means a zip line that is designed or adapted to be moved from one location to another and is not fixed at a single location.

"Mobile Zip Line Manufacturer" means a company responsible for the design, quality, fabrication and delivery of a mobile zip line.

"Operating System" means the system or systems of processing a patron through the zip line route used on a particular site. This includes registration, preparation, getting to the landing point, methods of attachment, the rigging and lowering system, and the landing recovery method.

"Operation, Maintenance, Inspection and Training Manual" or "Manual" means a document containing the procedures and forms for the operation of the zip line activity and equipment on the site.

"Sag" means the vertical deflection in a horizontal line.

"Service Proven" means an element, ride, device, structure or major modification to an element, ride or device of which:

units have been in service to the public for a minimum of five years; and

units that have been in service without any significant design-related failures or significant design-related safety issues that have not been mitigated.

"Third Party Inspector" means a qualified person not directly employed by the operator of the zip line or parent company, original equipment manufacturer (OEM) or vendor, and not offering other services to the operator of the zip line or parent company who is qualified via ACCT accreditation, NAARSO certification, PRCA accreditation, or another approval that equally qualifies that person to provide zip line inspections.

"Zip Line Brake System" means a system that arrests the participant's traverse along a zip line. Brake systems can be active or passive.

"Zip Line Landing Area" means an area provided for the participant to arrest and dismount after completing a zip line traverse.

"Zip Line Tour" means a guided, aerial exploration or transit of a landscape using a series of zip lines and platforms generally supported by man-made structures.

b) This Section shall govern all zip lines in operation on and after March 27, 2013. However, the Director may grant a permit to an operator of a zip line that was in operation on March 27, 2013 that does not meet all the standards in this Section if the operator can clearly demonstrate a service proven element or that the applicable safety requirements throughout this Part are substantially satisfied so as to ensure the safety of the public.

c) This Section specifies the site, site approval, design, testing of equipment, management of the operation, operating procedures, emergency provisions, and procedures for zip lines from any mechanically operated platforms that carry participants to the top of the structure. All zip lines shall meet the manufacturer's standards and specifications.

d) Site Plan, Equipment Design and Construction

1. All zip line operating system design documents shall be reviewed and sealed by a licensed professional engineer and a licensed structural engineer. ANSI, ASTM or other applicable standards shall be used as general guidance. The designer of fixed zip lines and the manufacturer of mobile zip lines are responsible for preparing the report for the owner. The design report shall contain site plans, safety zones, drawings and specifications of equipment, platform, rigging system, and safety equipment. The report shall be submitted to the Department before the commissioning of fixed zip lines and the operation of mobile zip lines and shall be maintained on the site where the zip line is operating. The design evaluation included in the report shall consider the following:

A) Static and dynamic loads on anchors and components.

B) Fatigue limits or absolute component replacement intervals.

C) Fatigue limits for structures.

D) Protection against metallic corrosion and wood rot.

E) Clearances and hazard analysis, including consideration of the effects of heavy crosswinds, rain, fog and other conditions resulting in impaired visibility, maneuverability, loss of traction or grip, and reduced braking capability.

F) Platform, walkway, ladder and associated foundation size and load ratings, including factors of safety.

G) Anchor and foundation analysis for mobile zip lines shall consider the load path through the anchor attachment point and identify loading through all components, including an identified fixed foundation. Vehicle frames or underframes can be used as fixed foundations, providing a verifiable load analysis is submitted. Alternate qualification, consisting of a statement by the vehicle manufacturer confirming the anchor attachment point and loadings are suitable for the vehicle, is acceptable.

2. An inspection by a third-party inspector shall be conducted each time a major component is modified. Scheduled component replacements in accordance with manufacturer or designer maintenance procedures do not constitute a design modification.

3. Fixed zip lines shall be inspected by a third-party inspector annually. Results and the report shall be made available to the Department.

4. Differences between the design as detailed in the engineer's report and evaluation and the implemented installation by a competent person shall be reconciled. Appropriate explanations of the differences, which may include modified drawings, procedures, analyses and additional calculations shall be appended to the original design report or engineering evaluation as applicable. Owner's manuals shall be updated to reflect the engineer's or manufacturer's acceptance of the modifications.

5. A fixed zip line site commissioning plan, including an acceptance test procedure and report, shall be incorporated in the engineer's report. Commissioning and testing shall be conducted by a competent person

6. Mobile zip line site set-up, pre-start inspection, and test procedures shall be clearly documented and followed by a competent person.

7. The Department shall maintain the confidentiality of the engineer's report as authorized by Section 7(1)(g) of the Freedom of Information Act.

e) General Compliance Criteria

1. Equipment

A) Zip lines shall be comprised of flexible steel wire rope, metal bars, or other similar materials. Zip lines shall have no exposed wires/strands within reach of the participants that may result in injury. Wire rope used as zip lines shall not be spliced.

B) When a portion of the zip line or landing area is not visible from the zip line departure point, a departure procedure shall be utilized to ensure a clear unobstructed run.

C) There shall be adequate clear space above, below and around the zip line to ensure the participant will not strike or contact any permanent or transient obstruction, object or person.

D) Rescue ropes, equipment appropriate to applicable rescue loads, rescue plans, and personnel trained to retrieve a participant from anywhere within zip line spans shall be present during use.

E) Carabiners and snap-hooks shall comply with the gate strength and other applicable requirements of ANSI/ASSP Z359.1 (2007) for the manufacturer's estimated life cycle of the product. Carabiners and snap-hooks shall be auto-closing and auto-locking and require at least two deliberate consecutive actions to open.

F) Lanyards shall comply with the strength requirements of ANSI/ASSP Z359.1 (2007) for manufacturers estimated life cycle of the product. Lanyards should carry the marking of the manufacturer and the safe working load or breaking strength.

G) Items carried by participants, including backpacks and carryalls, hair, and clothing that may become entangled in safety equipment or component parts shall be secured properly.

H) Pulleys and trolleys shall be of the double wheel type construction per the design specification to eliminate derailing during operation.

I) All parts and components shall be purchased from the manufacturer or shall only be manufacturer-approved replacement parts.

2. Zip Line Arrival Point, Protection and Braking

A) Zip line courses shall have appropriate safety devices, such as impact-absorbing materials, ground cover, load limiters and landing mats or landing nets, installed per the manufacturer's design specifications at the zip line arrival point. Descriptions and operating characteristics of the safety devices shall be included in the design drawings.

B) One or more of the following methods shall be included in the operating system of the zip line course:

i) Impact absorbent ground cover, impact absorber/load limiter, landing mats, nets, water landings, or other protective methods installed in arrival areas to reduce injury potential.

ii) Passive braking systems shall not require any action by the user and shall always be in effect through gravity, engineered, or mechanical means. If gravity braking is designed to result in the participant being removed after arriving at a low point in the zip line, the removal device or equipment shall be rated for the design reach and loads as determined by the design plan. If mobile equipment is used to remove participants at the arrival point, the approach path shall be free of potential hazards. The stability of the vehicle shall be insured through proper selection of the equipment and the approach.

iii) Active braking systems that use a mechanical braking system must also have a secondary braking system or assistance of an operator as a secondary or emergency braking system.

C) Parked vehicles shall only be used as secondary tie-off points for portable zip lines and may be used as primary anchor points when the vehicle meets the weight class and type specified by the manufacturer and engineering requirements of the ride. Additionally, any vehicle used as a primary or secondary anchoring point must be physically prevented from being operated by disabling the electrical system (disconnecting battery) so that the vehicle cannot be started or by other means outlined in the manufacturer's design specifications.

D) The use of a tree as an anchor point for the termination of a zip line or to secure the takeoff platform of a zip line is acceptable. The tree or trees shall be inspected and approved by a certified arborist to ensure good health and stability of the trees. All trees on fixed installations shall receive this assessment no less than annually.

3. Zip Line Takeoff Platform

A) Takeoff platforms shall be designed to prevent the participant from striking any portion of the platform or lower obstacle during the takeoff.

B) Angles of inclination of the landing ramps shall not constitute a tripping hazard for the participant.

C) Where necessary, impact-absorbing material shall be utilized to prevent injury.

D) Unauthorized access to zip line platforms during periods when the ride is shut down or not attended by a qualified operator shall be prevented by suitable means, including barriers. Hazard warning signs shall be conspicuously placed where applicable.

f) Site Operating Manual and Documentation

1. Each site shall have an operating manual for the safe operation of zip line activities on that site. The manual and all amendments shall be on-site and freely available to operator staff and governing bodies.

2. The manual shall include the procedures for complying with this Part.

3. The manual shall include, but not be limited to, the following:

A) A site plan;

B) A description of operating systems and equipment;

C) Job procedures, including training (see Section 6000.120(c)), for each task in the operating system;

D) Job descriptions;

E) Sample of staff qualifications;

F) Staff selection procedures;

G) Maintenance standards and procedures;

H) Testing procedures and recording;

I) Criteria for the periodic replacement of rigging;

J) Criteria for the regular planned inspections of ropes, webbings and bindings;

K) Emergency plan and procedures;

L) Reporting of injuries, damage and incidents;

M) Requirements for maintaining logs, including:

i) Site;

ii) Equipment and rigging; and

iii) Personnel;

N) Records to be kept;

O) Requirements for analysis of records;

P) Inspection procedures, standards and follow-up actions; and

Q) Examples of forms to be used.

g) Emergency Provisions and Procedures

1. Each site shall have an emergency plan.

2. A medium first aid kit and blankets shall be on site.

3. Emergency lighting shall be provided at sites that operate between ½ hour before sunset and ½ hour after sunrise. The emergency lighting system shall illuminate the takeoff platform, the zip line, the zip line course, and the arrival point for participants. The emergency lighting system shall have its own power source.

4. In inclement weather, including but not limited to lightning, rain, hail, snow or high winds, operations shall cease and participants shall not be allowed to ride the zip line or be on or near the platforms or termination points of the ride.

5. If the zip line operates over water, an employee qualified in lifesaving techniques, including water rescue, first aid, and cardiopulmonary resuscitation techniques through the American Red Cross or equivalent training, shall be present during operation. Appropriate equipment shall be available to perform a water rescue.

h) If a zip line operating system meets all the equipment and inspection requirements of this Section, the Department will issue an operating permit, subject to the applicant submitting the fees required by Section 6000.50(b) and (c).

i) An owner or operator of a zip line that is permitted under the Act and this Part may disclose or advertise such permit status. Misrepresentation of permit status shall be a violation of the Act. No owner or operator shall advertise any zip line as being otherwise endorsed or approved by the Department, in any advertisement, brochure, commercial, TV or radio show, or newspaper, or in any other public manner.

History

• Source: Amended at 49 Ill. Reg. 6097, effective April 25, 2025

56 Ill. Adm. Code 6000.351 Haunted Houses

a) Emergency Planning

1. Maximum occupant load, which shall include staff, shall be determined during plan review. A sign stating maximum occupant capacity shall be posted in a visible location near the entrance, and staff shall control the flow of patrons so as not to exceed this limit.

2. A written emergency procedure plan shall be provided with the permit application packet. All employees shall be trained in emergency procedure.

3. The emergency procedure plan shall include training of staff and familiarization with fire alarm tone. Specific personnel shall be designated to turn off all distracting noises (e.g., sound system) and turn on lights when alerted by the fire alarm or otherwise notified of an emergency condition.

4. While the haunted house is open to the public, it shall be adequately staffed to control the occupant load and assist patrons in exiting should an evacuation become necessary. Staffing level shall be determined upon review of plans and may be increased at the discretion of the fire department.

5. All employees shall carry flashlights and know the location of all exits, fire extinguishers, light switches, electrical panels and emergency phones.

6. A fire drill demonstrating the implementation of the emergency plan may be required at the time of inspection.

7. Phone communication shall be readily available for the purpose of calling 911 in the event of an emergency.

b) Exits

1. Two exits shall be provided from each room with an occupant load of 50 or more. Required exit doors shall swing in the direction of egress.

2. Naturally or artificially illuminated exit signs shall be provided at each exit.

3. Exit doors serving an occupant load of 50 or more shall not be provided with a latch or lock other than panic hardware.

4. Emergency lighting shall be provided.

5. Exhibits and decorative materials shall not obstruct, confuse or obscure exits, exit pathways, exit signs or emergency lighting units.

6. Additional pathway markings, including low level marking and signs, may be required during the field inspection.

c) Fire Protection

1. Fire and smoke detecting systems shall be installed in each building or structure used in an amusement ride or amusement attraction that requires a darkened interior during operation.

2. Fire extinguishers shall be:

A) Minimum 2A10BC rated.

B) Visible and accessible at all times and clearly illuminated or marked with reflective tape.

C) Located within 50 feet travel distance from anywhere in the building.

3. Decorative materials shall not obstruct fire sprinklers, fire extinguishers or any other fire protection equipment.

4. Fabric constituting part of an amusement ride or amusement attraction shall meet the flamespread ratings of NFPA 701. A certificate or a test report from the fabric manufacturer or approved testing agency indicating a fire resistance rating equal to or better than NFPA 701 shall be available upon request.

5. "No Smoking" signs shall be posted at the entrances/exits to all amusement rides or amusement attractions that require a darkened interior during operation.

d) Electrical

1. Extension cords shall be of heavy commercial type, UL listed and in good condition, and shall be appropriate for the intended use.

2. Only UL listed power strips with over-current protection shall be used when the number of outlets provided is inadequate. Power strips shall be plugged directly into provided outlets and shall not be plugged into one another in series.

3. All extension cords and power strips shall be adequately protected from foot traffic ("bridged") if paths of travel cannot be avoided.

4. Emergency Lighting. If an amusement attraction requires a darkened interior during operation, each building or structure shall be equipped with a battery powered emergency lighting system.

e) Decorative Materials

1. All decorative materials (decorations, drapes, backdrops and props) shall be either inherently flame retardant and labeled as such, or shall be treated with a flame retardant.

2. If material is treated by the user, a container and receipt will serve as proof. A flame test may be required.

3. Care and consideration shall be used with respect to smoke generator and smoke alarm locations. Use of smoke generators may be restricted if determined to be incompatible with the smoke alarms.

f) Miscellaneous

1. Storage or use of flammable or combustible liquids, gasses and solids is prohibited.

2. Open flame is prohibited.

3. Good housekeeping shall be maintained throughout exhibit and exit pathways at all times.

4. There shall be no sharp corners, splintered wood walls or protruding screws or nails that can cause injury.

5. Carnival or amusement workers working at haunted houses are not permitted to have physical contact with patrons unless such physical contact is in the course of rendering aid, to remove a patron from the attraction, or in the interest of avoiding injury to employees, volunteers, or patrons as provided for in Section 2-19 of the Act.

History

• Source: Amended at 49 Ill. Reg. 6097, effective April 25, 2025

56 Ill. Adm. Code 6000.352 Aerial Adventure

a) In addition to the definitions in Section 2-2 of the Act and Section 6000.10, the following shall apply to and govern this Section 6000.352:

"Acceptance Inspection" means the final inspection of a course performed upon installation completion and before commissioning.

"Anchor System" means a system of anchorages and anchorage connectors that provide a secure termination for a life safety system, personal safety system, belay system, or rope rigging system.

"Anchorage" means the terminating component of a life safety system, personal safety system, belay system, or rope rigging system intended to support any force applied to the system.

"Anchorage Connector" means an interface component coupling any anchor system or system component to an anchorage.

"Aerial Adventure Course" means a patron participatory facility or facilities consisting of one or more elevated walkways, platforms, zip lines, nets, ropes, or other elements that require the use of fall hazard Personal Safety Equipment (PSE).

"Automatic Anchorage Connector" means an anchorage connector that is properly engaged by automatic action without manually applied fasteners in the connector.

"Brake" means a device, method or system used to arrest the traverse of the participant.

"Brake System" means a complete system, comprised of the primary and emergency brakes, that arrests the participant's traverse along an element. Brake systems can be active or passive.

"Commissioning" means an action by the installer or other competent person of putting a new element or course into service for the owner/operator.

"Competent Person" means a person possessing the skills, knowledge, experience, training and judgment to perform assigned tasks or activities satisfactorily, as determined by a reasonable person.

"Dismount" means the act of disembarking from the element and proceeding away from the landing area.

"Fixed Course" means a course that is designed to be used at a fixed, single location and not readily moved to a different location.

"Landing Area" means the area provided for the participant to arrest and dismount after traversing an element.

"Mobile Course" means a course that is designed or adapted to be moved from one location to another and is not fixed at a single location.

"Mobile Course Manufacturer" means a company responsible for the design, quality, fabrication and delivery of a mobile course.

"Operating System" means the system or systems of processing a patron through the course route used on a particular site. This includes registration, preparation, getting to the landing point, methods of attachment, the rigging and lowering system, and the landing recovery method.

"Operation, Maintenance, Inspection and Training Manual" or "Manual" means a document containing the procedures and forms for the operation of the course activity and equipment on the site.

"Service Proven" means an element, ride, device, structure or major modification to an element, ride or device of which:

units have been in service to the public for a minimum of 5 years; and

units that have been in service without any significant design related failures or significant design related safety issues that have not been mitigated.

"Third Party Inspector" means a qualified person:

not directly employed by the operator of the course or parent company, original equipment manufacturer (OEM) or vendor; and

not offering other services to the operator of the course or parent company.

The person shall be qualified via ACCT accreditation, AIMS certification, NAARSO certification, PRCA accreditation, or other approval that equally qualifies that person to provide course inspections.

b) This Section shall govern all courses in operation on or after January 1, 2021. However, the Director may grant a permit to an operator of a course in operation on December 8, 2020 that does not meet all the standards set forth in this Section if the operator can clearly demonstrate a service-proven element or demonstrate that the applicable safety requirements throughout this Part are substantially satisfied to ensure the safety of the public.

c) This Section specifies the site, site approval, design, testing of equipment, management of the operation, operating procedures, and emergency provisions and procedures for courses from any mechanically operated platforms that carry participants to the top of the structure. All courses shall meet the manufacturer's standards and specifications.

d) Site Plan, Equipment Design and Construction

1. All course operating system design documents shall be reviewed and sealed by a licensed professional engineer and a licensed structural engineer. ANSI, ACCT, ASTM or other applicable standards shall be used as general guidance. The designer of fixed courses and the manufacturer of mobile courses are responsible for preparing the report for the owner. The design report shall contain site plans, safety zones, drawings and specifications of equipment, platform, rigging system, and safety equipment. The report shall be submitted to the Department before the commissioning of fixed courses and operation of mobile courses and shall be maintained on the site where the course is operating. The design evaluation included in the report shall consider the following:

A) Static and dynamic loads on anchors and components.

B) Fatigue limits or absolute component replacement intervals.

C) Fatigue limits for structures.

D) Protection against metallic corrosion and wood rot.

E) Clearances and hazard analysis, including consideration of the effects of heavy crosswinds, rain, fog and other conditions resulting in impaired visibility, maneuverability, loss of traction or grip, and reduced braking capability.

F) Platform, walkway, ladder and associated foundation size and load ratings, including factors of safety.

G) Anchor and foundation analysis for mobile courses shall consider the load path through the anchor attachment point and shall identify loading through all components, including an identified fixed foundation. Vehicle frames or underframes can be used as fixed foundations, providing a verifiable load analysis is submitted. Alternate qualification, consisting of a statement by the vehicle manufacturer confirming the anchor attachment point and loadings are suitable for the vehicle, is acceptable.

2. An inspection by a third-party inspector shall be conducted each time a major component is modified. Scheduled component replacements in accordance with manufacturer or designer maintenance procedures do not constitute a design modification.

3. Fixed courses shall be inspected by a third-party inspector annually. This information shall be presented in a report to the owner in accordance with the ACCT Challenge Course Inspection Standards or equivalent standards approved by the Department. The report shall be submitted to the Department.

4. Differences between the design as detailed in the engineer's report and evaluation and the implemented installation by a competent person shall be reconciled. Appropriate explanations of the differences, which may include modified drawings, procedures, analyses and additional calculations, shall be appended to the original design report or engineering evaluation, as applicable. Owner's manuals shall be updated to reflect the engineer's or manufacturer's acceptance of the modifications.

5. A fixed course site commissioning plan, including an acceptance test procedure and report, shall be incorporated in the engineer's report. Commissioning and testing shall be conducted by a competent person

6. Mobile course site setup, pre-start inspection, and test procedures shall be clearly documented and followed by a competent person.

7. The Department shall maintain the confidentiality of the engineer's report as authorized by Section 7(1)(g) of the Freedom of Information Act.

e) General Compliance Criteria

1. Equipment

A) When a portion of the course or landing area is not visible from the element departure point, a departure procedure shall be utilized to ensure a clear unobstructed run.

B) There shall be adequate clear space above, below and around the course to ensure the participant will not strike or contact any permanent or transient obstruction, object or person.

C) Rescue ropes, equipment appropriate to applicable rescue loads, rescue plans, and personnel trained to retrieve a participant from anywhere within course spans shall be present during use.

D) Carabiners and snap-hooks shall comply with the gate strength and other applicable requirements of ANSI/ASSP Z359.1 (2007) for the manufacturer's estimated life cycle of the product. Carabiners and snap-hooks shall be auto-closing and auto-locking and require at least two deliberate consecutive actions to open.

E) Lanyards shall comply with the strength requirements of ANSI/ASSP Z359.1 (2007) for manufacturers estimated life cycle of the product. Lanyards should carry the marking of the manufacturer and the safe working load or breaking strength.

F) Hair, clothing that may become entangled in safety equipment or component parts, and items carried by participants, including backpacks and carryalls, shall be secured properly.

G) Pulleys and trolleys shall be of the double wheel type construction per the design specification to eliminate derailing during operation.

H) All parts and components shall be purchased from the manufacturer or shall only be manufacturer approved replacement parts.

2. Course Arrival Point, Protection and Braking

A) Courses shall have appropriate safety devices, such as impact-absorbing materials, ground cover, load limiters, landing mats, or landing nets, installed per the manufacturer's design specifications at the course arrival point. Descriptions and operating characteristics of the safety devices shall be included in the design drawings.

B) One or more of the following methods shall be included in the operating system of the course:

i) Impact absorbent ground cover, impact absorber/load limiter, landing mats, nets, water landings, or other protective methods installed in arrival areas to reduce injury potential.

ii) Passive braking systems shall not require any action by the user and shall always be in effect through gravity or engineered or mechanical means. In the event gravity braking is designed to result in the participant being removed after arriving at a low point in the course, the removal device or equipment shall be rated for the design reach and loads, as determined by the design plan. In the event mobile equipment is used to remove participants at the arrival point, the approach path shall be free of potential hazards. The stability of the vehicle shall be insured through proper selection of the equipment and the approach.

iii) Active braking systems with use of a mechanical braking system must also have a secondary braking system or assistance of an operator as a secondary or emergency braking system.

C) Parked vehicles shall only be used as secondary tie-off points for portable courses and may be used as primary anchor points when the vehicle meets the weight class and type specified by the manufacturer and engineering requirements of the ride. Additionally, any vehicle used as a primary or secondary anchoring point must be physically prevented from being operated by disabling the electrical system (disconnecting battery) so that the vehicle cannot be started or by other means outlined in the manufacturer's design specifications.

D) The use of a tree as an anchor point for the termination of a course or to secure the takeoff platform of a course is acceptable. The tree or trees shall be inspected and approved by a certified arborist to ensure good health and stability of the trees. All trees on fixed installations shall receive this assessment no less than annually.

3. Course Takeoff Platform

A) Takeoff platforms shall be designed to prevent the participant from striking any portion of the platform or lower obstacle during the takeoff.

B) Angles of inclination of the landing ramps shall not constitute a tripping hazard for the participant.

C) Where necessary, impact-absorbing material shall be utilized to prevent injury.

D) Unauthorized access to course platforms during periods when the ride is shut down or not attended by a qualified operator shall be prevented by suitable means, including barriers. Hazard warning signs shall be conspicuously placed where applicable.

f) Site Operating Manual and Documentation

1. Each site shall have an operating manual for the safe operation of course activities on that site. The manual and all amendments shall be on-site and freely available to operator staff and governing bodies.

2. The manual shall include the procedures for complying with this Part.

3. The manual shall include, but not be limited to, the following:

A) A site plan;

B) A description of operating systems and equipment;

C) Job procedures, including training, for each task in the operating system. The Staff Training Plan (see Section 6000.120(c)) shall include documentation of training provided by the qualified industry training professional, including certificates verifying competency in technical skills for each challenge course staff;

D) Challenge Course Personnel Job Descriptions

i) Challenge course managers shall be 21 years of age or older.

ii) Challenge course staff shall be 16 years of age or older and shall have training (see Section 6000.120(c)) and general knowledge of the operation of the element to which they are assigned.

E) Sample of staff qualifications;

F) Staff selection procedures;

G) Maintenance standards and procedures;

H) Testing procedures and recording;

I) Criteria for the periodic replacement of rigging;

J) Criteria for the regular planned inspections of ropes, webbings and bindings;

K) Emergency plan and procedures;

L) Reporting of injuries, damage and incidents;

M) Requirements for maintaining logs, including:

i) Site;

ii) Equipment and rigging; and

iii) Personnel;

N) Records to be kept;

O) Requirements for analysis of records;

P) Inspection procedures, standards and follow-up actions; and

Q) Examples of forms to be used.

g) Emergency Provisions and Procedures

1. Each site shall have an emergency plan.

2. A medium first aid kit and blankets shall be on site.

3. Emergency lighting shall be provided at sites that operate between ½ hour before sunset and ½ hour after sunrise. The emergency lighting system shall illuminate the takeoff platform, the course, and the arrival point for participants. The emergency lighting system shall have its own power source.

4. In inclement weather, including but not limited to lightning, rain, hail, snow or high winds, outdoor operations shall cease and participants shall not be allowed to be on or near the course.

h) If a course operating system meets all the equipment and inspection requirements of this Section, the Department will issue an operating permit, subject to the applicant submitting the fees required by Section 6000.50(b) and (c).

i) An owner or operator of a course that is permitted under the Act and this Part may disclose or advertise such permit status. Misrepresentation of permit status shall be a violation of the Act. No owner or operator shall advertise any course as being otherwise endorsed or approved by the Department, in any advertisement, brochure, commercial, TV or radio show, or newspaper, or in any other public manner.

History

• Source: Amended at 49 Ill. Reg. 6097, effective April 25, 2025

56 Ill. Adm. Code 6000.353 Trampoline Courts

a) This Section shall govern all trampoline courts (courts) in operation on or after January 1, 2022. Courts subject to the Act must comply with the inspection and permitting requirements of this Part by February 1, 2022.

b) Trampoline courts must comply with ASTM 2970-20.

c) In addition to the definitions in Section 2-2 of the Act and Section 6000.10, the following shall apply to and govern this Section 6000.353:

"Commissioning" means an action by the installer or other competent person of putting a new element or court into service for the owner or operator.

"Competent Person" means a person possessing the skills, knowledge, experience, training, and judgment to perform assigned tasks or activities satisfactorily, as determined by a reasonable person.

"Major Modification" means a change in either the structural or operational characteristics of an amusement ride or amusement attraction that can alter its performance from that specified in the manufacturer’s design criteria.

"Operating System" means the system or systems of processing a patron through the court.

"Operating Manual" means a document containing the procedures and forms for the operation of the court activity and equipment on the site.

"Third-Party Inspector" means a qualified person not directly employed by the operator of the court or parent company, original equipment manufacturer (OEM), or vendor, and not offering other services to the operator of the court or parent company, who is qualified via International Association of Trampoline Parks accreditation, NAARSO certification, or other equivalent certification to provide court inspections, as determined by the Department.

d) This Section specifies the site, site approval, design, testing of equipment, management of the operation, operating procedures, and emergency provisions and procedures for courts. All courts shall meet the manufacturer's standards and specifications.

e) Site Plan and Equipment Design and Construction

1. This Section (e) shall apply to courts undergoing a major modification or newly constructed after January 1, 2022. All court operating system design documents shall be reviewed and sealed by a licensed professional engineer. ASTM 2970-20 and other applicable standards shall be used as general guidance. The designer of the court is responsible for preparing the design report for the owner. The design report shall contain site plans, safety zones, drawings, a design evaluation, and specifications for equipment, platform, rigging system, and safety equipment. The design report shall be submitted to the Department before the commissioning of the court and shall be maintained on-site. The design evaluation included in the report shall consider the following:

A) Static and dynamic loads on anchors and components.

B) Fatigue limits or absolute component replacement intervals.

C) Fatigue limits for structures.

D) Protection against metallic corrosion.

E) Clearances and hazard analysis.

F) Platform, walkway, ladder and associated foundation size and load ratings, including factors of safety.

2. An inspection by a third-party inspector shall be conducted each time a major design component is modified. Scheduled component replacements in accordance with manufacturer or designer maintenance procedures do not constitute a design modification.

3. Courts shall be inspected by a third-party inspector annually. The information gathered from the inspection shall be presented in a report to the owner in accordance with the ASTM 2970-20 and industry standards or equivalent standards as approved by the Department. The inspection report shall be submitted to the Department at the time the application for a permit is submitted to the Department.

4. Differences between the design as detailed in the engineer's report and evaluation and the implemented installation by a competent person shall be reconciled. Appropriate explanations of the differences, which may include modified drawings, procedures, analyses, and additional calculations, shall be appended to the original design report or engineering evaluation as applicable. Owner's manuals shall be updated to reflect the engineer's or manufacturer's acceptance of the modifications.

5. A court commissioning plan, including an acceptance test procedure and report, shall be incorporated in the engineer's report. Commissioning and testing shall be conducted by a competent person.

6. Any materials or data made available to or received by any agent or employee of the Department that contains information that is exempt from disclosure under Section 7 of the Freedom of Information Act [5 ILCS 140/7] shall not be disclosed.

f) General Compliance Criteria

1. Equipment

A) There shall be adequate clear space above, below, and around the court to ensure participants will not strike or contact any permanent object.

B) Equipment appropriate for applicable rescue, rescue plans, and personnel trained to retrieve a participant from anywhere within the court shall be present during court operation.

C) All parts and components shall be purchased from the manufacturer or shall only be manufacturer-approved replacement parts. If the manufacturer is no longer in business, replacement parts shall be procured in a manner consistent with ASTM 2970-20.

D) Performance trampolines, as the term is used in ASTM F2970-20, shall not be allowed for public use in any regulated trampoline court.

2. Court Protection

Courts shall have appropriate safety devices, such as impact-absorbing materials, landing mats, or nets, installed per the manufacturer's design specifications and ASTM 2970-20. Descriptions and operating characteristics of the safety devices shall be included in the design drawings.

g) Site Operating Manual and Documentation

1. Each court shall have an operating manual for the safe operation of court activities on-site. The operating manual and all amendments shall be on-site and freely available to operating staff and governing bodies.

2. The operating manual shall include the procedures that will be used by the court to comply with this Part.

3. The operating manual shall include, but not be limited to, the following:

A) A site plan.

B) A description of operating systems and equipment.

C) Job procedures, including training, for each task in the operating system. The staff training plan shall include documentation of training provided by a qualified industry training professional, including certificates verifying competency.

i) Court managers shall be 21 years of age or older and shall hold a current Red Cross first aid certificate and a current Red Cross cardiopulmonary resuscitation (CPR) certificate, or their equivalent. At least one court manager must be present on-site at all times during court operation.

ii) Operating staff shall have complete knowledge of the operation of the court.

iii) At no time shall the ratio of participants to attendants and assistants exceed 32:1.

D) Job descriptions.

E) Sample of staff qualifications.

F) Staff selection procedures.

G) Maintenance standards and procedures.

H) Testing procedures and recording.

I) Criteria for the periodic equipment replacement.

J) Emergency plan.

K) Reporting of injuries, damage, and incidents.

L) Requirements for maintaining logs, including:

i) Site

ii) Equipment

iii) Personnel

M) Records to be kept.

N) Inspection procedures, standards, and follow-up actions.

O) Examples of forms to be used.

h) Emergency Plan and Provisions

1. Each court shall have an emergency plan, including appropriate procedures to be followed in case of emergency, that has been reviewed with the local police and fire departments by court management, and must maintain documentation that such review took place, including any recommendations provided by the police or fire department.

2. Each court shall have a medium first aid kit and blankets on site.

i) If a court meets all the equipment and inspection requirements of this Part, the Department shall issue an operating permit, subject to the applicant submitting the fees for Amusement Attractions required by Section 6000.50(a)(3) and (b)(3).

j) An owner or operator of a court that is permitted under the requirements of the Act and this Part may disclose or advertise such permit status. Misrepresentation of permit status shall be a violation of the Act. No owner or operator shall advertise any court as being otherwise endorsed or approved by the Department, in any advertisement, brochure, commercial, TV or radio show, or newspaper, or in any other public manner.

History

• Source: Amended at 49 Ill. Reg. 6097, effective April 25, 2025