Section 508.10  Authority − Applicability of This Part

 

a)         This Part on practice and procedure for administrative hearings is promulgated pursuant to Section 5-10(a)(i) of the Illinois Administrative Procedure Act (IAPA) [5 ILCS 100/5-10(a)(i)].  This Part shall apply to all administrative hearings of the Department of Human Services governed by the Department's rules at 59 Ill. Adm. Code 50 (Office of the Inspector General Investigations of Alleged Abuse or Neglect in State-Operated Facilities and Community Agencies), 59 Ill. Adm. Code 101.75 (Conduct of Hearings and Appeals for Bogard et al. v Bradley et al. Consent Decree Class Members), 59 Ill. Adm. Code 115 (Standards and Licensure Requirements for Community-Integrated Living Arrangements), 59 Ill. Adm. Code 116 (Administration of Medication in Community Settings), 59 Ill. Adm. Code 117 (Family Assistance and Home-Based Support Programs for Persons with Mental Disabilities), 59 Ill. Adm. Code 119 (Minimum Standards for Certification of Developmental Training Programs), 77 Ill. Adm. Code 672 (WIC Vendor Management Code),  77 Ill. Adm. Code 2060 (Alcoholism and Substance Abuse Treatment and Intervention Licenses), 89 Ill. Adm. Code 511 (Grants and Grant Funds Recovery), 89 Ill. Adm. Code 527 (Recovery of Misspent Funds) and 89 Ill. Adm. Code 530 (Criteria for the Evaluation of Programs of Services in Community Rehabilitation Programs).   All contested cases and licensing actions therein that are required by law to be preceded by a notice and opportunity to be heard shall be governed by this Part.

 

b)         Where a statute or rule prescribes certain alternative procedures or requirements for hearings, those procedures or requirements will be followed as though they were set forth in this Part.  In the event there is a conflict between the statute or rule and this Part, the more specific rule or statute shall prevail.

 

(Source:  Amended at 41 Ill. Reg. 6562, effective May 26, 2017)

 

Section 508.20  Definitions

 

"Administrative Hearing" shall mean a contested case or a hearing in which the rule establishing the right to hearing references this Part.

 

"Administrative Law Judge" shall mean any attorney licensed to practice law in Illinois, appointed by the Secretary to preside at an administrative hearing.

 

"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", unless otherwise noted, shall mean a day on which the State of Illinois offices are open for business.  This would  exclude Saturdays, Sundays and State holidays.

 

"Department" shall mean the Department of Human Services, State of Illinois.

 

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

 

"License" means the whole or part of any Department permit, certificate, approval, registration, charter, or similar form of permission required by law [5 ILCS 100/1-35].

 

"Licensing" means the Department process respecting the grant, denial, renewal, revocation, suspension, annulment, withdrawal, or amendment of a license [5 ILCS 100/1-40].

 

"Party" means the Department or 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] or intervener whose petition to intervene has been granted.

 

"Person" means any individual, partnership, corporation, association, governmental subdivision or public or private organization of any character other than the Department [5 ILCS 100/1-60].

 

"Petitioner" means the party who requests the hearing.

 

"Respondent" means the party against whom a petition is filed.

 

"Secretary" shall mean the Secretary or the designee of the Secretary of the Department of Human Services, State of Illinois.

 

"WIC Hearing" refers to a hearing under the WIC Vendor Management Act [410 ILCS 255].

 

Section 508.30  Appearance – Representation by Counsel

 

a)         Any party to a proceeding may appear by himself or herself or may be represented by someone of the party's choosing.

 

b)         All persons appearing in proceedings before the Department, including a non-attorney representative, shall conform to the standards of conduct required of attorneys before the courts of Illinois.  If any person does not conform to such standards, the administrative law judge may decline to permit such person to continue to appear in the proceeding.

 

c)         Any attorney or other person appearing before the Department as a representative of a party shall file an Appearance containing: the name of the party represented; the name, address and telephone number of the attorney or representative; an affirmative statement that the attorney is duly licensed in the State of Illinois; an affirmative statement, if representing a corporation, that the individual is duly authorized to represent the corporation; and the written signature of the attorney or representative.

 

d)         Special appearances are not recognized.  The initial appearance regardless of form is deemed a general appearance.

 

e)         An attorney or other person appearing before the Department as a representative may withdraw his or her appearance and/or representation only upon motion and appropriate ruling by the administrative law judge. However, attorneys may be substituted without motion upon notice to all parties and the administrative law judge if the substitution will not delay the proceedings, a statement to that effect is contained in the notice, and a substitute Appearance form is filed concurrently with the notice.

 

Section 508.40  Emergency Action

 

If the Secretary finds that the public interest, safety or welfare requires emergency action, and if the Secretary incorporates a finding to that effect in an order, summary suspension of a license or authorization to conduct a particular activity may be ordered pending proceedings for revocation, termination or other actions.  These proceedings shall be promptly instituted and determined.  [5 ILCS 100/10-65]

 

Section 508.50  Notice and Initiation of an Administrative Hearing

 

a)         When the Department serves a Notice of Opportunity for an Administrative Hearing it shall contain:

 

1)         a statement of the nature of the action;

 

2)         a statement of the legal authority and jurisdiction under which the action is being initiated;

 

3)         a reference to the particular sections of the statutes and rules involved;

 

4)         allegations of noncompliance specifying the basis for the Department's action (e.g., audit findings, investigative reports, the rule being violated, etc);

 

5)         a statement of the procedure for requesting an administrative hearing, including a date by which the request must be received by the Department, which must be set at least ten days after the Notice is mailed or personally served; and

 

6)         except where a more detailed statement is otherwise provided for by law, a short and plain statement of the matters asserted, the consequences of a failure to respond, and the official file or reference number.  [5 ILCS 100/10-25]

 

b)         A person who receives a Notice of an Opportunity for an Administrative Hearing shall submit a written request for a hearing to the Department.  The request shall  be delivered or mailed to the Department at the address stated in the Notice and, if mailed, shall be postmarked no later than the date set forth in the Notice.  Failure to comply with this Section shall constitute a waiver of the person's right to an administrative hearing.

 

c)         Upon receipt of a timely request for hearing, the Department shall issue a Notice of Administrative Hearing or Prehearing Conference.  The Notice of Administrative Hearing or Prehearing Conference shall contain:

 

1)         a statement of the nature of the hearing;

 

2)         a statement of the time and place that the hearing or Prehearing Conference will be held;

 

3)         a statement of the legal authority and jurisdiction under which the hearing is to be held; and

 

4)         the names and mailing addresses of the administrative law judge, all parties, and all other persons to whom the Department gives notice of the hearing, unless otherwise confidential by law.   [5 ILCS 100/10-25]

 

d)         Amendments to the pleadings may be allowed upon proper motion at any time during the pendency of the proceedings on such terms as shall be just and reasonable.

 

e)         Venue shall be the location designated in the Notice of Administrative Hearing.  Venue may be moved to another location upon stipulation by all parties or upon a showing to and a finding by the administrative law judge that exceptional circumstances exist, including but not limited to age, infirmity or inability to travel  that make it desirable, in the interest of justice, to allow a change of venue.

 

f)         Computation of Time.  The time within which any act under this Section is to be done shall be computed by excluding the first day and including the last day.

 

Section 508.60  Motions

 

a)         Motions, unless made during a hearing, shall be made in writing and shall set forth the relief or order sought and the legal authority for the action requested.  Except as otherwise provided in this Part or by a specific statute or rule, motions may seek any relief or order recognized in the Illinois Code of Civil Procedure [735 ILCS 5] and Rules of the Illinois Supreme Court and shall include a reference to the applicable Section of such Code or Rules.  Motions based on a matter that does not appear of record shall be supported by affidavit.

 

b)         Written motions shall be titled as to the party making the motion and the nature of the relief sought.  Such title shall be in capital letters and shall be placed either below the caption or to the right of the caption beneath the docket number.  No motion shall be identically titled with any other motion. Examples of properly titled motions:  RESPONDENT'S MOTION TO DISMISS, RESPONDENT'S SECOND MOTION TO DISMISS.

 

c)         Motions, objections and requests for continuances and all responses shall be in writing unless made at a prehearing conference or a hearing.

 

d)         Motions on the pleadings if not raised at the earliest opportunity shall be deemed waived.  Motions on the pleadings shall not be granted if the pleadings are not in conformity with this Section.

 

e)         The administrative law judge shall not have the authority to dismiss, postpone, vacate, or overturn an order or decision issued by the Secretary.

 

f)         Motions for a continuance shall be granted only for good cause shown. Good cause may include, but is not limited to, the death or illness of the grievant or a witness, inclement weather that severely limits travel in the area of the hearing, etc.  With the exception of an emergency, motions for a continuance shall be in writing and filed at least 7 days prior to the hearing.  Motions for a continuance shall be made immediately when the party learns that a continuance is needed and shall contain statements as to when the party learned that a continuance was needed, steps that were taken to avoid the continuance, and the current reasons the continuance is needed.  After one continuance has been granted to a party additional continuances may be granted to that party only if:

 

1)         a hearing on the issue of whether or not to grant the continuance has been held and the administrative law judge finds that the moving party has presented sufficient evidence showing entitlement to another continuance;

 

2)         there is an emergency; or

 

3)         all parties so stipulate.

 

g)         Whenever possible, as much of the hearing as possible shall be completed and only those matters that must be continued shall be continued.

 

h)         If there is an unforeseen emergency, motions for a continuance may be made by telephone rather than in writing.  Motions by telephone shall be made through a conference call involving the administrative law judge and all parties and shall be confirmed within 3  days by the filing of a written motion.

 

i)          At any time prior to the issuance of the administrative law judge's recommended decision, the party may move to disqualify the administrative law judge on the grounds of bias or conflict of interest.  Bias or conflict of interest may include, but is not limited to, the grievant or a witness being a family member of the administrative law judge, the existence of a financial relationship between the administrative law judge and a witness or the grievant, etc.  Such motion shall be made in writing to the  administrative law judge, setting out the specific instances of bias or conflict of interest.  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 appeal shall be suspended until the administrative law judge rules on the motion.  The administrative law judge may decide to disqualify himself/herself if a determination of bias or conflict of interest exists or may decide that the appeal should be denied.  If the motion is granted the Secretary shall appoint a new administrative law judge.

 

(Source:  Amended at 28 Ill. Reg. 1122, effective December 31, 2003)

 

Section 508.70  Filing

 

a)         All pleadings, written motions, or notices filed in the administrative proceedings shall be dated and signed by the party filing the paper or his or her attorney or representative.

 

b)         Pleadings, written motions, and notices shall contain the address of the party filing the paper or, if represented by an attorney or other representative, the name and business address and telephone number (including area code) of such attorney or representative.

 

c)         Motions and notices may be filed by facsimile, but the original must also be mailed on the same day.

 

Section 508.80  Service

 

a)         Notices under Section 508.50(a) shall be served either personally or by certified mail upon all parties or their agents appointed to receive service of process unless the applicable statute or rule requires a different form of service, in which case service shall conform to the statute or rule.

 

b)         Service to the last official address of a party, or agent provided to the Department by a party, shall be considered in compliance with this Section. Notices sent by certified mail to that address and that have been returned to the Department as unclaimed or refused by the addressee shall be considered served.  For purposes of this Section, the "last official address" shall be: the address listed on the most recent application submitted to the Department, unless the Department has been subsequently notified in writing of a change of address.

 

c)         Service of pleadings or motions under this Part, unless otherwise provided for, shall be made by delivering in person or by depositing with the United States Postal Service, properly addressed with postage prepaid, one copy to each party to the proceedings.  When any party has appeared by attorney, service upon the attorney shall be deemed service upon such party. All pleadings or motions under this Part shall also be served upon the administrative law judge.

 

d)         Proof of service under subsection (b) of this Section shall be by certificate of attorney, affidavit or acknowledgment.

 

Section 508.90  Prehearing Conferences

 

a)         A prehearing conference may be scheduled by the administrative law judge or Department at their discretion or as a result of a request pursuant to subsection (b) of this Section.  This conference shall be for the purpose of considering:

 

1)         the simplification of the issues;

 

2)         amendments to the pleadings;

 

3)         the possibility of obtaining admissions of fact and of documents that will avoid unnecessary proof;

 

4)         limitation of the number of expert witness; and

 

5)         any other matters that may aid in the disposition of the hearing.

 

b)         In any proceedings under this Section in which the Department has not scheduled a prehearing conference, any party to the proceedings may request the scheduling of a prehearing conference. Such request must be made in writing and received by the administrative law judge at least 5 days prior to the scheduled hearing date.  The requesting party shall serve all other parties to the proceedings with a copy of the request.

 

c)         Upon the receipt of a request for a prehearing conference in accordance with subsection (b) of this Section, the administrative law judge shall schedule the prehearing conference and notify all parties of the date, time and place of the conference.

 

d)         After a prehearing conference, the administrative law judge shall make a report to all parties that recites any action taken by the administrative law judge and any agreements made by the parties as to any of the matters considered.

 

e)         Any party may request additional prehearing conferences.  The administrative law judge, in his or her discretion, may deny or grant such a request.

 

f)         A certified stenographic reporter (court reporter) will not be present at a prehearing conference unless one of the parties to the proceeding requests the Department to make such arrangements.  The Department  must  receive such a request at least two days in advance of the scheduled prehearing conference.  The party requesting the presence of the court reporter shall be billed directly for the fee of the reporter.

 

g)         The Department shall appoint a sign or language interpreter upon request. An interpreter must be able to communicate with the person for whom the interpreter was requested and must take an oath or affirmation to make a true interpretation in an understandable manner and convey the statements of the person to the best of the interpreter's skill.

 

Section 508.100  Discovery

 

a)         At least 7 days prior to the commencement of the hearing, each party shall provide all other parties with a copy of any document that it intends to offer into evidence.  This subsection does not apply to documents already provided by the Department under this Part.

 

b)         At least 7 days prior to the commencement of the hearing, each party shall provide all other parties with a list containing the name and address of any witness who may be called to testify.

 

c)         All parties shall be entitled to any exculpatory evidence in the other party's possession that tends to support the opponent's position or that might impeach the credibility of the party's own witness.  Such documentation shall be produced at least 7 days prior to the hearing.

 

d)         Upon a written request by the Department, at any time after a notice or hearing request is filed, or at any stage of the hearing, a party shall be required to produce within 7 days documents, books, records, or other evidence that relates directly to the  conduct of the business entity that is the subject of the administrative hearing.

 

e)         All parties shall be under a continuing obligation to promptly update requested discovery until the hearing is concluded without the necessity for further or additional requests.

 

f)         There shall be no depositions for discovery purposes or interrogatories allowed in any proceedings brought pursuant to this Part, except for good cause as determined by the administrative law judge.  Evidentiary depositions of material witnesses shall be allowed by the administrative law judge for good cause, including but not limited to age, infirmity, or inability to travel.

 

g)         Requests to Admit Facts and Genuineness of Documents shall be allowed in accordance with Supreme Court Rule 216.

 

h)         Nothing contained herein shall preclude the parties from agreeing to the voluntary exchange of more information than is required.

 

i)          A request for discovery shall be considered an appearance by the party.

 

Section 508.110  Hearings

 

a)         Except for hearings under 59 Ill. Adm. Code 50, 115, 117, 119, and 120, all hearings conducted in any proceedings shall be open to the public subject to individual rights  to confidentiality.

 

b)         Hearings will be conducted by the Secretary or by an administrative law judge appointed by the Secretary. If the Secretary conducts the hearing, any reference in this Part to the administrative law judge shall be read to refer to the Secretary, except for references that may limit the administrative law judge's power as opposed to the Secretary's.  The final decision-maker for the hearing shall be designated by rule or statute governing the hearing.  If there is no such designation in rule or statute, the Secretary shall designate the final decision-maker.

 

c)         The administrative law judge shall conduct hearings; administer oaths; issue subpoenas; hold informal conferences for the settlement, simplification, or definition of issues; dispose of procedural requests, motions, and similar matters; continue the hearing from time to time when necessary; examine witnesses; and rule upon the admissibility of evidence.

 

d)         The administrative law judge shall direct all parties to enter their appearances on the record.

 

e)         Written opening arguments and written closing arguments shall not be permitted unless all parties so stipulate or the administrative law judge so directs.

 

f)         Parties may by stipulation agree upon any facts involved in the proceeding. The facts stipulated shall be considered as evidence in the proceeding. Unless precluded by law, disposition may be made of any administrative hearing by stipulation, agreed settlement, consent order, default, or motion.

 

g)         At any stage of the hearing or after all parties have completed the presentation of their evidence, the administrative law judge may call for further testimony, subject to cross-examination by the parties.

 

h)         The rules of evidence and privilege as applied in civil cases in the circuit courts of this State shall be followed.  However, evidence not admissible under those rules of evidence may be admitted (except where precluded by statute or rule) if it is of a type commonly relied upon by reasonably prudent persons in the conduct of their affairs.  Immaterial, irrelevant, or unduly repetitious material shall be excluded. A copy of the whole or any part of an admissible book, record, paper, or memorandum of the Department that is made by photostatic or other method of accurate and permanent reproduction may be admitted in evidence at the hearing without further proof of the accuracy of such copy. Objections to evidentiary offers may be made and shall be noted in the record.  Cross examination of each witness shall be allowed. [5 ILCS 100/10-40]

 

i)          Official notice may be taken of matters of which circuit courts of this State may take judicial notice. In addition, official 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 material so noticed.  The Department's experience, technical competence and specialized knowledge may be utilized in the evaluation of evidence. [5 ILCS 100/10-40]

 

j)          Absent a showing of good cause, no document shall be offered into evidence that was not disclosed in accordance with the requirements in Section 508.100(a), and no witness shall testify whose name was not provided pursuant to Section 508.100(d).  For purposes of this subsection, a showing of good cause shall mean that a party, through no fault of its own, did not have knowledge of a document to be offered into evidence or the name of a witness within the timeframe necessary for compliance with Section 508.100(a) and (b).

 

k)         The Department will arrange for audio or video taping or for a certified stenographic reporter (court reporter) to make a stenographic record of the hearing in all administrative hearings under this Part.  Any person may make arrangements to obtain a copy of the stenographic record from the reporter.  The Department reserves the right to employ a certified stenographic reporter.  There shall be no audio or video taping apart from any made by the certified stenographic reporter employed for those purposes by the Department without the express consent of the administrative law judge and all parties to the hearing.

 

l)          Corrections to the transcript of the hearing may be made by the Secretary or administrative law judge who heard the matter.

 

m)        If a party, or any person at the direction of or in collusion with a party, violates any ruling or order of the administrative law judge, the administrative law judge, on motion, may enter such orders as are just, including, among others, the following:

 

1)         that further proceedings be stayed until the order or rule is complied with;

 

2)         that the offending party be barred from filing any other pleadings relating to any issue to which the refusal or failure relates;

 

3)         that the offending party be barred from maintaining any particular claim or defense relating to that issue;

 

4)         that a witness be barred from testifying concerning that issue;

 

5)         that, as to claims or defenses asserted in any pleading to which that issue is material, an order of default be entered against the offending party or that the offending party's pleading be dismissed without prejudice; or

 

6)         that any portion of the offending party's pleadings relating to that issue be stricken and, if thereby made appropriate, judgment be entered as to the issue.

 

n)         At any time, the administrative law judge may order the removal of any person from the hearing room who is creating a disturbance or engaging in conduct that disrupts the hearing.

 

o)         At the request of any party, the administrative law judge may exclude all witnesses from the hearing room, except that each party or a representative of a party, in addition to legal counsel, shall be allowed to remain.

 

p)         When it is impractical for the parties, witnesses or administrative law judge to appear in the same site for a hearing, testimony may be taken by telephonic means, interactive video conferencing, or any other means, at the discretion of the administrative law judge.  If a hearing is to be conducted by such means, the notice shall so inform the parties and include instructions for providing 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.  A party to such a hearing must submit to the administrative law judge at least 7 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 administrative law judge will be identified on the record.

 

q)         The applicable burden of proof shall be determined by the rule or statute governing the right to hearing.  If the rule or statute governing the right to a hearing is silent concerning the burden of proof, such burden shall be a preponderance of the evidence.   [5 ILCS 100/10-15]

 

r)          Failure of a party to appear at the administrative hearing at the time the hearing is scheduled will result in a dismissal of the contested case or recommendation of dismissal to the decision-maker if the decision-maker did not preside at the hearing.

 

s)         If a party fails to appear and the hearing is dismissed, that party may  request a rehearing of the contested case from the administrative law judge. Requests for reinstating the contested case must be filed no later than 10 days after the date of the notice of dismissal.  Based on the statements in the request and the facts of the record, the administrative law judge shall:

 

1)         Grant the request if the request meets the requirements of this subsection (s) and schedule a hearing with notice to all parties, including a copy of the request to any opposing parties; or

 

2)         Deny the request, if the request fails to meet the requirements of this subsection (s), and issue a written decision setting forth the reasons for the denial. 

 

(Source:  Amended at 28 Ill. Reg. 1122, effective December 31, 2003)

 

Section 508.120  Subpoenas

 

a)         The administrative law judge may issue a subpoena to compel the attendance of a witness or the production of documents when such witness or such documents contain relevant evidence but the evidence is not being presented by the party, witness or holder of the document. A party may also request the administrative law judge 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; and

 

2)         State the facts that will be proven by each witness or document sought.

 

b)         The administrative law judge shall grant or deny the request, either in writing or on the record.  If the request for a subpoena is granted, the administrative law judge shall, if necessary, reschedule the hearing to a specific date.  The request for a subpoena shall be denied only if the administrative law judge finds that the evidence sought is immaterial, irrelevant or cumulative.  If the request for subpoena is denied, the administrative law judge shall proceed to conduct the hearing, and the specific reasons for denial of the request for subpoena shall be made part of the record of the appeal.

 

c)         If a witness fails to obey a subpoena, the party seeking enforcement of the subpoena shall prepare application to the circuit court of the county in which the subpoenaed witness resides requesting enforcement of the subpoena, and shall present the application to the administrative law judge. If satisfied that the subpoena was properly served and that the application is in proper form, the administrative law judge shall sign the subpoena, or the attorney of the party seeking the subpoena may then file and prosecute the application to the circuit court.  In such instance, that matter shall be continued pending the outcome of enforcement of the subpoena.

 

d)         The witness fee for attendance and travel shall be the same as the fee of witnesses before the circuit courts of this State.  When a witness is subpoenaed by the administrative law judge upon his or her own motion or upon the request of the Department, the witness fee shall be paid in the same manner as other expenses of the Department.

 

Section 508.130  Administrative Law Judge's Report and Recommendations

 

a)         At the conclusion of a hearing at which the decision-maker has not presided, the administrative law judge shall submit a decision, opinion, or report, with his or her findings of fact and conclusions of law and his or her recommendations, if any, to the decision-maker. However, in a hearing under Section 45-25 of the Alcoholism and Other Drug Abuse and Dependency Act [20 ILCS 301/45-25], the report shall only summarize the testimony presented at hearing and the administrative law judge's opinion about the reliability of the witnesses. The administrative law judge shall complete the decision, opinion, or report within 30 days after the close of the hearing.

 

b)         The decision, opinion, or report shall be accompanied by the audio or video recording or a transcript of the proceedings, all exhibits admitted into evidence, copies of all pleadings and documents or evidence made a part of the record and any other material that is deemed to be a part of the record.

 

(Source:  Amended at 28 Ill. Reg. 1122, effective December 31, 2003)

 

Section 508.140  Proposal for Decision

 

a)         When the decision-maker has not heard the administrative hearing or read the record and his or her final decision would be adverse to any party other than the Department, a proposal for decision shall be served upon all parties to the proceedings.  The proposal for decision shall contain:

 

1)         A statement of the reasons for the proposed decision;

 

2)         A statement of each issue of fact or law necessary to the proposed decision.

 

b)         The proposed decision shall be prepared by the persons who conducted the hearing or one who has read the record.

 

c)         Any party adversely affected by the proposed decision shall have 20 days from the receipt of the proposal for decision in which to file written exceptions and a brief. [5 ILCS 100/10-45]  Failure to file written exceptions and a brief in the time provided for in the proposal for decision shall be deemed a waiver of the right to file exceptions and a brief.  The Department shall have 10 days to respond to the exceptions or brief.

 

d)         The proposal for decision shall be served on all parties personally or by certified mail.

 

e)         The decision-maker in his or her discretion may provide for oral arguments on the proposal for decision.  If oral arguments are allowed, they shall be scheduled as convenient to the decision-maker.

 

(Source:  Amended at 28 Ill. Reg. 1122, effective December 31, 2003)

 

Section 508.150  Final Orders

 

a)         A written Final Order shall be issued in every administrative hearing. A final order shall include findings of fact and conclusions of law, separately stated.  All final orders shall specify whether they are final and subject to the Illinois Administrative Review Law [735 ILCS 5/Art. III] and any applicable licensing statute.

 

b)         A final order shall be served on parties or their agents appointed to receive service of process either personally or by registered or certified mail. [5 ILCS 100/10-50]

 

Section 508.160  Records of Proceedings

 

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 thereto), motions, and rulings;

 

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 and rulings thereon;

 

5)         any proposed findings and exceptions;

 

6)         any decision, opinion, or report by the administrative law judge;

 

7)         all staff memoranda or data submitted to the administrative law judge or members of the Department in connection with their consideration of the administrative hearing; and

 

8)         any communication prohibited by Section 10-60 of the IAPA [5 ILCS 100/10-60].  No such communication shall 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;

 

5)         Certificates of Mailing for regular mail and return receipts for certified mail; and

 

6)         Discovery Requests.

 

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

 

Section 508.170  Miscellaneous

 

a)         Ex Parte Consultation. Except in the disposition of matters that the Department is authorized by law to entertain or dispose of on an ex parte basis, the administrative law judge or Secretary shall not, after notice of hearing, communicate directly or indirectly, in connection with any other issue of fact, with any person or party, his or her representative, or any person interested in the outcome of the proceeding, except upon notice and opportunity for all parties to participate.  However, a Department member may communicate with other members of the Department or the administrative law judge may have the aid and advice of one or more personal assistants.

 

1)         An ex parte communication received by any Department employee or the administrative law judge shall be made a part of the record of the pending matter, including all written communications, all written responses to the communications, and a memorandum stating the substance of all oral communications and all responses made and the identity of each person from whom the ex parte communication was received.

 

2)         Communications regarding matters of procedure and practice, such as the format of pleadings, number of copies required, manner of service, and status of proceedings, are not considered ex parte communications under this Part. [5 ILCS 100/10-60]

 

b)         Construction of Rules.  In case of any conflict between this Part and the IAPA [5 ILCS 100] or a specific licensing statute, the terms of the latter shall control.

 

c)         Conflict of Authority.  If the hearing is being conducted pursuant to federal law and there is a conflict between this Part and federal procedural or evidentiary requirements, then the federal requirements shall control.

 

d)         Waiver. Compliance with any or all of the provisions of this Part or with any or all provisions of the IAPA regarding a contested case may be waived by written stipulation of all parties. [5 ILCS 100/10-70]