ADMINISTRATIVE CODE

TITLE 53: INTERGOVERNMENTAL RELATIONS
CHAPTER I: STATE MANDATES BOARD OF APPEALS
PART 100 PROCEDURES

Section 100.10 Source of Authority

Section 100.20 Applicability

Section 100.30 Definitions

Section 100.40 Parties to an Appeal

Section 100.50 Initiation of Appeal

Section 100.60 Response of the State Agency

Section 100.70 Intervenors

Section 100.80 Consolidation of Petitions

Section 100.90 Resolution in the Absence of a Hearing

Section 100.100 Conduct of Hearings

Section 100.110 Burden of Proof

Section 100.120 Order of Proceedings

Section 100.130 Post Hearing Briefing Schedule

Section 100.140 Continuances

Section 100.150 Evidence

Section 100.160 Transcript

Section 100.170 Findings of Fact and Order of the Board

Section 100.180 Judicial Review

Section 100.190 Service of Papers

Section 100.200 Time Computation

Section 100.EXHIBIT A Appeal Petition

Section 100.EXHIBIT B Response of State Agency

AUTHORITY: Implementing and authorized by Section 9 of The State Mandates Act (Ill. Rev. Stat. 1983, ch. 85, par. 2209).

SOURCE: Adopted at 6 Ill. Reg. 7792, effective June 18, 1982; codified at 8 Ill. Reg. 19465.

Section 100.10 Source of Authority

a) The State Mandates Board of Appeals ("Board") is authorized and empowered by the State Mandates Act (Ill. Rev. Stat. 1983, ch. 85, pars. 2201 et seq.) as amended ("the Act").

b) These rules are promulgated pursuant to Section 9 of the Act, in the manner required by the Illinois Administrative Procedure Act, (Ill. Rev. Stat. 1981, ch. 127, pars. 1001 et seq.).

Section 100.20 Applicability

The rules shall apply to all appeals to the Board by local governments, pursuant to the Act.

Section 100.30 Definitions

a) "Petitioner" shall mean the local government initiating an appeal to the Board of a determination of a State agency.

b) "State agency" means the Department of Commerce and Community Affairs; the State Superintendent of Education; or the Illinois Community College Board.

c) "Respondent" shall mean the State agency whose determination is being appealed to the Board.

d) All other words used in these Rules shall have the meanings given to them in the State Mandates Act.

Section 100.40 Parties to an Appeal

The parties to an appeal shall be:

a) The local government initiating appeal (Petitioner);

b) The State agency whose determination is being appealed (Respondent);

c) Any other person permitted by the Board to intervene (Intervenor).

Section 100.50 Initiation of Appeal

a) Any local government may appeal to the Board determinations made by a State agency, acting pursuant to Section 8 (c) of the Act.

b) Appeals:

1) Must be submitted to the Board within 60 days following the date of receipt of the determination being appealed;

2) Must be filed on appeal petitions provided by the Board (see Exhibit A).

A) A separate appeal petition must be filed for each mandate and by each local government.

B) The appeal petition must be fully complete.

C) All material must be typewritten and suitable for reproduction.

D) Incomplete appeal petitions will not be accepted for filing or assigned a docket number, but shall be returned with an explanation of the reason for rejection. Such appeals may be refiled within 20 days from the date of return.

3) Must include a copy of the Order or determination of the State agency being appealed;

4) Must include evidence as to the extent to which the mandate has been carried out in an effective and efficient manner and executed without recourse to the standards of staffing or expenditure higher than specified in the mandatory statute if such standards are specified in the statute;

5) Must indicate whether or not a hearing is desired and if so, must indicate the number of witnesses to be called and the expected duration of the direct testimony. If no hearing is requested by the Petitioner and the Petitioner later finds that a hearing has been requested, Petitioner must within 14 days supplement the appeal petition with this information.

6) Must be verified under oath.

Section 100.60 Response of the State Agency

a) Upon receipt of a timely appeal, the Board will forward the appeal petition and the response form to the State agency involved.

b) Within 60 days from service, the Respondent shall complete and return the response form.

c) The response:

1) Must be completed on the form provided by the Board and indicate which allegations of the appeal petition the Respondent disputes. (See Exhibit B)

2) Must be served on the Petitioner and any intervenors by the Respondent at the time of filing.

3) Must be verified under oath.

Section 100.70 Intervenors

a) Upon written request and for good cause shown, the Board may permit others to intervene as parties to an appeal.

b) Petitions to Intervene should be served on all parties and shall address with specificity and particularity the matters "at issue" or which it desires to put "at issue".

Section 100.80 Consolidation of Petitions

The Board may consolidate, for hearing and/or determination, appeal petitions involving identical or substantially similar parties, mandates and issues.

Section 100.90 Resolution in the Absence of a Hearing

a) In the absence of a request for a hearing, the Board may determine all matters at issue from the evidence presented with the appeal petition and response.

b) Determinations by the Board rendered without hearing shall be prepared and served in the same manner as decisions following hearing.

Section 100.100 Conduct of Hearings

a) Upon a request for hearing, the Board shall designate a time and a place for a hearing. The Board shall give notice of the hearing to all parties not less than 20 days prior to the date of hearing, unless that time is waived by the parties. Notice shall be given personally or by certified or registered mail. The notice shall include:

1) A statement of the time, place and nature of the hearing;

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

3) A reference to the particular Sections of the statutes and rules involved; and

4) A short and plain statement of the matters asserted.

b) Appearances –

1) A local government may be represented by any official representative, or person licensed to practice law in the State of Illinois.

2) State agencies may be represented by any official representative, or person licensed to practice law in the State of Illinois.

3) Intervenors may not be represented by anyone other than a person licensed to practice law in the State of Illinois.

c) Only representatives of a party and Board members may call, examine or cross-examine witnesses. Others may participate as witnesses at the request of a party or any member of the Board.

d) The Chairman of the Board or his designee shall administer oaths; rule on the admissability of evidence; and otherwise serve as a presiding officer during the conduct of a hearing.

e) Hearings shall be conducted in compliance with the Open Meetings Act. (Ill. Rev. Stat. 1981, ch. 102, pars. 41 et seq.)

Section 100.110 Burden of Proof

The Board is an administrative fact-finding agency. All hearings before it are de novo. The Board's determination will be based on a preponderance of the evidence in the record and matters officially noticed. No party or representative shall make an ex parte consultation prohibited by Section 15 of the Illinois Administrative Procedure Act.

Section 100.120 Order of Proceedings

The following shall be the customary order of proceedings at hearings conducted by the Board:

a) Statement of issues by the Chairman;

b) Opening statement by the Petitioner;

c) Opening statement by the Respondent;

d) Opening statement by other parties;

e) Direct examination of witnesses by the Petitioner;

f) Cross-examination of Petitioner's witnesses by the Respondent, other parties and Board;

g) Direct examination of witnesses of the Respondent;

h) Cross-examination of the witnesses of Respondent by Petitioner, other parties and the Board;

i) Direct examination of witnesses of other parties;

j) Cross-examination of witnesses of other parties by the Petitioner, Respondent and Board;

k) Direct examination of witnesses called by the Board;

l) Rebuttal by Petitioner;

m) Cross-examination of Petitioner's rebuttal witness by Respondent, other parties and Board.

n) Cross-examination of witnesses called by the Board by the Petitioner, Respondent and other parties;

o) Closing argument by the Petitioner;

p) Closing argument by the Respondent;

q) Closing argument by other parties;

r) Adjournment of the hearing.

Section 100.130 Post Hearing Briefing Schedule

Within 30 days from the adjournment of the hearing and with leave of the Board, each party may submit proposed Findings of Fact and Conclusions of Law. With leave of the Board, those Findings of Fact and Conclusions of Law may be supported by written briefs and arguments. For good cause, the Board may permit the parties to propose Findings of Fact and Conclusions of Law orally and on the record prior to the adjournment of the hearing. For good cause, the Board may permit non-parties to submit written briefs and arguments. In determining whether or not to permit the submission of Findings of Fact and/or Briefs, the Board shall consider but is not limited to, the complexity of the issues involved; the familiarity of the Board with regard to the subject matter; and the diligence of the parties involved.

Section 100.140 Continuances

The Board may, for good cause, grant a continuance at the request of a party or may from time to time order a continuance on its own motion.

Section 100.150 Evidence

a) Irrelevant, immaterial or unduly repetitious evidence shall be excluded. The rules of evidence and privilege as applied in civil cases in the Circuit Courts of this State shall be followed. However, evidence not admissable under such rules of evidence may be admitted (except where precluded by statute) if it is of a type commonly relied upon by reasonably prudent men in the conduct of their affairs. Objections to evidentiary offers may be made and shall be noted in the record. Subject to these requirements, when a hearing will be expedited and the interest of the parties will not be prejudiced, any part of the evidence may be received in written form.

b) Subject to the evidentiary requirements of Subsection (1) of this Section, a party may conduct cross-examination required for a full and fair disclosure of the facts.

c) Notice may be taken of matters of which the Circuit Courts of this State may take judicial notice. In addition, notice may be taken of generally recognized technical or scientific facts within the Agency's specified 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 agency's knowledge may be utilized by the Board in the evaluation of the evidence.

Section 100.160 Transcript

a) A transcript shall be produced by the court reporter designated by the Board for all hearings conducted pursuant to these rules. Copies of the transcript shall be filed in the Board's principal office and made available for public inspection upon reasonable request.

b) The cost of the production of the transcript for the Board shall be borne by the Board except that if the transcript exceeds 200 pages in length, the cost of the production of that portion of the transcript in excess of the first 200 pages (excluding court reporter time charges) shall be paid for by the Petitioner.

Section 100.170 Findings of Fact and Order of the Board

Within 60 days from the expiration of the period provided for submitting proposed findings of fact, conclusions of law and supporting brief and arguments, the Board shall prepare and serve findings of fact, conclusions of law and an order disposing of the matters at issue.

Section 100.180 Judicial Review

a) Final administrative decisions of the Board are subject to review under the provisions of the Administrative Review Law (Ill. Rev. Stat. 1981, ch. 110, par. 3-101 et. seq.) as amended. The record shall consist of :

1) The appeal petition and supporting documentation;

2) The appeal response and supporting documentation;

3) All other pleadings, (including all notices and responses thereto), motions and rulings;

4) The transcript and all exhibits offered and accepted and all evidence received;

5) A statement of matters officially noticed;

6) Offers of proof, objections and rulings thereon;

7) Proposed findings and exceptions;

8) The findings of fact and conclusions of law of the Board;

9) The Board's order;

10) All staff memoranda or data submitted to the Board in connection with their consideration of the case;

11) Any communications prohibited by Section 15 of the Illinois Administrative Procedure Act.

b) The required number of copies of all documents in an appeal file necessary to complete the certification of the Mandates Appeal Board proceedings in answer to a complaint for Administrative Review will be prepared by the Board. From the original certification of proceedings, which will be filed with the Clerk of the Circuit Court, copies of the proceedings will be prepared and forwarded to the Petitioner, Respondent, any intervenor(s) and one copy will be retained as a permanent record for the State Mandates Appeal Board.

Section 100.190 Service of Papers

a) Persons filing papers with the Board shall simultaneously serve copies on all parties to the proceeding in any manner authorized by the Civil Practice Law. (Ill. Rev. Stat. 1981, ch. 110, pars. 2-101 et. seq.)

b) Papers required to be officially filed with the Board shall be accompanied by proof of service upon all those required to be served, in compliance with the Civil Practice Law.

c) All papers officially required to be filed with the Board must be filed with the Board's principal office at 620 E. Adams, Springfield, Illinois 62701 during business hours, or at such other location as the Board may designate.

d) In all instances where papers are filed with the Board, there shall be ten copies furnished, except where such requirement would unreasonably burden the party filing.

e) All papers served or filed shall be 8½" x 11", except where such a requirement would unreasonably burden the party filing.

Section 100.200 Time Computation

The time within which any act under these rules is to be done shall be computed by excluding the first day and including the last, unless the last day is Sunday or is a holiday as defined or fixed in any statute now or hereafter in force in this State, and then it shall also be excluded. If the day succeeding such Sunday or holiday is also a holiday or a Sunday, then such succeeding day shall also be excluded.

Section 100.EXHIBIT A Appeal Petition

Instructions: This Appeal Petition must be entirely completed. When completed, ten (10) copies of it and all supporting exhibits and documentation must be filed with the Board office at 620 E. Adams, Springfield, Il. 62701.

I.	Background Information
	A.		Name of the Petitioner:
			Principal office address:

		Telephone: (Area Code)

B.	Name of Petitioner's Representative
		Title:		Office Address:

			Phone: Area Code:

C.	Check the Petitioner's status:
		1.	Municipality	4.	School District
		2.	County	5.	Community College District
		3.	Township	6.	Other
					Specify:

II.	Description of the Mandate
	A.	Describe the mandate in question:

B.	Check the source of the mandate and provide the correct citation.
	1.	Statutory:
	2.	Executive Order:
	3.	Administrative Rule:

When did the mandate first become effective?

Check the type of mandate which you believe is involved:

Local government organization and structure mandate, as defined in 3 (c) of the Act;

Due process mandate, as defined in 3(d) of the Act;

Service mandate, as defined in 3(g). If so complete the following:

(a) Is there any program of State aid for the service required by the mandate?

Yes No

If yes,

(1) Provide the name of the program:

(2) Is non-local share 50% or more?

Yes No

(3) Are the increased costs allowable expenditures under the aid program?

Yes No

On what do you base your determination?

(4) Is all or part of the net increase in cost resulting from the mandate met by:

(a) Federal financial assistance:

Yes No

(b) Other external financial sources:

Yes No

4.		Tax exemption mandate as defined in 3(g).
		If so, complete the following: a. Does the appeal involve a loss of tax revenue?
			Yes No
	If yes:
	(1) Does that loss of revenue result from a loss of tax base?
					Yes No
				(a) Describe the type of property involved in the classification or exemption which causes tax base loss.
						1.	Real property
						2.	Personal property
						3.	Other – specify:

	(b) Was this type of property assessed for real estate tax purposes January 1, 1980?
		Yes No
		If yes, state:
		1. Value for tax purposes of the property reclassified or made exempt by the mandate.


		2. The tax rate extended against such property in the latest year in which collection* was made.


		3. The rate of collection in the latest year in which collection was made.


		4. The revenue lost due to the mandate in the latest year in which collection was made. $_________________

		5. The projected loss of revenue due to the mandate for the current collection year. $__________________
		*For the purpose of this Section 4(b)2, the word "collection" shall be deemed to mean the "issuance of final tax bills for the year in question".

5.	Personnel mandate as defined in 3(h) of the Act. If so, check which of the following are involved:
	a.	Salaries and wages
	b.	Employee qualifications
	c.	Employee training
	d.	Hours
	e.	Location of employment
	f.	Other working conditions
	g.	Insurance
	h.	Health
	i.	Medical care
	j.	Retirement. If checked, document the extent to which such
		employee retirement benefits will be involved.
	k.	Other benefits. If checked, describe in detail:

III.	Reimbursement Standards
A.		State the increase in cost directly attributable to the mandate from the effective of the mandate to the first June 30^th following the effective date: _______________ Provide supporting documentation for III A and B and basis for estimates, if any, as an exhibit.
B.		State the increase in cost directly attributable to the mandate from the 1^st to the 2^ndJune 30^th following the effective date: __________________________________ Provide supporting documentation for III A and B and basis for estimates, if any, as an exhibit.
C.		Did Petitioner or any entity in which petitioner was a member provide all or any portion of the mandated services prior to the effective date of the mandate?
		Yes No If yes: (1) Please describe the extent and manner in which the services were provided and the cost of those services. (2) State whether the Petitioner has or is prepared to reduce real property taxes commensurately?
			Yes No

Was the mandate:

(1)

Adopted at the request of the Petitioner?

Yes No

(2)

Adopted at the request of an organization in which the Petitioner is a member?

Yes No

(3)

Can the additional duties be carried out by the existing staff and procedures?

Yes No

(a) If yes, can they be done at no appreciable cost increase?

Yes No

(b) Does the mandate provide any offsetting savings?

Yes No

(i) If yes, indicate the amount of these savings

(4)

Does the mandate impose additional net annual cost increases of $1,000.00 or more for the Petitioner?

(5)

Does the mandate impose additional net costs of $50,000.00 or more for all local governments affected?

Yes No

(6)

If any of the preceding paragraphs (1) - (5) were answered Yes, did the law imposing the mandate explicitly state that exception?

Yes No

Has the State of Illinois appropriated funds to reimburse local government for this mandate?

Yes No

(1) If yes, please identify the public act number: _______________________

Provide the date on, and name of agency to which, a claim for reimbursement accompanied by estimate of increased costs for the balance of the fiscal year was filed

(1)

Date:

(2)

Name:

Is information submitted in that estimate accurate, based on actual performance records?

Yes No

(1) If no, provide correct information as an exhibit.

(2) If yes, provide documentation as an exhibit.

Have claims of this type been subject to a proportional reduction because insufficient funds were appropriated?

Yes No

If yes, state:

(1)

Amount claimed:

(2)

Amount allowed by the Dept.

(3)

Amount awarded:

Please describe in detail the extent to which the mandate has been carried out in an effective and efficient manner. (Provide supporting documentation as an exhibit.)

Does the mandate statute specify standards of staffing or expenditure limitations as described in Section 8(3)(d) of the Act?

Yes No

(1) If yes, please indicate in detail how the mandate has been carried out without recourse to standards of staffing or expenditure higher than specified in the statute. Provide supporting documentation as an exhibit, if necessary.

Please indicate the relief sought from the Mandates Board of Appeals:


	Petitioner, By:
	Representative

Acknowledgement

, certify that I have read the foregoing appeal petition and

supporting documentation and exhibits, and believe the same to be true in substance and in fact.

Subscribed and sworn to before me

this		day of	, 19

	Notary Public

Section 100.EXHIBIT B Response of State Agency

Background Information

Name of Respondent:

Principal office address:

Telephone: (Area Code)

Name Respondent's Representative:

Title

Office Address

Telephone: (Area Code)

Check the allegations of the appeal petition which you dispute:

Respective Paragraph

Not

of Appeal Petition

Disputed

I C

II A

II B

II C

II D 1

II D 2

II D 3

II D 3 a

II D 3 a(1)

II D 3 a(2)

II D 3 a(3)

II D 3 a(4)

II D 3 a(4) (a)

II D 3 a(4) (b)

II D 3 a(4) (C)

II D 4

II D 4 a

II D 4 a(1)

II D 4 a(1) (b)

II D 4 a(1) (b) (1)

II D 4 a(1) (b) (2)

II D 4 a(1) (b) (3)

II D 4 a(1) (b) (4)

II D 4 a(1) (b) (5)

II D 5

II D 5 a

II D 5 b

II D 5 c

II D 5 d

II D 5 e

II D 5 f

II D 5 g

II D 5 h

II D 5 i

II D 5 j

II D 5 k

III A

III B

III C

III C(1)

III C(2)

III D

III D(1)

III D(2)

III D(3)

III D(3) (a)

III D(3) (b)

III D(3) (b) (i)

III D(4)

III D(5)

III D(6)

III E

III E(1)

III F

III F(1)

III F(2)

III G

III G(1)

III G(2)

III H

III H(1)

III H(2)

III H(3)

III I

III J

III J(1)

III K

For each disputed allegation, explain in detail the basis for your position and provide supporting documentation as one or more exhibits to this response.

RESPONDENT:

BY:

Representative

ACKNOWLEDGEMENT

I, the undersigned, do hereby certify that I have read the statements and facts set forth in the foregoing Response of State Agency and state that they are true to the best of my knowledge and belief.

Subscribed and sworn to before me

this

day of

, 19

Notary Public