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ILLINOIS REGISTER RULES
OF GOVERNMENTAL AGENCIES
PUBLISHED BY JESSE WHITE • SECRETARY OF STATE
Index DepartmentAdministrative Code Division111 E. Monroe St.Springfield, IL 62756217-782-7017www.cyberdriveillinois.com
Printed on recycled paper
i
TABLE OF CONTENTS
February 16, 2018 Volume 42, Issue 7
PROPOSED RULES EMERGENCY MANAGEMENT AGENCY, ILLINOIS
Licensing Requirements for Source Material Milling Facilities
32 Ill. Adm. Code 332............................................................................2970
Physical Protection of Category 1 and Category 2 Quantities of
Radioactive Material
32 Ill. Adm. Code 337............................................................................2976
Radioactive Materials Transportation
32 Ill. Adm. Code 341............................................................................3028
Status Signals for Nuclear Power Reactors
32 Ill. Adm. Code 504............................................................................3034
HEALTHCARE AND FAMILY SERVICES, DEPARTMENT OF
Medical Payment
89 Ill. Adm. Code 140............................................................................3040
RACING BOARD, ILLINOIS
Medication
11 Ill. Adm. Code 603............................................................................3102
SECRETARY OF STATE
Issuance of Licenses
92 Ill. Adm. Code 1030..........................................................................3113
ADOPTED RULES GAMING BOARD, ILLINOIS
Video Gaming (General)
11 Ill. Adm. Code 1800..........................................................................3126
HEALTHCARE AND FAMILY SERVICES, DEPARTMENT OF
Hospital Services
89 Ill. Adm. Code 148............................................................................3152
STATE BOARD OF EDUCATION
Charter Schools
23 Ill. Adm. Code 650............................................................................3182
AUDITOR GENERAL
Purchases and Contracts
44 Ill. Adm. Code 500............................................................................3193
PUBLIC HEARINGS ON PROPOSED RULES AGING, DEPARTMENT ON
Community Care Program.............................................................................3231
SECOND NOTICES RECEIVED JOINT COMMITTEE ON ADMINISTRATIVE RULES
Second Notices Received…...........................................................................3233
EXECUTIVE ORDERS AND PROCLAMATIONS EXECUTIVE ORDER
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Executive Order Strengthening the State's Ethics Laws and Compliance
2018-2……………….............................................................................3234
iii
INTRODUCTION
The Illinois Register is the official state document for publishing public notice of rulemaking
activity initiated by State governmental agencies. The table of contents is arranged categorically
by rulemaking activity and alphabetically by agency within each category.
Rulemaking activity consists of proposed or adopted new rules; amendments to or repealers of
existing rules; and rules promulgated by emergency or peremptory action. Executive Orders and
Proclamations issued by the Governor; notices of public information required by State Statute;
and activities (meeting agendas; Statements of Objection or Recommendation, etc.) of the Joint
Committee on Administrative Rules (JCAR), a legislative oversight committee which monitors
the rulemaking activities of State Agencies; is also published in the Register.
The Register is a weekly update of the Illinois Administrative Code (a compilation of the rules
adopted by State agencies). The most recent edition of the Code, along with the Register,
comprise the most current accounting of State agencies' rulemakings.
The Illinois Register is the property of the State of Illinois, granted by the authority of the Illinois
Administrative Procedure Act [5 ILCS 100/1-1, et seq.].
ILLINOIS REGISTER PUBLICATION SCHEDULE FOR 2018
Issue# Rules Due Date Date of Issue
1 December 26, 2017 January 5, 2018
2 January 2, 2018 January 12, 2018
3 January 8, 2018 January 19, 2018
4 January 16, 2018 January 26, 2018
5 January 22, 2018 February 2, 2018
6 January 29, 2018 February 9, 2018
7 February 5, 2018 February 16, 2018
8 February 13, 2018 February 23, 2018
9 February 20, 2018 March 2, 2018
10 February 26, 2018 March 9, 2018
11 March 5, 2018 March 16, 2018
12 March 12, 2018 March 23, 2018
13 March 19, 2018 March 30, 2018
14 March 26, 2018 April 6, 2018
15 April 2, 2018 April 13, 2018
16 April 9, 2018 April 20, 2018
17 April 16, 2018 April 27, 2018
18 April 23, 2018 May 4, 2018
19 April 30, 2018 May 11, 2018
20 May 7, 2018 May 18, 2018
21 May 14, 2018 May 25, 2018
22 May 21, 2018 June 1, 2018
23 May 29, 2018 June 8, 2018
24 June 4, 2018 June 15, 2018
25 June 11, 2018 June 22, 2018
iv
26 June 18, 2018 June 29, 2018
27 June 25, 2018 July 6, 2018
28 July 2, 2018 July 13, 2018
29 July 9, 2018 July 20, 2018
30 July 16, 2018 July 27, 2018
31 July 23, 2018 August 3, 2018
32 July 30, 2018 August 10, 2018
33 August 6, 2018 August 17, 2018
34 August 13, 2018 August 24, 2018
35 August 20, 2018 August 31, 2018
36 August 27, 2018 September 7, 2018
37 September 4, 2018 September 14, 2018
38 September 10, 2018 September 21, 2018
39 September 17, 2018 September 28, 2018
40 September 24, 2018 October 5, 2018
41 October 1, 2018 October 12, 2018
42 October 9, 2018 October 19, 2018
43 October 15, 2018 October 26, 2018
44 October 22, 2018 November 2, 2018
45 October 29, 2018 November 9, 2018
46 November 5, 2018 November 16, 2018
47 November 13, 2018 November 26, 2018
48 November 19, 2018 November 30, 2018
49 November 26, 2018 December 7, 2018
50 December 3, 2018 December 14, 2018
51 December 10, 2018 December 21, 2018
52 December 17, 2018 December 28, 2018
ILLINOIS REGISTER 2970
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ILLINOIS EMERGENCY MANAGEMENT AGENCY
NOTICE OF PROPOSED AMENDMENT
1) Heading of the Part: Licensing Requirements for Source Material Milling Facilities
2) Code Citation: 32 Ill. Adm. Code 332
3) Section Number: Proposed Action:
332.250 Amendment
4) Statutory Authority: Implementing and authorized by the Radiation Protection Act of
1990 [420 ILCS 40] and the Uranium and Thorium Mill Tailings Control Act [420 ILCS
42].
5) A Complete Description of the Subjects and Issues Involved: The Agency is proposing
to amend Section 332.250 to be consistent with 10 CFR 40 and maintain compatibility
with the U. S. Nuclear Regulatory Commission (NRC) pursuant to RATS ID 2012-3.
NRC has notified IEMA that this amendment must be made because the current version
is less restrictive than the NRC requirement and does not meet the compatibility
requirement.
6) Any published studies or reports, along with the sources of underlying data, that were
used when composing this rulemaking, in accordance with 1 Ill Adm. Code 100.355:
None
7) Will this rulemaking replace an emergency rule currently in effect? No
8) Does this rulemaking contain an automatic repeal date? No
9) Does this rulemaking contain incorporations by reference? No
10) Are there any other rulemakings pending on this Part? No
11) Statement of Statewide Policy Objective: The requirements imposed by the proposed
rulemaking are not expected to require local governments to establish, expand or modify
their activities in such a way as to necessitate additional expenditures from local
revenues.
12) Time, Place and Manner in which interested persons may comment on this proposed
Rulemaking: Comments on this proposed rulemaking may be submitted in writing for a
period of 45 days following publication of this Notice. The Agency will consider fully
ILLINOIS REGISTER 2971
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NOTICE OF PROPOSED AMENDMENT
all written comments on this proposed rulemaking submitted during the 45 day comment
period. Comments should be submitted to:
Traci Burton, Paralegal Assistant
Illinois Emergency Management Agency
1035 Outer Park Drive
Springfield IL 62704
217/785-9860
13) Initial Regulatory Flexibility Analysis:
A) Types of small businesses, small municipalities or not-for-profit corporations
affected: The Agency does not anticipate that this amendment will affect these
entities.
B) Reporting, bookkeeping or other procedures required for compliance: None
C) Types of professional skills necessary for compliance: None
14) Regulatory Agenda on which this rulemaking was summarized: January 2018
The full text of the Proposed Amendment begins on the next page:
ILLINOIS REGISTER 2972
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NOTICE OF PROPOSED AMENDMENT
TITLE 32: ENERGY
CHAPTER II: ILLINOIS EMERGENCY MANAGEMENT AGENCY
SUBCHAPTER b: RADIATION PROTECTION
PART 332
LICENSING REQUIREMENTS FOR SOURCE MATERIAL MILLING FACILITIES
Section
332.10 Purpose and Scope
332.20 Definitions
332.30 License Required
332.40 Application Content and Procedure
332.50 General Information
332.60 Technical Information
332.70 Technical Analyses
332.80 Institutional Information
332.90 Financial Information
332.100 Evaluation of License Application and Issuance of a License
332.110 General Conditions of Licenses
332.120 Application for Renewal or Closure
332.130 Contents of Application for Site Closure and Stabilization
332.140 Postclosure Observation and Maintenance
332.150 Termination of Source Material Milling Facility License
332.160 General Requirements
332.170 Protection of the General Population from Radiation
332.180 Protection of Individuals from Inadvertent Access
332.190 Protection of Individuals During Operations
332.200 Stability of the Byproduct Material Disposal Site After Closure
332.210 Technical Criteria for Byproduct Material Disposal Sites − Siting Criteria
332.220 Technical Criteria for Byproduct Material Disposal Sites − Design Criteria
332.230 Technical Criteria for Byproduct Material Licensed Sites − Groundwater
Protection
332.240 Technical Criteria for Byproduct Material Disposal Sites − Control of Radiation
Hazards
332.250 Technical Criteria − Source Material Milling Operations
332.260 Financial Surety Requirements
332.270 Long-Term Care FundPayment
332.280 Land Ownership
332.290 Maintenance of Records, Reports, and Transfers
ILLINOIS REGISTER 2973
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NOTICE OF PROPOSED AMENDMENT
AUTHORITY: Implementing and authorized by the Radiation Protection Act of 1990 [420
ILCS 40] and the Uranium and Thorium Mill Tailings Control Act [420 ILCS 42].
SOURCE: Adopted at 14 Ill. Reg. 1333, effective January 5, 1990; amended at 18 Ill. Reg.
3128, effective February 22, 1994; emergency amendment adopted at 18 Ill. Reg. 17933,
effective December 1, 1994, for a maximum of 150 days; amended at 19 Ill. Reg. 6601, effective
April 28, 1995; amended at 21 Ill. Reg. 3897, effective March 13, 1997; recodified from the
Department of Nuclear Safety to the Illinois Emergency Management Agency at 27 Ill. Reg.
13641; amended at 32 Ill. Reg. 16765, effective October 6, 2008; amended at 38 Ill. Reg. 21459,
effective October 31, 2014; amended at 39 Ill. Reg. 15719, effective November 24, 2015;
amended at 42 Ill. Reg. ______, effective ____________.
Section 332.250 Technical Criteria − Source Material Milling Operations
a) Liquids resulting from any of the mill processes shall not be released into surface
streams. In addition, contaminated solutions, other than liquids resulting from
any of the mill processes, shall not be released into the environment if the
solutions have radionuclide concentrations in excess of those specified in 32 Ill.
Adm. Code 340.320(b) and (c).
b) Byproduct material shall be chemically and physically treated to immobilize or
remove the contaminants.
c) An independent quality assurance program shall be established to assure that
specifications of the monitoring program detailed in the license are met. If
adverse groundwater impacts or conditions conducive to adverse groundwater
impacts occur, action shall be taken to alleviate the impacts or conditions and
restore groundwater quality to levels as specified in accordance with Section
332.230 of this Part.
d) Source material milling operations shall be conducted so that all airborne effluent
releases are reduced to levels as low as is reasonably achievable. Emissions
controls shall be used. Institutional controls, such as extending the licensed site
boundary and exclusion area, may be employed to ensure that offsite dose limits
are met, but only after all practicable process and engineering measures have been
taken to control emissions at the source. Notwithstanding the existence of
individual dose standards, strict control of emissions is necessary to assure that
population exposures are reduced to the maximum extent reasonably achievable
ILLINOIS REGISTER 2974
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NOTICE OF PROPOSED AMENDMENT
and to avoid site contamination. During operations and prior to closure, radiation
doses from radon emissions from surface impoundments and disposal areas
containing byproduct material shall be kept as low as is reasonably achievable.
Checks shall be made and logged hourly of all parameters that determine the
efficiency of product stack emission control equipment operation. It shall be
determined whether conditions are within a range prescribed to ensure that the
equipment is operating consistently near peak efficiency. Corrective action must
be taken when performance is outside of prescribed ranges. Effluent control
devices must be operative at all times during drying and packaging operations and
whenever air is exhausting from the product stack. Drying and packaging
operations shall terminate when controls are inoperative. When checks indicate
the equipment is not operating within the range prescribed for peak efficiency,
actions shall be taken to restore parameters to the prescribed range. When this
cannot be done without shutdown and repairs, drying and packaging operations
shall cease as soon as practicable. Operations shall not be restarted after cessation
due to abnormal performance until needed corrective actions have been identified
and implemented. All such cessations, corrective actions and restarts shall be
reported to the Agency, in writing, within 10 days after the subsequent restart.
e) To control fugitive dust from tailings, all surfaces not covered by standing liquids
shall be wetted or chemically stabilized. For licenses initially granted after
January 1, 1990, management of tailings shall incorporate phased-in surface
stabilization and reclamation. To control dusting from diffuse sources, operators
shall develop written operating procedures specifying the methods of control that
will be used.
f) Byproduct material shall be managed so as to conform to the applicable
provisions of 40 CFR 440, Ore Mining and Dressing Point Source Category:
Effluent Limitations Guidelines and New Source Performance Standards, subpart
C, Uranium, Radium, and Vanadium Ores Subcategory, in effect on July 1, 1995,
exclusive of subsequent amendments or editions.
g) Licensees and applicants shall satisfy the requirements of 40 CFR 61, in effect on
July 1, 1995, exclusive of subsequent amendments or editions.
h) Inspection of the byproduct material impoundments and disposal areas:
1) The licensee shall conduct daily inspections of any surface impoundment
and disposal site and document the results of the inspections. Records of
ILLINOIS REGISTER 2975
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NOTICE OF PROPOSED AMENDMENT
the inspections shall be maintained for 5 years in a format allowing for
easy access and review by the Agency.
2) The licensee shall notify the Agency within 2 hours by telephone, and then
within 48 hours by written report, of any failure of a byproduct material
surface impoundment or disposal area that results in a release of byproduct
material into unrestricted areas. The licensee shall notify the Agency in
writing, immediatelywithin 5 working days, of any condition that was not
anticipated in the design of the byproduct material surface impoundment
or disposal area and, if not corrected, could cause failure of embankments
or other structures containing the byproduct material and the release of
byproduct material into unrestricted areas.
3) In cases of failure of the byproduct material impoundment, the report shall
be maintained for transfer to the governmental agency to which the title of
the facility will be transferred.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 2976
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ILLINOIS EMERGENCY MANAGEMENT AGENCY
NOTICE OF PROPOSED AMENDMENTS
1) Heading of the Part: Physical Protection of Category 1 and Category 2 Quantities of
Radioactive Material
2) Code Citation: 32 Ill. Adm. Code 337
3) Section Numbers: Proposed Actions:
337.10 Amendment
337.40 Amendment
337.50 Amendment
337.1010 Amendment
337.1020 Amendment
337.1030 Amendment
337.1040 Amendment
337.1050 Amendment
337.1060 Amendment
337.1070 Amendment
337.2010 Amendment
337.2020 Amendment
337.2030 Amendment
337.2040 Amendment
337.2050 Amendment
337.2060 Amendment
337.2070 Amendment
337.2080 Amendment
337.2090 Amendment
337.3010 Amendment
337.3020 Amendment
337.3030 Amendment
337.3040 Amendment
337.3050 Amendment
337.3060 Amendment
337.5020 Amendment
337.6010 Amendment
337.Appendix A Amendment
4) Statutory Authority: Implementing and authorized by Section 10 of the Radiation
Protection Act of 1990 [420 ILCS 40/10].
ILLINOIS REGISTER 2977
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ILLINOIS EMERGENCY MANAGEMENT AGENCY
NOTICE OF PROPOSED AMENDMENTS
5) A Complete Description of the Subjects and Issues Involved: IEMA is proposing to
amend this Part as required to maintain compatibility with the U.S. Nuclear Regulatory
Commission's (USNRC) 10 CFR Part 37. The amendments to this Part are pursuant to
RATS ID 2015-2 (80 FR 3865, published January 26, 2015), 2015-4 (80 FR 45841,
published August 3, 2015) and 2015-5 (80 FR 74974, published December 1, 2015) and
comments provided by the USNRC. These required changes are category B for
compatibility and must be adopted verbatim to the changes made by the USNRC. In
addition, minor typographical and clerical errors are being corrected to stay consistent
with the format of the Illinois Administrative Code as previously requested by staff of the
Joint Committee on Administrative Rules.
Section 31 of the Radiation Protection Act of 1990 [420 ILCS 40/31] provides that IEMA
is exempt from rulemaking procedures in the Illinois Administrative Procedure Act when
regulations that are identical in substance are necessary to implement, secure, or maintain
federal authorization for a program. After consideration of comments from the
appropriate federal agency, the Agency may adopt the verbatim text of the laws,
regulations, or orders as necessary and appropriate for authorization or maintenance of
the program. Because this rulemaking is not subject to the Illinois Administrative
Procedure Act, and in accordance with Section 31, this rulemaking will become effective
following the first notice period immediately upon filing for adoption with the Secretary
of State or at a date required or authorized by the relevant federal laws, regulations, or
orders as stated in the notice of the rulemaking, and shall be published in the Illinois
Register.
6) Any published studies or reports, along with the sources of underlying data, that were
used when composing this rulemaking, in accordance with 1 Ill Adm. Code 100.355:
None
7) Will this rulemaking replace an emergency rule currently in effect? No
8) Does this rulemaking contain an automatic repeal date? No
9) Does this rulemaking contain incorporations by reference? No
10) Are there any other rulemakings pending on this Part? No
11) Statement of Statewide Policy Objective: These amendments are not expected to require
local governments to establish, expand, or modify their activities in such a way as to
necessitate additional expenditures from local revenues.
ILLINOIS REGISTER 2978
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ILLINOIS EMERGENCY MANAGEMENT AGENCY
NOTICE OF PROPOSED AMENDMENTS
12) Time, Place and Manner in which interested persons may comment on this proposed
Rulemaking: Comments on this proposed rulemaking may be submitted in writing for a
period of 45 days following publication of this Notice. The Agency will consider fully
all written comments on this proposed rulemaking submitted during the 45 day comment
period. Comments should be submitted to:
Traci Burton
Illinois Emergency Management Agency
1035 Outer Park Drive
Springfield IL 62704
217/785-9860
13) Initial Regulatory Flexibility Analysis:
A) Types of small businesses, small municipalities or not-for-profit corporations
affected: These entities will only be affected if they possess category 1 or 2
quantity of radioactive material.
B) Reporting, bookkeeping or other procedures required for compliance: None
C) Types of professional skills necessary for compliance: None
14) Regulatory Agenda on which this rulemaking was summarized: January 2018
The full text of the Proposed Amendments begins on the next page:
ILLINOIS REGISTER 2979
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ILLINOIS EMERGENCY MANAGEMENT AGENCY
NOTICE OF PROPOSED AMENDMENTS
TITLE 32: ENERGY
CHAPTER II: ILLINOIS EMERGENCY MANAGEMENT AGENCY
SUBCHAPTER b: RADIATION PROTECTION
PART 337
PHYSICAL PROTECTION OF CATEGORY 1 AND CATEGORY 2
QUANTITIES OF RADIOACTIVE MATERIAL
SUBPART A: GENERAL INFORMATION
Section
337.10 Purpose
337.20 Scope
337.30 Incorporations by Reference
337.40 Definitions
337.50 Specific Exemptions
SUBPART B: BACKGROUND INVESTIGATIONS AND
ACCESS CONTROL PROGRAM
Section
337.1010 Personnel Access Authorization Requirements for Category 1 or Category 2
QuantityQuantities of Radioactive Material
337.1020 Access Authorization Program Requirements
337.1030 Background Investigations
337.1040 Requirements for Criminal History Records Checks of Individuals Granted
Unescorted Access to Category 1 or Category 2 QuantityQuantities of
Radioactive Material
337.1050 Relief from Fingerprinting, Identification, and Criminal History Records Checks
and Other Elements of Background Investigations for Designated Categories of
Individuals Permitted Unescorted Access to Certain Radioactive Materials
337.1060 Protection of Information
337.1070 Access Authorization Program Review
SUBPART C: PHYSICAL PROTECTION REQUIREMENTS DURING USE
Section
337.2010 Security Program
337.2020 General Security Program Requirements
ILLINOIS REGISTER 2980
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NOTICE OF PROPOSED AMENDMENTS
337.2030 LLEA Coordination
337.2040 Security Zones
337.2050 Monitoring, Detection and Assessment
337.2060 Maintenance and Testing
337.2070 Requirements for Mobile Devices
337.2080 Security Program Review
337.2090 Reporting of Events
SUBPART D: PHYSICAL PROTECTION IN TRANSIT
Section
337.3010 Additional Requirements for Transfer of Category 1 and Category 2 Quantities of
Radioactive Material
337.3020 Applicability of Physical Protection of Category 1 and Category 2 Quantities of
Radioactive Material During Transit
337.3030 Preplanning and Coordination of Shipment of Category 1 or Category 2
QuantityQuantities of Radioactive Material
337.3040 Advance Notification of Shipment of Category 1 QuantityQuantities of
Radioactive Material
337.3050 Requirements for Physical Protection of Category 1 and Category 2 Quantities of
Radioactive Material During Shipment
337.3060 Reporting of Events
SUBPART E: RECORDS
Section
337.5010 Form of Records
337.5020 Record Retention
SUBPART F: ENFORCEMENT
Section
337.6010 Resolution of Conflicting Requirements During Transition Period
337.APPENDIX A Category 1 and Category 2 Radioactive MaterialMaterials
AUTHORITY: Implementing and authorized by Section 10 of the Radiation Protection Act of
1990 [420 ILCS 40/10].
ILLINOIS REGISTER 2981
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NOTICE OF PROPOSED AMENDMENTS
SOURCE: Adopted at 40 Ill. Reg. 4850, effective February 26, 2016; amended at 42 Ill. Reg.
______, effective ____________.
SUBPART A: GENERAL INFORMATION
Section 337.10 Purpose
This Part contains the requirements for the physical protection program for any licensee that
possesses an aggregated category 1 or category 2 quantity of radioactive material listed in
Appendix A. These requirements provide reasonable assurance of the security of the category 1
or category 2 quantityquantities of radioactive material by protecting these materials from theft,
sabotage or diversion. Specific requirements for access, use, transfer and transport of material
are included. No provision of this Part authorizes possession of licensed material. The
requirements in this Part are in addition to, and not in substitution for, other requirements in 32
Ill. Adm. Code: Chapter II, Subchapters b and d. All applicants for a license and existing
licensees are subject to this Part, unless specifically exempted.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.40 Definitions
As used in this Partpart:
"Access control" means a system for allowing only approved individuals to have
unescorted access to the security zone and for ensuring that all other individuals
are subject to escorted access.
"Aggregated" means accessible by the breach of a single physical barrier that
would allow access to radioactive material in any form, including any devices that
contain the radioactive material, when the total activity equals or exceeds a
category 2 quantity of radioactive material.
"Approved individual" means an individual whom the licensee has determined to
be trustworthy and reliable for unescorted access in accordance with Subpart B
and who has completed the training required by Section 337.2020(c). This does
not mean the individual has met the requirements to be an approved authorized
user of radioactive material.
"Atomic Energy Act of 1954" means 42 USC 2169.
ILLINOIS REGISTER 2982
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NOTICE OF PROPOSED AMENDMENTS
"Background investigation" means the investigation required by Section 337.1030
and conducted by a licensee or applicant for a license to support the determination
of trustworthiness and reliability.
"Carrier" means a person engaged in the transportation of passengers or property
by land or water as a common, contract or private carrier, or by civil aircraft.
"Category 1 quantity of radioactive material" means a quantity of radioactive
material meeting or exceeding the category 1 threshold in Table 1 of Appendix A.
This is determined by calculating the ratio of the total activity of each
radionuclide to the category 1 threshold for that radionuclide and adding the ratios
together. If the sum is equal to or exceeds 1, the quantity would be considered a
category 1 quantity. Category 1 quantityquantities of radioactive material doesdo
not include the radioactive material contained in any fuel assembly, subassembly,
fuel rod or fuel pellet.
"Category 2 quantity of radioactive material" means a quantity of radioactive
material meeting or exceeding the category 2 threshold but less than the category
1 threshold in Table 1 of Appendix A. This is determined by calculating the ratio
of the total activity of each radionuclide to the category 2 threshold for that
radionuclide and adding the ratios together. If the sum is equal to or exceeds 1,
the quantity would be considered a category 2 quantity. Category 2
quantityquantities of radioactive material doesdo not include the radioactive
material contained in any fuel assembly, subassembly, fuel rod or fuel pellet.
"Diversion" means the unauthorized movement of radioactive material subject to
this Part to a location different from the material's authorized destination inside or
outside of the site that the material is used or stored.
"Escorted access" means accompaniment while in a security zone by an approved
individual who maintains continuous direct visual surveillance at all times over an
individual who is not approved for unescorted access.
"FBI" means the Federal Bureau of Investigation.
"Fingerprint Orders" means the orders issued by the U.S. Nuclear Regulatory
Commission (NRC) or the legally binding requirements issued by Agreement
States that require fingerprints and criminal history records checks for individuals
ILLINOIS REGISTER 2983
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with unescorted access to category 1 and category 2 quantities of radioactive
material or safeguards information-modified handling.
"IEMA" means the Illinois Emergency Management Agency.
"License issuing authority" means the licensing agency that issued the license
(i.e., the U.S. Nuclear Regulatory Commission, the Illinois Emergency
Management Agency or the appropriate agency of another Agreement State).
"Local law enforcement agency" or "LLEA" means a public or private
organization that has been approved by a federal, state or local government to
carry firearms and make arrests. The LLEA is authorized and has the capability to
provide an armed response in the jurisdiction where the licensed category 1 or
category 2 quantity of radioactive material is used, stored or transported.
"Mobile device" means a piece of equipment containing licensed radioactive
material that is either mounted on wheels or casters, or otherwise equipped for
moving without a need for disassembly or dismounting, or designed to be hand
carried. Mobile devices do not include stationary equipment installed in a fixed
location.
"Movement control center" means an operations center that is remote from
transport activity and maintains position information on the movement of
radioactive material, receives reports of attempted attacks or thefts, provides a
means for reporting these and other problems to appropriate agencies, and
requests and coordinates appropriate aid.
"No-later-than arrival time" means the date and time that the shipping licensee
and receiving licensee have established as the time that an investigation will be
initiated if the shipment has not arrived at the receiving facility. The no-later-
than-arrival time may not be more than 6 hours after the estimated arrival time for
shipments of category 2 quantities of radioactive material.
"Reviewing official" means the individual who shall make the trustworthiness and
reliability determination of an individual to determine whether the individual may
have, or continue to have, unescorted access to the category 1 or category 2
quantityquantities of radioactive materialmaterials that isare possessed by the
licensee. The reviewing officialReviewing Official may have unescorted access
to the category 1 or category 2 quantityquantities of radioactive material only if
ILLINOIS REGISTER 2984
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NOTICE OF PROPOSED AMENDMENTS
his or hertheir job duties require unescorted access to a category 1 or category 2
quantityquantities of radioactive material. If the job duties require access to the
material, the reviewing official shall also meet the training requirements for use of
that radioactive material.
"Sabotage" means deliberate damage, with malevolent intent, to a category 1 or
category 2 quantity of radioactive material, a device that contains a category 1 or
category 2 quantity of radioactive material or the components of the security
system.
"Safeguards informationInformation" means information not classified as
National Security Information or Restricted Data thatwhich specifically identifies
a licensee's or applicant's detailed control and accounting procedures for the
physical protection of special nuclear material in quantities determined by the
U.S. Nuclear Regulatory Commission through order or regulation to be significant
to the public health and safety or the common defense and security; detailed
security measures (including security plans, procedures, and equipment) for the
physical protection of source, byproduct, or special nuclear material in quantities
determined by NRCthe Commission through order or regulation to be significant
to the public health and safety or the common defense and security; security
measures for the physical protection of and location of certain plant equipment
vital to the safety of production or utilization facilities; and any other information
within the scope of sectionSection 147 of the Atomic Energy Act of 1954, as
amended, the unauthorized disclosure of which, as determined by NRCthe
Commission through order or regulation, could reasonably be expected to have a
significant adverse effect on the health and safety of the public or the common
defense and security by significantly increasing the likelihood of sabotage or theft
or diversion of source, byproduct, or special nuclear material.
"Safeguards information – modified handlingInformation − Modified Handling"
is the designation or marking applied to safeguards information that
NRCSafeguards Information which the Commission has determined requires
handling requirements modified from the specific safeguards
informationSafeguards Information handling requirements that are applicable to
safeguards informationSafeguards Information needing a higher level of
protection.
ILLINOIS REGISTER 2985
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"Safe haven" means a readily recognizable and readily accessible site wherethat
security is present or at whichthat, in the event of an emergency, the transport
crew can notify and wait for the local law enforcement authorities.
"Security zone" means any temporary or permanent area determined and
established by the licensee for the physical protection of a category 1 or category
2 quantityquantities of radioactive material.
"Telemetric position monitoring system" means a data transfer system that
captures information by instrumentation and/or measuring devices about the
location and status of a transport vehicle or package between the departure and
destination locations.
"Trustworthiness and reliability" are characteristics of an individual considered
dependable in judgment, character and performance, such that unescorted access
to a category 1 or category 2 quantityquantities of radioactive material by that
individual does not constitute an unreasonable risk to the public health and safety
or security. For this purpose, aA determination of trustworthiness and reliability
for this purpose is based upon the results offrom a background investigation and
certification by the reviewing officialReviewing Official.
"Unescorted access" means solitary access to an aggregated category 1 or
category 2 quantity of radioactive material or the devices that contain the
material.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.50 Specific Exemptions
A licensee that possesses radioactive waste that contains a category 1 or category 2
quantityquantities of radioactive material is exempt from the requirements of Subparts B, C and
D; except. Except that any radioactive waste that contains discrete sources, ion-exchange resins
or activated material that weighs less than 2,000 kg (4,409 lbs) is not exempt from the
requirements. The licensee shall implement the following requirements to secure the radioactive
waste:
a) Use continuous physical barriers that allow access to the radioactive waste only
through established access control points;
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b) Use a locked door or gate with monitored alarm at the access control point;
c) Assess and respond to each actual or attempted unauthorized access to determine
whether an actual or attempted theft, sabotage or diversion occurred; and
d) Immediately notify the LLEA and request an armed response from the LLEA
upon determination that there was an actual or attempted theft, sabotage or
diversion of the radioactive waste that contains a category 1 or category 2
quantityquantities of radioactive material. Immediately after initiating a response,
but not at the expense of causing delay or interfering with the LLEA response to
the event, the licensee shall notify IEMA at (217)782-7860 or (800)782-7860. In
no case shall the notification to IEMA be made later than one (1) hour after the
discovery of any attempted or actual theft, sabotage or diversion.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
SUBPART B: BACKGROUND INVESTIGATIONS AND
ACCESS CONTROL PROGRAM
Section 337.1010 Personnel Access Authorization Requirements for Category 1 or
Category 2 QuantityQuantities of Radioactive Material
a) General.
1) Each licensee that possesses an aggregated quantity of radioactive material
at or above the category 2 threshold shall establish, implement and
maintain its access authorization program in accordance with the
requirements of this Subpart.
2) An applicant for a new license and each licensee that would become newly
subject to the requirements of this Subpart upon application for
modification of its license shall implement the requirements of this
Subpart, as appropriate, before taking possession of an aggregated
category 1 or category 2 quantity of radioactive material.
3) Any licensee that has not previously implemented the security
ordersSecurity Orders, legally binding requirements of the Agreement
States or been subject to the provisions of this Subpart Bsubpart shall
implement the provisions of this Subpart Bsubpart before aggregating
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radioactive material to a quantity that equals or exceeds the category 2
threshold.
AGENCY NOTE: Security orders refers to any order that was issued by the NRC
or an amendment to a license issuedissue by IEMA that required fingerprints and
an FBI criminal history records check for access to safeguards information,
safeguards information-modified handling, or risk significant material.
b) General Performance Objectiveperformance objective.
The licensee's access authorization program shall ensure that the individuals
specified in subsection (c)(1) are trustworthy and reliable.
c) Applicability.
1) Licensees shall subject the following individuals to an access
authorization program:
A) Any individual whose assigned duties require unescorted access to
a category 1 or category 2 quantityquantities of radioactive
material or to any device that contains the radioactive material; and
B) Reviewing officials.
2) Licensees need not subject the categories of individuals listed in Section
337.1050(a)(1) through (13) to the investigation elements of the access
authorization program identified in Section 337.1030.
3) Licensees shall approve for unescorted access to a category 1 or category
2 quantityquantities of radioactive material only those individuals with job
duties that require unescorted access to category 1 or category 2
quantityquantities of radioactive material.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.1020 Access Authorization Program Requirements
a) Granting Unescorted Access Authorizationunescorted access authorization.
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1) Licensees shall implement the requirements of this Subpart for granting
initial or reinstated unescorted access authorization.
2) Individuals who have been determined to be trustworthy and reliable shall
also complete the security training required by Section 337.2020(c) before
being allowed unescorted access to a category 1 or category 2
quantityquantities of radioactive material.
b) Reviewing Officialsofficials.
1) Reviewing officials are the only individuals who may make
trustworthiness and reliability determinations that allow individuals to
have unescorted access to a category 1 or category 2 quantityquantities of
radioactive materialmaterials possessed by the licensee.
2) Each licensee shall name one or more individuals to be reviewing
officials. After completing the background investigation on the reviewing
official, the licensee shall provide, under oath or affirmation, a
certification that the reviewing official is deemed trustworthy and reliable
by the licensee. The fingerprints of the named reviewing official shall be
taken by a law enforcement agency, federal agency or state
agencyagencies that providesprovide fingerprinting services to the public
or by commercial fingerprinting services authorized by a state to take
fingerprints. The licensee shall recertify that the reviewing official is
deemed trustworthy and reliable every 10 years in accordance with
Section 337.1030(e).
3) Reviewing officials shall be permitted to have unescorted access to a
category 1 or category 2 quantityquantities of radioactive
materialmaterials if their job duties require unescorted access to category 1
or category 2 quantityquantities of radioactive material as referenced in
Section 337.1010(c)(3).
4) Reviewing officials cannot approve other individuals to act as reviewing
officials.
5) A reviewing official does not need to undergo a new background
investigation before being named by the licensee as the reviewing official
if:
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A) The individual has previously undergone a background
investigation that included fingerprinting and an FBI criminal
history records check and has been determined to be trustworthy
and reliable by the licensee; or
B) The individual falls withinis subject to a category listed in Section
337.1050(a).
c) Informed Consentconsent.
1) Licensees may not initiate a background investigation without the
informed and signed consent of the subject individual. This consent shall
include authorization to share personal information with other individuals
or organizations as necessary to complete the background investigation.
Before a final adverse determination, the licensee shall provide the
individual with an opportunity to correct any inaccurate or incomplete
information that is developed during the background investigation.
Licensees do not need to obtain signed consent from those individuals that
meet the requirements of Section 337.1030(d). A signed consent shall be
obtained prior to any reinvestigation.
2) The subject individual may withdraw his or her consent at any time.
Licensees shall inform the individual that:
A) If an individual withdraws his or her consent, the licensee may not
initiate any elements of the background investigation that were not
in progress at the time the individual withdrew his or her consent;
and
B) The withdrawal of consent for the background investigation is
sufficient cause for denial or termination of unescorted access
authorization.
d) Personal History Disclosurehistory disclosure.
Any individual who is applying for unescorted access authorization shall disclose
the personal history information that is required by the licensee's access
authorization program for the reviewing official to make a determination of the
individual's trustworthiness and reliability. Refusal to provide, or the falsification
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of, any personal history information required by this Subpart is sufficient cause
for denial or termination of unescorted access.
e) Determination Basisbasis.
1) The reviewing official shall determine whether to permit, deny,
unfavorably terminate, maintain or administratively withdraw an
individual's unescorted access authorization based on an evaluation of all
of the information collected to meet the requirements of this Subpart.
2) The reviewing official may not permit any individual to have unescorted
access until the reviewing official has evaluated all of the information
collected to meet the requirements of this Subpart and determined that the
individual is trustworthy and reliable. The reviewing official may deny
unescorted access to any individual based on information obtained at any
time during the background investigation.
3) The licensee shall document the basis for concluding whether or not there
is reasonable assurance that an individual is trustworthy and reliable.
4) The reviewing official may terminate or administratively withdraw an
individual's unescorted access authorization based on information obtained
after the background investigation has been completed and the individual
is granted unescorted access authorization.
5) Licensees shall maintain a list of persons currently approved for
unescorted access authorization. When a licensee determines that a person
no longer requires unescorted access or meets the access authorization
requirement, the licensee shall remove the person from the approved list as
soon as possible, but no later than 7 working days afterfrom the
determination, and take prompt measures to ensure that the individual is
unable to have unescorted access to the material.
f) Procedures. Licensees shall develop, implement and maintain written procedures
for implementing the access authorization program. The procedures shall include
provisions for:
1) The notification of individuals who are denied unescorted access;
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2) The review, at the request of the affected individual, of a denial or
termination of unescorted access authorization;
3) Ensuring that the individual is informed of the grounds for the denial or
termination of unescorted access authorization; and
4) Allowing the individual an opportunity to provide additional relevant
information.
g) Right to Correctcorrect and Complete Informationcomplete information.
1) Prior to any final adverse determination, licensees shall provide each
individual subject to this Subpart with the right to complete, correct and
explain information obtained as a result of the background investigation.
Confirmation of receipt by the individual of this notification shall be
maintained by the licensee for a period of one1 year from the date of the
notification.
2) If, after reviewing his or her criminal history record, an individual believes
that it is incorrect or incomplete and wishes to change, correct, update or
explain anything in the record, the individual may initiate challenge
procedures. These procedures include direct application by the individual
challenging the record to the law enforcement agency that contributed the
questioned information or a direct challenge as to the accuracy or
completeness of any entry on the criminal history record to the Federal
Bureau of Investigation, Criminal Justice Information Services (CJIS)
Division, ATTN: SCU, Mod. D-2, 1000 Custer Hollow Road, Clarksburg,
WV 26306, as set forth in 28 CFR 16.30 through 16.34. In the latter case,
the FBI will forward the challenge to the agency that submitted the data
and will request that the submitting agency verify or correct the
challenged entry. Upon receipt of an official communication directly from
the submitting agency that contributed the original information, the FBI
Identification Division should make any necessary changes in accordance
with the information supplied by that submitting agency. Licensees shall
provide at least 10 business days for an individual to initiate action to
challenge the results of an FBI criminal history records check after the
record is made available for his or her review. The licensee shall make a
final adverse determination based upon the criminal history records only
after receipt of the FBI's confirmation or correction of the record.
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h) Records.
1) The licensee shall retain documentation regarding the trustworthiness and
reliability of individual employees for 3 years from the date the individual
no longer requires unescorted access to a category 1 or category 2
quantityquantities of radioactive material.
2) The licensee shall retain a copy of the current access authorization
program procedures as a record for 3 years after the procedure is no longer
needed. If any portion of the procedure is superseded, the licensee shall
retain the superseded material for 35 years after the record is superseded.
3) The licensee shall retain the list of persons approved for unescorted access
authorization for 3 years after the list is superseded or replaced.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.1030 Background Investigationsinvestigations
a) Initial Investigationinvestigation.
Before allowing an individual unescorted access to a category 1 or category 2
quantityquantities of radioactive material or to the devices that contain the
material, licensees shall complete a background investigation of the individual
seeking unescorted access authorization. The scope of the investigation shall
encompass at least the 7 years preceding the date of the background investigation
or since the individual's 18theighteenth birthday, whichever is shorter. The
background investigation shall include, at a minimum:
1) Fingerprinting and an FBI identification and criminal history records
check in accordance with Section 337.1040;
2) Verification of True Identitytrue identity. Licensees shall verify the true
identity of the individual who is applying for unescorted access
authorization to ensure that the applicant is who he or she claims to be. A
licensee shall review official identification documents (e.g., driver's
license; passport; government identification and/or certificate of birth
issued by the state, province, or country of birth) and compare the
documents to personal information data provided by the individual to
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identify any discrepancy in the information. Licensees shall document the
type, expiration and identification number of the identification document
or maintain a photocopy of identifying documents on file in accordance
with Section 337.1060. Licensees shall certify in writing that the
identification was properly reviewed and shall maintain the certification
and all related documents for review upon inspection;
3) Employment History Verificationhistory verification. Licensees shall
complete an employment history verification, including military history.
Licensees shall verify the individual's employment with each previous
employer for the most recent 7 years before the date of application or
since the individual's 18theighteenth birthday, whichever is shorter;
4) Verification of Educationeducation. Licensees shall verify that the
individual participated in the education process during the claimed period;
and
5) Character and Reputation Determinationreputation determination.
Licensees shall complete reference checks to determine the character and
reputation of the individual who has applied for unescorted access
authorization. Unless other references are not available, reference checks
may not be conducted with any person who is known to be a close
member of the individual's family, including, but not limited to, the
individual's spouse, parents, siblings or children or any individual who
resides in the individual's permanent household. Reference checks under
this Subpart shall be limited to whether the individual has been and
continues to be trustworthy and reliable.
b) The licensee shall, to the extent possible, obtain independent information to
corroborate that provided by the individual (e.g., seek references not supplied by
the individual).
c) If a previous employer, educational institution or any other entity with whichthat
the individual claims to have been engaged fails to provide information or
indicates an inability or unwillingness to provide information within a time frame
deemed appropriate by the licensee (no less than 10 business days after the
request) or if the licensee is unable to reach the entity, the licensee shall document
the refusal, unwillingness or inability in the record of investigation and attempt to
obtain the information from an alternate source.
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d) Grandfathering.
1) Individuals who were previously determined to be trustworthy and reliable
for unescorted access to a category 1 or category 2 quantityquantities of
radioactive material under the Fingerprint Orders may continue to have
unescorted access to category 1 and category 2 quantities of radioactive
material without further investigation. These individuals shall be subject
to the reinvestigation requirement.
2) Individuals who have been determined to be trustworthy and reliable
under the provisions of a security order for access to safeguards
information, safeguards information-modified handling or risk-significant
material may have unescorted access to category 1 and category 2
quantities of radioactive material without further investigation. The
licensee shall document that the individual was determined to be
trustworthy and reliable under the provisions of a security order. These
individuals shall be subject to the reinvestigation requirement.
AGENCY NOTE: Security order, in this context, refers to any order that
was issued by the NRC or an amendment to a license issued by IEMA that
required fingerprints and an FBI criminal history records check for access
to safeguards information, safeguards information – modified handling or
risk significant material.
e) Reinvestigations.
Licensees shall conduct a reinvestigation every 10 years for any individual with
unescorted access to a category 1 or category 2 quantityquantities of radioactive
material. The reinvestigation shall consist of fingerprinting and an FBI
identification and criminal history records check in accordance with Section
337.1040. The reinvestigations shall be completed within 10 years afterof the
date that these elements were last completed.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.1040 Requirements for Criminal History Records Checkscriminal history
records checks of Individuals Granted Unescorted Accessindividuals granted unescorted
access to Categorycategory 1 or Categorycategory 2 Quantityquantities of Radioactive
Materialradioactive material
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a) General Performance Objective and Requirementsperformance objective and
requirements.
1) Except for those individuals listed in Section 337.1050 and those
individuals grandfathered under Section 337.1030(d), each licensee
subject to the provisions of this Subpart shall fingerprint each individual
who is to be permitted unescorted access to category 1 or category 2
quantityquantities of radioactive material. Licensees shall transmit all
collected fingerprints to the NRC for transmission to the FBI. The
licensee shall use the information received from the FBI as part of the
required background investigation to determine whether to grant or deny
further unescorted access to a category 1 or category 2 quantityquantities
of radioactive materialmaterials for that individual.
2) The licensee shall notify each affected individual that his or her
fingerprints will be used to secure a review of his or her criminal history
record and shall inform him or her of the procedures for revising the
record or adding explanations to the record.
3) Fingerprinting is not required if:
A) A licensee is reinstating an individual's unescorted access
authorization to category 1 or category 2 quantityquantities of
radioactive materialmaterials;
B) The individual returns to the same facility that granted unescorted
access authorization within 365 days afterof the termination of his
or her unescorted access authorization; and
C) The previous unescorted access authorization was terminated
under favorable conditions.
4) Fingerprints are not required if an individual who is an employee of a
licensee, contractor, manufacturer or supplier has been granted unescorted
access to category 1 or category 2 quantityquantities of radioactive
material, access to safeguards information or safeguards information-
modified handling by another licensee based upon a background
investigation conducted under this Subpart, the Fingerprint Orders or 10
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CFR 73. An existing criminal history records check file may be
transferred, in accordance with Section 337.1060(c), to the licensee asked
to grant unescorted access in accordance with the provisions of Section
337.1060(c).
5) Licensees shall use the information obtained as part of a criminal history
records check solely for the purpose of determining an individual's
suitability for unescorted access authorization to category 1 or category 2
quantityquantities of radioactive materialmaterials.
b) Prohibitions.
1) Licensees may not base a final determination to deny an individual
unescorted access authorization to category 1 or category 2
quantityquantities of radioactive material solely on the basis of
information received from the FBI involving:
A) An arrest more than one (1) year old in which there is no
information of the disposition of the case; or
B) An arrest that resulted in dismissal of the charge or an acquittal.
2) Licensees may not use information received from a criminal history
records check obtained under this Subpart in a manner that would infringe
upon the rights of any individual under the First Amendment to the
Constitution of the United States nor shall licensees use the information in
any way that would discriminate among individuals on the basis of race,
religion, national origin, gender or age.
c) Procedures for Processingprocessing of Fingerprint Checksfingerprint checks.
1) For the purpose of complying with this Subpart, licensees shall use an
appropriate method listed in 10 CFR 37.7 to submit to the U.S. Nuclear
Regulatory Commission, Director, Division of Facilities and Security,
11545 Rockville Pike, ATTN: Criminal History Program/Mail Stop
TWFN 3B46TWB-05 B32M, Rockville MD, Maryland 20852, one
completed, legible standard fingerprint card (Form FD-258,
ORIMDNRCOOOZ), electronic fingerprint scan or, where practicable,
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other fingerprint record for each individual requiring unescorted access to
category 1 or category 2 quantityquantities of radioactive material.
AGENCY NOTE: Copies of these forms may be obtained by writing the
Office of Chief Information OfficerInformation Services, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001, by calling 1-
(630)-829-9565 or by email to [email protected].
2) Fees for the processing of fingerprint checks are due upon application.
Licensees shall submit payment with the application for the processing of
fingerprints through corporate check, certified check, cashier's check,
money order or electronic payment made payable to "U.S. NRC.".
Combined payment for multiple applications is acceptable. The amount of
the fingerprint check application fee is available on the NRC's website.
To find the current fee amount, go to the Electronic Submittals page at
http://www.nrc.gov/site-help/e-submittals.html and see the link for the
Criminal History Program under Electronic Submission Systems.
AGENCY NOTE: For guidance on making electronic payments, contact
the Security Branch, Division of Facilities and Security at (301)415-
7514(301)492-3531.
3) NRC will forward to the submitting licensee all data received from the
FBI as a result of the licensee's applications for criminal history records
checks.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.1050 Relief from Fingerprinting, Identification, Criminal History Records
Checks and Other Elements of Background Investigations for Designated Categories of
Individuals Permitted Unescorted Access to Certain Radioactive Materialfingerprinting,
identification, criminal history records checks and other elements of background
investigations for designated categories of individuals permitted unescorted access to
certain radioactive materials
a) Fingerprinting, and the identification and criminal history records checks required
by sectionSection 149 of the Atomic Energy Act of 1954, as amended, and other
elements of the background investigation are not required for the following
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individuals prior to granting unescorted access to category 1 or category 2
quantityquantities of radioactive materialmaterials:
1) An employee of the NRC or of the Executive Branch of the U.S.
government who has undergone fingerprinting for a prior U.S. government
criminal history records check;
2) A member of Congress;
3) An employee of a member of Congress or Congressional committee who
has undergone fingerprinting for a prior U.S. government criminal history
records check;
4) The Governor of Illinoisthis State or his or her designated State employee
representative;
5) Federal, State of Illinois or local law enforcement personnel;
6) The IEMA Director and State Homeland Security Advisor or their
designated State employee representatives;
7) IEMA employees conducting security inspections on behalf of the NRC
under an agreement executed under sectionSection 274.i of the Atomic
Energy Act of 1954;
8) Representatives of the International Atomic Energy Agency (IAEA)
engaged in activities associated with the U.S./IAEA Safeguards
Agreement who have been certified by the NRC;
9) Emergency response personnel who are responding to an emergency;
10) Commercial vehicle drivers for road shipments of category 1 and category
2 quantities of radioactive material;
11) Package handlers at transportation facilities such as freight terminals and
railroad yards;
12) Any individual who has an active federal security clearance, provided that
he or she makes available the appropriate documentation. Written
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confirmation from the agency/employer that granted the federal security
clearance or reviewed the criminal history records check shall be provided
to the licensee. The licensee shall retain this documentation for a period
of 3 years from the date the individual no longer requires unescorted
access authorization to category 1 or category 2 quantityquantities of
radioactive material; and
13) Any individual employed by a service provider licensee that the service
provider licensee has conducted the background investigation for the
individual and approved the individual for unescorted access to category 1
or category 2 quantityquantities of radioactive material. Written
verification from the service provider shall be provided to the licensee.
The licensee shall retain the documentation for a period of 3 years from
the date the individual no longer requires unescorted access authorization
to category 1 or category 2 quantityquantities of radioactive material.
b) Fingerprinting and the identification and criminal history records checks required
by Section 149 of the Atomic Energy Act of 1954, as amended, are not required
for an individual who has had a favorably adjudicated U.S. Government criminal
history records check within the last 5 years under a comparable U.S. Government
program involving fingerprinting and an FBI identification and criminal history
records check provided that he or she makes available the appropriate
documentation. Written confirmation from the agency/employer that reviewed
the criminal history records check shall be provided to the licensee. The licensee
shall retain this documentation for a period of 3 years from the date the individual
no longer requires unescorted access to category 1 or category 2
quantityquantities of radioactive material. These programs include, but are not
limited to:
1) National Agency Check;
2) Transportation Worker Identification Credentials (TWIC) under 49 CFR
Part 1572;
3) Bureau of Alcohol, Tobacco, Firearms and Explosives background check
and clearances under 27 CFR Part 555;
4) Health and Human Services security risk assessments for possession and
use of select agents and toxins under 42 CFR Part 73;
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5) Hazardous material security threat assessment for hazardous material
endorsement to commercial driver's license under 49 CFR Part 1572; and
6) Customs and Border Protection's Free and Secure Trade (FAST) Program.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.1060 Protection of Information
a) Each licensee who obtains background information on an individual under this
Subpart shall establish and maintain a system of files and written procedures for
protection of the record and the personal information from unauthorized
disclosure.
b) The licensee shall not disclose the record or personal information collected and
maintained to persons other than the subject individual, his or her representative
or to those who have a need to have access to the information in performing
assigned duties in the process of granting or denying unescorted access to
category 1 or category 2 quantityquantities of radioactive material. No individual
authorized to have access to the information shall disseminate the information to
any other individual who does not have a need to know.
c) The personal information obtained on an individual from a background
investigation may be provided to another licensee:
1) Upon the individual's written request to the licensee holding the data to
disseminate the information contained in his or her file; and
2) The recipient licensee verifies information such as name, date of birth,
social security number, gender and other applicable physical
characteristics of the individual.
d) The licensee shall make background investigation records obtained under this
Subpart available for examination by an authorized representative of IEMA to
determine compliance with the law.
e) The licensee shall retain all fingerprint and criminal history records received from
the FBI, including data indicating no record, or a copy of these records, if the
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individual's file has been transferred. The records shall be retained, for 3 years
from the date the individual no longer requires unescorted access to category 1 or
category 2 quantityquantities of radioactive material.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.1070 Access Authorization Program Review
a) Each licensee shall be responsible for the continuing effectiveness of the access
authorization program. Each licensee shall ensure that access authorization
programs are reviewed to confirm compliance with the requirements of this
Subpart and that comprehensive actions are taken to correct any noncompliance
that is identified. The review program shall evaluate all program performance
objectives and requirements. Each licensee shall periodically, not to exceed 12
months, review the access program content and implementation.
b) The results of the reviews, along with any recommendations, shall be
documented. Each review report shall identify conditions that are adverse to the
proper performance of the access authorization program and, the cause of thosethe
conditions. When, and, when appropriate, the report shall recommend corrective
actions and identify corrective actions taken. The licensee shall review the
findings and take any additional corrective actions necessary to preclude
repetition of the condition, including reassessment of the deficient areas
whenwhere indicated.
c) Review records shall be maintained for 3 years.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
SUBPART C: PHYSICAL PROTECTION REQUIREMENTS DURING USE
Section 337.2010 Security Programprogram
a) Applicability.
1) Each licensee that possesses an aggregated category 1 or category 2
quantity of radioactive material shall establish, implement and maintain a
security program in accordance with the requirements of this Subpart.
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2) An applicant for a new license and each licensee that would become newly
subject to the requirements of this Subpart upon application for
modification of its license shall implement the requirements of this
Subpart, as appropriate, before taking possession of an aggregated
category 1 or category 2 quantity of radioactive material.
3) Any licensee that has not previously implemented the security
requirements or been subject to the provisions of Subpart C shall provide
written notification to IEMA at the address specified in 32 Ill. Adm. Code
310.110 at least 90 days before aggregating radioactive material to a
quantity that equals or exceeds the category 2 threshold.
b) General Performance Objectiveperformance objective.
Each licensee shall establish, implement and maintain a security program that is
designed to monitor and, without delay, detect, assess and respond to an actual or
attempted unauthorized access to a category 1 or category 2 quantityquantities of
radioactive material.
c) Program Featuresfeatures.
Each licensee's security program shall include the program features, as
appropriate, described in Sections 337.2020 through, 337.2030, 337.2040,
337.2050, 337.2060, 337.2070, and 337.2080.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.2020 General Security Program Requirements
a) Security Planplan.
1) Each licensee identified in Section 337.2010(a) shall develop a written
security plan specific to its facilities and operations. The purpose of the
security plan is to establish the licensee's overall security strategy to
ensure the integrated and effective functioning of the security program
required by this Subpart. The security plan shall, at a minimum:
A) Describe the measures and strategies used to implement the
requirements of this Subpart; and
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B) Identify the security resources, equipment and technology used to
satisfy the requirements of this Subpart.
2) The security plan shall be reviewed and approved by the individual with
overall responsibility for the security program.
3) A licensee shall revise its security plan as necessary to ensure the effective
implementation of requirements under this Part. The licensee shall ensure
that:
A) The revision has been reviewed and approved by the individual
with overall responsibility for the security program; and
B) The affected individuals are instructed on the revised plan before
the changes are implemented.
4) The licensee shall retain a copy of the current security plan as a record for
3 years after the security plan is no longer required. If any portion of the
plan is superseded, the licensee shall retain the superseded portion for 3
years after the record is superseded.
b) Implementing Proceduresprocedures.
1) The licensee shall develop and maintain written procedures that document
how the requirements of this Subpart and the security plan will be met.
2) The implementing procedures and revisions to these procedures shall be
approved in writing by the individual with overall responsibility for the
security program.
3) The licensee shall retain a copy of the current procedure as a record for 3
years after the procedure is no longer needed. Superseded portions of the
procedure shall be retained for 3 years after the record is superseded.
c) Training.
1) Each licensee shall conduct training to ensure that those individuals
implementing the security program possess and maintain the knowledge,
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skills and abilities to carry out their assigned duties and responsibilities
effectively. The training shall include:
A) The licensee's security program and procedures to secure a
category 1 or category 2 quantityquantities of radioactive material
and the purposes and functions of the security measures employed;
B) The responsibility to promptly report to the licensee any condition
that causes or may cause a violation of this Part;
C) The responsibility of the licensee to promptly report to the LLEA
and licensee any actual or attempted theft, sabotage or diversion of
a category 1 or category 2 quantityquantities of radioactive
material; and
D) The appropriate response to security alarms.
2) In determining those individuals who shall be trained on the security
program, the licensee shall consider each individual's assigned activities
during authorized use and response to potential situations involving actual
or attempted theft, diversion or sabotage of a category 1 or category 2
quantityquantities of radioactive material. The extent of the training shall
be commensurate with the individual's potential involvement in the
security of a category 1 or category 2 quantityquantities of radioactive
material.
3) Refresher training shall be provided at a frequency not to exceed 12
months and when significant changes have been made to the security
program. This training shall include:
A) Review of the training requirements of subsection (c) and any
changes made to the security program since the last training;
B) Reports on any relevant security issues, problems and lessons
learned;
C) Relevant results of IEMA inspections; and
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D) Relevant results of the licensee's program review and testing and
maintenance.
4) The licensee shall maintain records of the initial and refresher training for
3 years from the date of the training. The training records shall include
dates of the training, topics covered, a list of licensee personnel in
attendance and related information.
d) Protection of Informationinformation.
1) Licensees authorized to possess a category 1 or category 2
quantityquantities of radioactive material shall limit access to and
unauthorized disclosure of their security plan, implementing procedures
and the list of individuals that have been approved for unescorted access.
2) Efforts to limit access shall include the development, implementation and
maintenance of written policies and procedures for controlling access to,
and for proper handling and protection against unauthorized disclosure of,
the security plan and implementing procedures.
3) Before granting an individual access to the security plan or implementing
procedures, licensees shall:
A) Evaluate an individual's need to know the security plan or
implementing procedures; and
B) If the individual has not been authorized for unescorted access to a
category 1 or category 2 quantityquantities of radioactive material,
safeguards information or safeguards information − modified
handling, the licensee shall complete a background investigation to
determine the individual's trustworthiness and reliability. A
trustworthiness and reliability determination shall be conducted by
the reviewing official and shall include the background
investigation elements contained in Section 337.1030(a)(2)
through (a)(5), (b) and (c).
4) Licensees need not subject the following individuals to the background
investigation elements for protection of information:
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A) The categories of individuals listed in Section 337.1050(a)(1)
through (13); or
B) Security service provider employees, ifprovided written
verification that the employee has been determined to be
trustworthy and reliable, by the required background investigation
in Section 337.1030(a)(2) through (a)(5), (b) and (c) has been
provided by the security service provider.
5) The licensee shall document the basis for concluding that an individual is
trustworthy and reliable and should be granted access to the security plan
or implementing procedures.
6) Licensees shall maintain a list of persons currently approved for access to
the security plan or implementing procedures. When a licensee
determines that a person no longer needs access to the security plan or
implementing procedures, or no longer meets the access authorization
requirements for access to the information, the licensee shall remove the
person from the approved list as soon as possible, but no later than 7
business days, and take prompt measures to ensure that the individual is
unable to obtain the security plan or implementing procedures.
7) When not in use, the licensee shall store its security plan and
implementing procedures in a manner designed to prevent unauthorized
access. Information stored in nonremovable electronic form shall be
password protected.
8) The licensee shall retain as a record for 3 years after the document is no
longer needed:
A) A copy of the information protection procedures; and
B) The list of individuals approved for access to the security plan or
implementing procedures.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.2030 LLEA Coordination
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a) A licensee subject to this Subpart shall coordinate, to the extent practicable, with
an LLEA for responding to threats to the licensee's facility, including any
necessary armed response. The information provided to the LLEA shall include:
1) A description of the facilities and the category 1 and category 2 quantities
of radioactive materialmaterials, along with a description of the licensee's
security measures that have been implemented to comply with this
Subpart; and
2) A notification that the licensee will request a timely armed response by the
LLEA to any actual or attempted theft, sabotage or diversion of a category
1 or category 2 quantity of radioactivequantities of material.
b) The licensee shall notify IEMA within 3 business days if:
1) The LLEA has not responded to the request for coordination within 60
days of the coordination request; or
2) The LLEA notifies the licensee that the LLEA does not plan to participate
in coordination activities.
c) The licensee shall document its efforts to coordinate with the LLEA. The
documentation shall be kept for 3 years.
d) The licensee shall coordinate with the LLEA at least every 12 months, or when
changes to the facility design or operation adversely affect the potential
vulnerability of the licensee's material to theft, sabotage or diversion.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.2040 Security Zoneszones
a) Licensees shall ensure that all aggregated category 1 and category 2 quantities of
radioactive material are used or stored within licensee-established security zones.
Security zones may be permanent or temporary.
b) Temporary security zones shall be established as necessary to meet the licensee's
transitory or intermittent business activities, such as periods of maintenance,
source delivery and source replacement.
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c) Security zones shall, at a minimum, allow unescorted access only to approved
individuals through:
1) Isolation of category 1 and category 2 quantities of radioactive
materialmaterials by the use of continuous physical barriers that allow
access to the security zone only through established access control points.
A physical barrier is a natural or man-made structure or formation
sufficient for the isolation of the category 1 or category 2
quantityquantities of radioactive material within a security zone;
2) Direct control of the security zone by approved individuals at all times; or
3) A combination of continuous physical barriers and direct control.
d) For a category 1 quantityquantities of radioactive material during periods of
maintenance, source receipt, preparation for shipment, installation or source
removal or exchange, the licensee shall, at a minimum, provide sufficient
individuals approved for unescorted access to maintain continuous surveillance of
sources in temporary security zones and in any security zone wherethat physical
barriers or intrusion detection systems have been disabled to allow thosesuch
activities.
e) Individuals not approved for unescorted access to category 1 or category 2
quantityquantities of radioactive material shall be escorted by an approved
individual when in a security zone.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.2050 Monitoring, Detection and Assessmentdetection, and assessment
a) Monitoring and Detectiondetection.
1) Licensees shall establish and maintain the capability to continuously
monitor and detect, without delay, all unauthorized entries into its security
zones. Licensees shall provide the means to maintain continuous
monitoring and detection capability in the event of a loss of the primary
power source or provide for an alarm and response in the event of a loss of
this capability to continuously monitor and detect unauthorized entries.
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2) Monitoring and detection shall be performed by:
A) A monitored intrusion detection system that is linked to an onsite
or offsite central monitoring facility;
B) Electronic devices for intrusion detection alarms that will alert
nearby facility personnel;
C) A monitored video surveillance system;
D) Direct visual surveillance by approved individuals located within
the security zone; or
E) Direct visual surveillance by a licensee-designated individual
located outside the security zone.
3) A licensee subject to this Subpart shall also have a means to detect
unauthorized removal of the radioactive material from the security zone.
This detection capability shall provide:
A) For a category 1 quantityquantities of radioactive material,
immediate detection of any attempted unauthorized removal of the
radioactive material from the security zone. ImmediateSuch
immediate detection capability shall be provided by:
i) Electronic sensors linked to an alarm;
ii) ContinuouslyContinuous monitored video surveillance; or
iii) Direct visual surveillance.
B) For a category 2 quantityquantities of radioactive material, weekly
verification through physical checks, tamper indicating devices,
use or other means to ensure that the radioactive material is
present.
b) Assessment.
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Licensees shall immediately assess each actual or attempted unauthorized entry
into the security zone to determine whether the unauthorized access was an actual
or attempted theft, sabotage or diversion.
c) Personnel Communications and Data Transmissioncommunications and data
transmission.
For personnel and automated or electronic systems supporting the licensee's
monitoring, detection and assessment systems, licensees shall:
1) Maintain continuous capability for personnel communication and
electronic data transmission and processing among site security systems;
and
2) Provide an alternative communication capability for personnel and an
alternative data transmission and processing capability in the event of a
loss of the primary means of communication or data transmission and
processing. Alternative communications and data transmission systems
may not be subject to the same failure modes as the primary systems.
d) Response.
Licensees shall immediately respond to any actual or attempted unauthorized
access to the security zones or actual or attempted theft, sabotage or diversion of a
category 1 or category 2 quantityquantities of radioactive material at licensee
facilities or temporary job sites. For any unauthorized access involving an actual
or attempted theft, sabotage or diversion of a category 1 or category 2
quantityquantities of radioactive material, the licensee's response shall include
requesting, without delay, an armed response from the LLEA.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.2060 Maintenance and Testing
a) Each licensee subject to this Subpart shall implement a maintenance and testing
program to ensure that intrusion alarms, associated communication systems and
other physical components of the systems used to secure or detect unauthorized
access to radioactive material are maintained in operable condition and are
capable of performing their intended function when needed. The equipment
relied on to meet the security requirements shall be inspected and tested for
operability and performance at the manufacturer's suggested frequency. If there is
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no suggested manufacturer's suggested frequency, the testing shall be performed
at least annually, not to exceed 12 months.
b) The licensee shall maintain records on the maintenance and testing activities for 3
years.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.2070 Requirements for Mobile Devices
Each licensee that possesses mobile devices containing a category 1 or category 2
quantityquantities of radioactive material shall:
a) Have two independent physical controls that form tangible barriers to secure the
material from unauthorized removal when the device is not under direct control
and constant surveillance by the licensee; and
b) For devices in or on a vehicle or trailer, unless the health and safety requirements
for a site prohibit the disabling of the vehicle, the licensee shall utilize a method
to disable the vehicle or trailer when not under direct control and constant
surveillance by the licensee. Licensees shall not rely on the removal of an ignition
key to meet this requirement.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.2080 Security Program Review
a) Each licensee shall be responsible for the continuing effectiveness of the security
program. Each licensee shall ensure that the security program is reviewed to
confirm compliance with the requirements of this Subpart and that comprehensive
actions are taken to correct any noncompliance that is identified. The review shall
include the radioactive material security program content and implementation.
Each licensee shall periodically, not to exceed 12 months, review the security
program content and implementation.
b) The results of the review, along with any recommendations, shall be documented.
Each review report shall identify conditions that are adverse to the proper
performance of the security program and, the cause of the conditions. When, and,
when appropriate, the report shall recommend corrective actions and identify
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corrective actions taken. The licensee shall review the findings and take any
additional corrective actions necessary to preclude repetition of the condition,
including reassessment of the deficient areas whenwhere indicated.
c) The licensee shall maintain the review documentation for 3 years.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.2090 Reporting of Events
a) The licensee shall immediately notify the LLEA after determining that an
unauthorized entry resulted in an actual or attempted theft, sabotage or diversion
of a category 1 or category 2 quantity of radioactive material. Immediately after
initiating a response, but not at the expense of causing delay or interfering with
the LLEA response to the event, the licensee shall notify IEMA at (217)782-7860
or (800)782-7860. In no case shall the notification to IEMA be later than one (1)
hour after the discovery of any attempted or actual theft, sabotage or diversion.
b) The licensee shall assess any suspicious activity related to possible theft, sabotage
or diversion of a category 1 or category 2 quantityquantities of radioactive
material and notify the LLEA as appropriate. As soon as possible, but not later
than one (1) hour after notifying the LLEA, the licensee shall notify IEMA at
(217)782-7860 or (800)782-7860.
c) Written Reports. A licensee required to make a notification pursuant to
subsectionsubsections (a) or (b) shall, within 30 days after making the
notification, submit a written report to IEMA regarding the suspicious activity or
the actual or attempted theft, sabotage or diversion. The written report shall
include sufficient information for IEMA analysis and evaluation, including:
1) A description of the source of radiation involved, including the kind,
quantity and chemical and physical form;
2) A description of the circumstances under which the actual or attempted
theft, sabotage or diversion of a category 1 or category 2 quantity of
radioactive material occurred;
3) A statement of disposition, or probable disposition, of the source of
radiation involved;
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4) Exposures of individuals to radiation, circumstances under which the
exposures occurred, and the possible total effective dose equivalent to
persons in unrestricted areas;
5) Actions that have been taken, or will be taken, to recover the source of
radiation; and
6) Corrective actions taken, or that will be taken, to protect against a
recurrence of a theft, sabotage or diversion of a category 1 or category 2
quantity of radioactive material.
d) Subsequent to filing the written report, the licensee shall also report any
additional substantive information on the actual or attempted theft, sabotage or
diversion of a category 1 or category 2 quantity of radioactive material within 30
days after the licensee learns of thatsuch information.
e) The licensee shall prepare any report filed with IEMA pursuant to this Section so
that names of individuals who may have received exposure to radiation are stated
in a separate and detachable portion of the written report.
AGENCY NOTE: Notification under this Part satisfies the requirements of 32 Ill.
Adm.Admin. Code 340.1205 and 340.1210 for category 1 and category 2 quantities of
radioactive material. Licensees should be aware that there are additional reporting
requirements in 32 Ill. Adm. Code 340.1220 for other events involving radioactive
material.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
SUBPART D: PHYSICAL PROTECTION IN TRANSIT
Section 337.3010 Additional Requirements for Transfer of Category 1 and Category 2
Quantities of Radioactive Materialrequirements for transfer of category 1 and category 2
quantities of radioactive material
A licensee transferring a category 1 or category 2 quantity of radioactive material to a licensee of
the NRC or another Agreement State shall meet the license verification provisions listed in this
Sectionbelow instead of those listed in 32 Ill. Adm. Code 330.400.
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a) Any licensee transferring a category 1 quantityquantities of radioactive material to
a licensee of the NRC or an Agreement State, prior to conducting thatsuch
transfer, shall verify with the NRC's license verification system or the license
issuing authority that the transferee's license authorizes the receipt of the type,
form and quantity of radioactive material to be transferred and that the licensee is
authorized to receive radioactive material at the location requested for delivery. If
the verification is conducted by contacting the license issuing authority, the
transferor shall document the verification. For transfers within the same
organization, the licensee does not need to verify the transfer.
b) Any licensee transferring a category 2 quantityquantities of radioactive material to
a licensee of the NRC or an Agreement State, prior to conducting thatsuch
transfer, shall verify with the NRC's license verification system or the license
issuing authority that the transferee's license authorizes the receipt of the type,
form and quantity of radioactive material to be transferred. If the verification is
conducted by contacting the license issuing authority, the transferor shall
document the verification. For transfers within the same organization, the
licensee does not need to verify the transfer.
c) In an emergency in whichwhere the licensee cannot reach the license issuing
authority and the license verification system is nonfunctional, the licensee may
accept a written certification by the transferee that it is authorized by license to
receive the type, form and quantity of radioactive material to be transferred and
that the licensee is authorized to receive radioactive material at the location
requested for delivery. The certification shall include the license number, current
revision number, issuing authority, expiration date and, for category 1 shipments,
the authorized address. The licensee shall keep a copy of the certification. The
certification shall be confirmed by use of the NRC's license verification system or
by contacting the license issuing authority by the end of the next business day.
d) The transferor shall keep a copy of the verification documentation as a record for
3 years.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.3020 Applicability of Physical Protection of Category 1 and Category 2
Quantities of Radioactive Material During Transit
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a) For shipments of a category 1 quantityquantities of radioactive material, each
shipping licensee shall comply with the requirements for physical protection
contained in Sections 337.3030(a) and (e), 337.3040, 337.3050(a)(1), (b)(1) and
(c) and 337.3060(a), (c), (e), (g) and (h).
b) For shipments of a category 2 quantityquantities of radioactive material, each
shipping licensee shall comply with the requirements for physical protection
contained in Sections 337.3030(b) through (e), 337.3050(a)(2), (a)(3), (b)(2) and
(c), and 337.3060(b), (d), (f), (g) and (h). For those shipments of category 2
quantities of radioactive material that meet the criteria of 10 CFR 71.97(b), the
shipping licensee shall also comply with the advance notification provisions of 10
CFR 71.97.
c) The shipping licensee shall be responsible for meeting the requirements of this
Subpart unless the receiving licensee has agreed in writing to arrange for the in-
transit physical protection required under this Subpart.
d) Each licensee that imports or exports a category 1 quantityquantities of
radioactive material shall comply with the requirements for physical protection
during transit contained in Sections 337.3030(a)(2) and (e), 337.3040,
337.3050(a)(1), (b)(1) and (c), and 337.3060(a), (c), (e), (g) and (h) for the
domestic portion of the shipment.
e) Each licensee that imports or exports a category 2 quantityquantities of
radioactive material shall comply with the requirements for physical protection
during transit contained in Sections 337.3050(a)(2), (a)(3) and (b)(2) and
337.3060(b), (d), (f), (g) and (h) for the domestic portion of the shipment.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.3030 Preplanning and Coordination of Shipment of Category 1 or Category 2
QuantityQuantities of Radioactive Material
a) Each licensee that plans to transport, or deliver to a carrier for transport, licensed
material that is a category 1 quantity of radioactive material outside the confines
of the licensee's facility or other place of use or storage shall:
1) Preplan and coordinate shipment arrival and departure times with the
receiving licensee;
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2) Preplan and coordinate shipment information with the governor, or the
governor's designee, of any state through whichthat the shipment will pass
to:
A) Discuss the state's intention to provide law enforcement escorts;
and
B) Identify safe havens; and
3) Document the preplanning and coordination activities.
b) Each licensee that plans to transport, or deliver to a carrier for transport, licensed
material that is a category 2 quantity of radioactive material outside the confines
of the licensee's facility or other place of use or storage shall coordinate the
shipment no-later-than arrival time and the expected shipment arrival with the
receiving licensee. The licensee shall document the coordination activities.
c) Each licensee who receives a shipment of a category 2 quantity of radioactive
material shall confirm receipt of the shipment with the originator. If the shipment
has not arrived by the no-later-than arrival time, the receiving licensee shall notify
the originator.
d) Each licensee who transports or plans to transport a shipment of a category 2
quantity of radioactive material and determines that the shipment will arrive after
the no-later-than arrival time provided pursuant to subsection (b), shall promptly
notify the receiving licensee of the new no-later-than arrival time.
e) The licensee shall retain a copy of the documentation for preplanning and
coordination, and any revision thereof, as a record for 3 years.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.3040 Advance Notification of Shipment of Category 1 QuantityQuantities of
Radioactive Material
As specified in subsections (a) and (b), each licensee shall provide advance notification to IEMA
and the governor of a state, or the governor's designee, of the shipment of licensed material in a
category 1 quantity through or across the boundary of the state before the transport, or delivery
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to a carrier for transport, of the licensed material outside the confines of the licensee's facility or
other place of use or storage.
a) Procedures for Submitting Advance Notificationsubmitting advance notification.
1) The notification shall be made to IEMA and to the office of each
appropriate governor or governor's designee.
A) Notifications for the Governor of the State of Illinois and IEMA
shall be sent to Illinois Emergency Management Agency, ATTN:
Radiological Field Services Unit Supervisor, Bureau of Radiation
Safety, 1301 Knotts StreetAssistant Director, 2200 South Dirksen
Parkway, Springfield IL, Illinois 62703. The notifications for the
Governor of the State of Illinois and IEMA may also be made by
email or by facsimile. For the correct email or facsimile number,
call, prior to sending notification, to (217)782-7860 or (800)782-
7860.
B) The contact information, including telephone and mailing
addresses, of governors and governors' designees, is available on
the NRC's website at
https://scp.nrc.gov/special/designee.pdfhttp://nrc-
stp.ornl.gov/special/designee.pdf. A list of the contact information
is also available upon request from the Director, Division of
Material Safety, State, Tribal, and Rulemaking Programs, Office of
Nuclear Material Safety and SafeguardsIntergovernmental Liaison
and Rulemaking, Office of Federal and State Materials and
Environmental Management Programs, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
2) A notification delivered by mail shall be postmarked at least 7 calendar
days before transport of the shipment commences at the shipping facility.
3) A notification delivered by any means other than mail must reach IEMA at
least 4 business days before the transport of the shipment commences and
must reach the office of a governor or the governor's designee at least 4
business days before transport of a shipment within or through a state.
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b) Information to be Furnished in Advance Notification of Shipmentfurnished in
advance notification of shipment.
Each advance notification of shipment of a category 1 quantityquantities of
radioactive material shall contain the following information, if available at the
time of notification:
1) The name, address and telephone number of the shipper, carrier and
receiver of the category 1 radioactive material;
2) The license numbers of the shipper and receiver;
3) A description of the radioactive material contained in the shipment,
including the radionuclides and quantity;
4) The point of origin of the shipment and the estimated time and date that
the shipment will commence;
5) The estimated time and date that the shipment is expected to enter each
state along the route;
6) The estimated time and date of arrival of the shipment at the destination;
and
7) A point of contact, with a telephone number, for current shipment
information.
c) Revision Noticenotice.
1) The licensee shall provide any information not previously available at the
time of the initial notification as soon as the information becomes
available, but not later than commencement of the shipment, to the
governor of each state, or the governor's designee, and to IEMA.
2) A licensee shall promptly notify the governor of each state, or the
governor's designee, of any changes to the information provided in
accordance with subsections (b) and (c)(1). The licensee shall also
immediately notify IEMA of theany such changes.
d) Cancellation Noticenotice.
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Each licensee thatwho cancels a shipment for whichthat advance notification has
been sent shall send a cancellation notice to the governor of each state, or to the
governor's designee, previously notified and to IEMA. The licensee shall send
the cancellation notice before the shipment would have commenced or as soon
thereafter as possible. The licensee shall state in the notice that it is a cancellation
and identify the advance notification that is being cancelled.
e) Records.
The licensee shall retain a copy of the advance notification and any revision and
cancellation notices as a record for 3 years.
f) Protection of Information.
State officials, State employees and any other individuals, whether or not
licensees of NRC or an Agreement State, who receive schedule information of the
kind specified in subsection (b)Section 337.3040(b) shall protect that information
against unauthorized disclosure as specified in Section 337.2020(d).
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.3050 Requirements for Physical Protection of Category 1 and Category 2
Quantities of Radioactive Material During Shipment
a) Shipments by Roadroad.
1) Each licensee who transports, or delivers to a carrier for transport, in a
single shipment, a category 1 quantity of radioactive material shall:
A) Ensure that movement control centers are established that maintain
position information from a remote location. These control centers
shall monitor shipments 24 hours a day, 7 days a week, and have
the ability to communicate immediately, in an emergency, with the
appropriate law enforcement agencies.
B) Ensure that redundant communications are established that allow
the transport to contact the escort vehicle, when used, and
movement control center at all times. Redundant communications
may not be subject to the same interference factors as the primary
communication.
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C) Ensure that shipments are continuously and actively monitored by
a telemetric position monitoring system or an alternative tracking
system reporting to a movement control center. A movement
control center shall provide positive confirmation of the location,
status and control over the shipment. The movement control
center shall be prepared to promptly implement preplanned
procedures in response to deviations from the authorized route or a
notification of actual, attempted or suspicious activities related to
the theft, loss or diversion of a shipment. These procedures shall
include, but are not be limited to, the identification of and contact
information for the appropriate LLEA along the shipment route.
D) Provide an individual to accompany the driver for those highway
shipments with a driving time period greater than the maximum
number of allowable hours of service in a 24-hour duty day as
established by the U.S. Department of
Transportation'sTransportation Federal Motor Carrier Safety
Administration. The accompanying individual may be another
driver.
E) Develop written normal and contingency procedures to address:
i) Notifications to the communication center and law
enforcement agencies;
ii) Communication Protocolsprotocols.
Communication protocols thatshall include a strategy for
the use of authentication codes and duress codes and
provisions for refueling or other stops, detours and
locations where communication is expected to be
temporarily lost;
iii) Loss of communications; and
iv) Responses to an actual or attempted theft, loss or diversion
of a shipment.
F) Each licensee who makes arrangements for the shipment of a
category 1 quantityquantities of radioactive material shall ensure
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that drivers, accompanying personnel and movement control center
personnel have access to the normal and contingency procedures.
2) Each licensee that transports a category 2 quantityquantities of radioactive
material shall maintain constant control and/or surveillance during transit
and have the capability for immediate communication to summon
appropriate response or assistance.
3) Each licensee who delivers to a carrier for transport, in a single shipment,
a category 2 quantity of radioactive material shall:
A) Use carriers that have established package tracking systems. An
established package tracking system is a documented, proven and
reliable system routinely used to transport objects of value. In
order for a package tracking system to maintain constant control
and/or surveillance, the package tracking system shall allow the
shipper or transporter to identify when and where the package was
last and when it should arrive at the next point of control;
B) Use carriers that maintain constant control and/or surveillance
during transit and have the capability for immediate
communication to summon appropriate response or assistance; and
C) Use carriers that have established tracking systems that require an
authorized signature prior to releasing the package for delivery or
return.
b) Shipments by Railrail.
1) Each licensee who transports, or delivers to a carrier for transport, in a
single shipment, a category 1 quantity of radioactive material shall:
A) Ensure that rail shipments are monitored by a telemetric position
monitoring system or an alternative tracking system reporting to
the licensee, third-party or railroad communications center. The
communications center shall provide positive confirmation of the
location of the shipment and its status. The communications center
shall implement preplanned procedures in response to deviations
from the authorized route or to a notification of actual, attempted
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or suspicious activities related to the theft, loss or diversion of a
shipment. These procedures shall include, but are not be limited
to, the identification of and contact information for the appropriate
LLEA along the shipment route; and
B) Ensure that periodic reports to the communications center are
made at preset intervals.
2) Each licensee who transports, or delivers to a carrier for transport, in a
single shipment, a category 2 quantity of radioactive material shall:
A) Use carriers that have established package tracking systems. An
established package tracking system is a documented, proven and
reliable system routinely used to transport objects of value. In
order for a package tracking system to maintain constant control
and/or surveillance, the package tracking system shall allow the
shipper or transporter to identify when and where the package was
last and when it should arrive at the next point of control;
B) Use carriers that maintain constant control and/or surveillance
during transit and have the capability for immediate
communication to summon appropriate response or assistance; and
C) Use carriers that have established tracking systems that require an
authorized signature prior to releasing the package for delivery or
return.
c) Investigations.
Each licensee who makes arrangements for the shipment of a category 1
quantityquantities of radioactive material shall immediately conduct an
investigation upon the discovery that a category 1 shipment is lost or missing.
Each licensee who makes arrangements for the shipment of a category 2
quantityquantities of radioactive material shall immediately conduct an
investigation, in coordination with the receiving licensee, of any shipment that has
not arrived by the designated no-later-than arrival time.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 337.3060 Reporting of Events
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a) The shipping licensee shall notify the appropriate LLEA and IEMA's 24-hour
emergency number at (217)782-7860 or (800)782-7860 within one hour afterof its
determination that a shipment of a category 1 quantityquantities of radioactive
material is lost or missing. The appropriate LLEA would be the law enforcement
agency in the area of the shipment's last confirmed location. During the
investigation required by Section 337.3050(c), the shipping licensee will provide
agreed upon updates on the status of the investigation to the IEMAIEMA's 24-
hour emergency number on the status of the investigation.
b) The shipping licensee shall notify IEMA's 24-hour emergency number (217)782-
7860 or (800)782-7860 within 4 hours afterof its determination that a shipment of
a category 2 quantityquantities of radioactive material is lost or missing. If, after
24 hours afterof its determination that the shipment is lost or missing, the
radioactive material has not been located and secured, the licensee shall
immediately notify IEMA's 24-hour emergency number.
c) The shipping licensee shall notify the designated LLEA along the shipment route,
as soon as possible afterupon discovery of any actual or attempted theft or
diversion of a shipment or suspicious activities related to the theft or diversion of
a shipment of a category 1 quantity of radioactive material. As soon as possible
after notifying the LLEA, the licensee shall notify IEMA's 24-hour emergency
number at (217)782-7860 or (800)782-7860 upon discovery of any actual or
attempted theft or diversion of a shipment, or any suspicious activity related to the
shipment, of a category 1 quantity of radioactive material.
d) The shipping licensee shall notify IEMA's 24-hour emergency number at
(217)782-7860 or (800)782-7860 as soon as possible afterupon discovery of any
actual or attempted theft, or diversion of a shipment, or any suspicious activity
related to the shipment, of a category 2 quantity of radioactive material.
e) The shipping licensee shall notify the LLEA and IEMA's 24-hour emergency
number at (217)782-7860 or (800)782-7860 as soon as possible afterupon
recovery of any lost or missing category 1 quantityquantities of radioactive
material.
f) The shipping licensee shall notify IEMA's 24-hour emergency number at
(217)782-7860 or (800)782-7860 as soon as possible afterupon recovery of any
lost or missing category 2 quantityquantities of radioactive material.
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g) Written Reports.
Each licensee required to make a notification pursuant to subsections (a) through
(d) shall, within 30 days after making thatthe notification, submit a written report
to IEMA for incidents involving an actual or attempted theft, loss or diversion of
radioactive material. A written report is not required for notifications on
suspicious activities reported pursuant torequired by subsections (c) and (d). The
written report shall include:
1) A description of the licensed material involved, including kind, quantity
and chemical and physical form;
2) A description of the circumstances under which the actual or attempted
loss, theft or diversion occurred;
3) A statement of disposition, or probable disposition, of the licensed
material involved;
4) Actions that have been taken, or that will be taken, to recover the material;
and
5) Corrective actions taken, or will be taken, to ensure against a recurrence of
a loss, theft or diversion of licensed material.
h) Subsequent to filing the written report, the licensee shall also report any
additional substantive information on the actual or attempted loss, theft or
diversion within 30 days after the licensee learns of thesuch information.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
SUBPART E: RECORDS
Section 337.5020 Record Retention
Licensees shall maintain the records that are required in this Part for the period specified by the
appropriate section. If a retention period is not otherwise specified, these records shall be
retained until IEMA terminates the facility's license pursuant to 32 Ill. Adm. Code 330.325.
IEMA may, in writing, approve or require a shorter or longer retention period, depending on
whetherif the records are needed to determine compliance.
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(Source: Amended at 42 Ill. Reg. ______, effective ____________)
SUBPART F: ENFORCEMENT
Section 337.6010 Resolution of Requirements During Transition Period
If this Part conflicts with the licensee's radiation safety program as identified in its license or
legally binding orders, this Part shall apply, unless the statements, representations, conditions
and procedures in the license are more restrictive. However, if that licensee exercises its
privilege to amend its license, the portion amended must comply with the requirements of this
Part.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
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Section 337.APPENDIXAppendix A Category 1 and Category 2 Radioactive
MaterialMaterials
Table 1 − Category 1 and Category 2 Threshold
The terabecquerel (TBq) values are the regulatory standard. The curie (Ci) values specified are
obtained by converting from the TBq value. The curie values are provided for practical
usefulness only.
Category 1 Category 1 Category 2 Category 2
Radioactive material (TBq) (Ci) (TBq) (Ci)
Americium-241 60 1,620 0.6 16.2
Americium-241/Be 60 1,620 0.6 16.2
Californium-252 20 540 0.2 5.40
Cobalt-60 30 810 0.3 8.10
Curium-244 50 1,350 0.5 13.5
Cesium-137 100 2,700 1 27.0
Gadolinium-153 1,000 27,000 10 270
Iridium-192 80 2,160 0.8 21.6
Plutonium-238 60 1,620 0.6 16.2
Plutonium-239/Be 60 1,620 0.6 16.2
Promethium-147 40,000 1,080,000 400 10,800
Radium-226 40 1,080 0.4 10.8
Selenium-75 200 5,400 2 54.0
Strontium-90 1,000 27,000 10 270
Thulium-170 20,000 540,000 200 5,400
Ytterbium-169 300 8,100 3 81.0
Note: Calculations Concerning Multiple Sources or Multiple Radionuclides
The "sum of fractions" methodology for evaluating combinations of multiple sources or
multiple radionuclides is to be used in determining whether a location meets or exceeds
the threshold and is thus subject to the requirements.
I. If multiple sources of the same radionuclide and/or multiple radionuclides are
aggregated at a location, the sum of the ratios of the total activity of each of the
radionuclides shall be determined to verify whether the activity at the location is
less than the category 1 or category 2 thresholds of Table 1, as appropriate. If the
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calculated sum of the ratios, using the equation below, is greater than or equal to
1.0, then the applicable requirements apply.
II. First determine the total activity for each radionuclide from Table 1. This is done
by adding the activity of each individual source, material in any device, and any
loose or bulk material that contains the radionuclide. Then use the equation below
to calculate the sum of the ratios by inserting the total activity of the applicable
radionuclides from Table 1 in the numerator of the equation and the
corresponding threshold activity from Table 1 in the denominator of the equation.
Calculations shall be performed in metric values (i.e., TBq) and the numerator
and denominator values shall be in the same units.
0.12
2
1
1
1
N
ARN
RN
AR
R
AR
R
where:
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
R1 = total activity for radionuclide 1
R2 = total activity for radionuclide 2
RN = total activity for radionuclide n
AR1 = activity threshold for radionuclide 1
AR2 = activity threshold for radionuclide 2
ARN = activity threshold for radionuclide n
ILLINOIS REGISTER 3028
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1) Heading of the Part: Radioactive Materials Transportation
2) Code Citation: 32 Ill. Adm. Code 341
3) Section Number: Proposed Action:
341.10 Amendment
4) Statutory Authority: Implementing and authorized by Section 10, 11, 11.5 and 12 of the
Radiation Protection Act of 1990 [420 ILCS 40/10, 11, 11.5 and 12], and Section 9 of the
Illinois Low-Level Radioactive Waste Management Act [420 ILCS 20/9] and by Section
70 of the Nuclear Safety Law of 2004 [20 ILCS 3310/70].
5) A Complete Description of the Subjects and Issues Involved: The Agency is proposing
to amend a date reference and add an exemption in Section 341.10 to be consistent with
10 CFR 30 and 71 and maintain compatibility with the U. S. Nuclear Regulatory
Commission pursuant to RATS ID 2013-1 (published at 78 FR 16922 March 19, 2013)
and 2015-3 (published at 80 FR 33987 June 12, 2015 and 80 FR 48683 August 14, 2015).
Section 31 of the Radiation Protection Act of 1990 [420 ILCS 40/31] provides that IEMA
is exempt from rulemaking procedures in the Illinois Administrative Procedure Act when
regulations that are identical in substance are necessary to implement, secure, or maintain
federal authorization for a program. After consideration of comments from the
appropriate federal agency, the Agency may adopt the verbatim text of the laws,
regulations, or orders as necessary and appropriate for authorization or maintenance of
the program. Because this rulemaking is not subject to the Illinois Administrative
Procedure Act, and in accordance with Section 31, this rulemaking will become effective
following the first notice period immediately upon filing for adoption with the Secretary
of State or at a date required or authorized by the relevant federal laws, regulations, or
orders as stated in the notice of the rulemaking, and shall be published in the Illinois
Register.
6) Any published studies or reports, along with the sources of underlying data, that were
used when composing this rulemaking, in accordance with 1 Ill Adm. Code 100.355:
None
7) Will this rulemaking replace an emergency rule currently in effect? No
8) Does this rulemaking contain an automatic repeal date? No
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9) Does this rulemaking contain incorporations by reference? Yes
10) Are there any other rulemakings pending on this Part? No
11) Statement of Statewide Policy Objective: The requirements imposed by the proposed
rulemaking are not expected to require local governments to establish, expand or modify
their activities in such a way as to necessitate additional expenditures from local
revenues.
12) Time, Place and Manner in which interested persons may comment on this proposed
Rulemaking: Comments on this proposed rulemaking may be submitted in writing for a
period of 45 days following publication of this Notice. The Agency will consider fully
all written comments on this proposed rulemaking submitted during the 45 day comment
period. Comments should be submitted to:
Traci Burton, Paralegal Assistant
Illinois Emergency Management Agency
1035 Outer Park Drive
Springfield IL 62704
217/785-9860
13) Initial Regulatory Flexibility Analysis:
A) Types of small businesses, small municipalities or not-for-profit corporations
affected: The Agency believes that this rulemaking will have no direct impact on
any small businesses, small municipalities or not for profit corporations.
B) Reporting, bookkeeping or other procedures required for compliance: None
C) Types of professional skills necessary for compliance: None
14) Regulatory Agenda on which this rulemaking was summarized: January 2018
The full text of the Proposed Amendment begins on the next page:
ILLINOIS REGISTER 3030
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TITLE 32: ENERGY
CHAPTER II: ILLINOIS EMERGENCY MANAGEMENT AGENCY
SUBCHAPTER b: RADIATION PROTECTION
PART 341
RADIOACTIVE MATERIALS TRANSPORTATION
Section
341.10 Scope
341.20 Incorporations by Reference
341.25 Definitions
341.30 General License
341.40 Records
341.50 Reports
AUTHORITY: Implementing and authorized by Section 10, 11, 11.5 and 12 of the Radiation
Protection Act of 1990 [420 ILCS 40/10, 11, 11.5 and 12], and Section 9 of the Illinois Low-
Level Radioactive Waste Management Act [420 ILCS 20/9], and by Section 70 of the Nuclear
Safety Law of 2004 [20 ILCS 3310/70].
SOURCE: Adopted at 10 Ill. Reg. 17616, effective September 25, 1986; amended at 11 Ill. Reg.
5219, effective March 13, 1987; amended at 12 Ill. Reg. 2434, effective January 15, 1988;
amended at 18 Ill. Reg. 4196, effective March 3, 1994; recodified from the Department of
Nuclear Safety to the Illinois Emergency Management Agency at 27 Ill. Reg. 13641; old Part
repealed and new Part adopted at 29 Ill. Reg. 6911, effective May 2, 2005; amended at 30 Ill.
Reg. 9160, effective April 28, 2006; amended at 39 Ill. Reg. 9928, effective July 1, 2015;
amended at 42 Ill. Reg. ______, effective ____________.
Section 341.10 Scope
a) This Part applies to each licensee who transports licensed material outside the site
where the licensee is authorized to possess and use the material or who transports
the material on public highways or who delivers the material to a carrier for
transport. The licensee shall comply with the regulations in this Part, the
applicable requirements of the U.S. Nuclear Regulatory Commission (NRC) in 10
CFR 71, in effect as of July 13, 2015November 14, 2014, exclusive of subsequent
amendments or editions, and the applicable requirements of the U.S. Department
of Transportation (USDOT) regulations appropriate to the mode of transport in 49
ILLINOIS REGISTER 3031
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CFR 170-189, in effect as of July 13, 2015November 14, 2014, exclusive of
subsequent amendments or editions.
b) When the licensee is not in areas under the jurisdiction of USDOT or NRC, but is
in an area of jurisdiction of the State of Illinois as described in subsection (a) of
this Section, the licensee shall comply with the following portions of USDOT and
NRC regulations, as applicable:
1) Packaging, 49 CFR 173, subparts A, B and I;
2) Marking and labeling, 49 CFR 172, subpart D, paragraphs 172.400-
172.407, 172.436-172.440 and subpart E;
3) Placarding, 49 CFR 172, subpart F, paragraphs 172.500-172.519 and
172.556; and appendices B and C;
4) Shipping papers and emergency information, 49 CFR 172, subparts C and
G;
5) Accident reporting, 49 CFR 171.15 and 171.16;
6) Hazardous material shipper/carrier requirements, 49 CFR 107, subpart G;
7) Hazardous material employee training, 49 CFR 172, subpart H;
8) Definitions, 10 CFR 71.4;
9) Transportation of licensed material, 10 CFR 71.5;
10) Exemptions for low level material, 10 CFR 71.14(a);
11) General license: NRC-approved package, 10 CFR 71.17;
12) Previously approved package, 10 CFR 71.19(a) and (b);
13) General license: USDOT specification container material, 10 CFR 71.20;
14) General license: Use of foreign approved package, 10 CFR 71.21;
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15) General license: Fissile material, 10 CFR 71.22;
16) External radiation standards for all packages, 10 CFR 71.47;
17) Assumptions as to unknown properties, 10 CFR 71.83;
18) Preliminary determinations, 10 CFR 71.85;
19) Routine determinations, 10 CFR 71.87;
20) Air transportation of plutonium, 10 CFR 71.88;
21) Opening instructions, 10 CFR 71.89;
22) Advance notification of shipment of irradiated reactor fuel and nuclear
waste, 10 CFR 71.97;
23) Quality assurance requirements, 10 CFR 71.101(a), (b), (c), (f) and (g);
24) Quality assurance organization, 10 CFR 71.103;
25) Quality assurance program, 10 CFR 71.105; and
26) Determination of A1 and A2, 10 CFR 71, appendix A.
c) The licensee shall also comply with USDOT regulations pertaining to the
following modes of transportation:
1) Rail, 49 CFR 174, subparts A-D and K;
2) Air, 49 CFR 175;
3) Vessel, 49 CFR 176, subparts A-F and M; and
4) Public highway, 49 CFR 177 and 390-397.
d) If USDOT regulations are not applicable to a shipment of licensed material as
described in subsection (a), the licensee shall conform to the standards and
requirements of USDOT specified in subsection (a) to the same extent as if the
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shipment or transportation were subject to USDOT regulations. A request for
modification, waiver or exemption from those requirements, and any notification
referred to in those requirements, must be filed with, or made to, the Agency.
e) Common and contract carriers, freight forwarders, warehousemen and the U.S.
Postal Service are exempt from the requirements for a license set forth in 420
ILCS 40/10, 11 and 12 and in 32 Ill. Adm. Code 330, 335, 337, 346, 350 and 351
to the extent that they transport or store byproduct material in the regular course
of carriage for another or storage incident to that carriage.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
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1) Heading of the Part: Status Signals for Nuclear Power Reactors
2) Code Citation: 32 Ill. Adm. Code 504
3) Section Numbers: Proposed Actions:
504.20 Amendment
504.40 Amendment
504.50 Amendment
504.70 Amendment
4) Statutory Authority: Implementing and authorized by Section 8(c) of the Illinois Nuclear
Safety Preparedness Act [420 ILCS 5/8(c)].
5) A Complete Description of the Subjects and Issues Involved: IEMA is proposing to
amend Part 504 to update definitions to current language and change timeframes to more
accurately reflect current process.
6) Any published studies or reports, along with the sources of underlying data, that were
used when composing this rulemaking, in accordance with 1 Ill. Adm. Code 100.335: No
studies or reports were used in drafting this amendment to 32 Ill. Adm. Code 504
7) Will this rulemaking replace an emergency rule currently in effect? No
8) Does this rulemaking contain an automatic repeal date? No
9) Does this rulemaking contain incorporations by reference? No
10) Are there any other rulemakings pending on this Part? No
11) Statement of Statewide Policy Objective: The requirements imposed by this
proposed rulemaking are not expected to require local governments to establish, expand
or modify their activities in such a way as to necessitate additional expenditures from
local revenues.
12) Time, Place and Manner in which interested persons may comment on this proposed
rulemaking: Comments on this proposed rulemaking may be submitted in writing for a
period of 45 days following publication of this Notice. The Agency will consider fully
all written comments on this proposed rulemaking submitted during the 45 day comment
period. Comments should be submitted to:
ILLINOIS REGISTER 3035
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ILLINOIS EMERGENCY MANAGEMENT AGENCY
NOTICE OF PROPOSED AMENDMENTS
Traci Burton
Paralegal Assistant
Illinois Emergency Management Agency
1035 Outer Park Drive
Springfield IL 62704
217/785-9860
13) Initial Regulatory Flexibility Analysis:
A) Types of small businesses, small municipalities or not-for-profit corporations
affected: This proposed rulemaking does not affect these three entities.
B) Reporting, bookkeeping or other procedures required for compliance: None
C) Types of professional skills necessary for compliance: None
14) Regulatory Agenda on which this rulemaking was summarized: July 2017
The full text of the Proposed Amendments begins on the next page:
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TITLE 32: ENERGY
CHAPTER II: ILLINOIS EMERGENCY MANAGEMENT AGENCY
SUBCHAPTER c: NUCLEAR FACILITY SAFETY
PART 504
STATUS SIGNALS FOR NUCLEAR POWER REACTORS
Section
504.10 Policy and Scope
504.20 Definitions
504.30 Protocol for Data Transmissions
504.40 Equipment
504.50 Updating Station Catalogues and System Status Signals Catalogue
504.60 Implementation of System Status Signals Catalogue
504.70 Availability
AUTHORITY: Implementing and authorized by Section 8(c) of the Illinois Nuclear Safety
Preparedness Act [420 ILCS 5].
SOURCE: Adopted at 16 Ill. Reg. 11544, effective July 7, 1992; recodified from the
Department of Nuclear Safety to the Illinois Emergency Management Agency at 27 Ill. Reg.
13641; amended at 33 Ill. Reg. 2254, effective January 23, 2009; amended at 42 Ill. Reg.
______, effective ____________.
Section 504.20 Definitions
As used in this Part, the following definitions will apply:
"Agency" means the Illinois Emergency Management Agency.
"Communication Link" means the network connectiontelephone line or other
connection between the Agency supplied communication hardwaremodem on the
owner's premises to the Agency's headquarters in Springfield, Illinois.
"Owner" means the owner and operator of the nuclear power reactor.
"Point" means the system parameter being monitored.
"RDL" means the Reactor Data Link for a reactor. The RDL includes the entire
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system by which the owner provides and the Agency receives a System Status
Signals Catalogue at the Agency's headquarters in Springfield, Illinois.
"RDL outage" means any breakdown in the RDL that prevents the normal
continuous data transmission of the System Status Signals Catalogue to the
Agency's headquarters in Springfield, Illinois.
"Reactor" means a nuclear power reactor.
"Station Catalogue" means the complete and inclusive list of all computer
monitored points available for transmission from a nuclear power station from
which the System Status Signals Catalogue for each reactor is chosen.
"Station Computer" means the computer or computers thatwhich collect and
transfer data to the Agency's communication hardwaremodems.
"System Status Signals Catalogue" means the points selected by the Agency from
the Station Catalogue to be transmitted over the Communications Link. A System
Status Signals Catalogue is selected for each reactor.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 504.40 Equipment
a) The Agency shall provide communication hardwarea modem to the owner and
shall establish a Communication Link. All Agency owned equipment shall be
maintained by the Agency.
b) Agency personnel and agents shall have access to all Agency equipment located
at the nuclear station site, subject to any security requirements imposed by law,
regulation, or normal security practices of the owner, including Fitness-For-Duty
requirements.
c) The owner shall provide and maintain necessary hardware and software at its
reactor site to communicate via the Agency supplied communication
hardwaremodem.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
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Section 504.50 Updating Station Catalogues and System Status Signals Catalogue
a) For each point included in the Station Catalogue, the Station Catalogue shall
contain, as a minimum, the name of the point; a description of each parameter
(point) measured, sensed or calculated; the units of measure for analog points; the
state indication for digital points, e.g., open or closed, on or off; and the type of
point, e.g., analog or digital.
b) On the effective date of this Part, the Agency will consider the current Station
Catalogue for each nuclear power station to be the most recent Station Catalogue
that was provided the Agency pursuant to the prerulemaking arrangement
between the owner and the Agency.
c) The owner shall provide the Agency an updated Station Catalogue for each
nuclear power station at six month180 day intervals. In the event that the Station
Catalogue remained unchanged, the owner shall notify the Agency that no
changes were made, in lieu of providing an updated Station Catalogue. The end
of each six month180 day interval shall be consistent with the end of the
prerulemaking six month180 day interval already in effect for the owner under the
prerulemaking arrangement between the owner and the Agency. The Agency
may lengthen the Station Catalogue submission interval at any time.
d) Within 14 calendar days after receipt of an updated Station Catalogue, the Agency
shall provide the owner with notice of any changes to the System Status Signals
Catalogue.
e) The Agency shall select points for the System Status Signals Catalogue from the
updated Station Catalogue using the following criteria:
1) those points by which the off-site radiological consequences can be
determined;
2) those points by which challenges to, and failures of, the clad, the primary
boundary, and the containment structures can be determined;
3) those points by which short and long-term decay heat removal capabilities
can be determined; or
4) those points by which on and off-site station electrical power status can be
ILLINOIS REGISTER 3039
18
ILLINOIS EMERGENCY MANAGEMENT AGENCY
NOTICE OF PROPOSED AMENDMENTS
determined.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 504.70 Availability
a) Each owner shall transmit a System Status Signals Catalogue for each reactor
over a Communications Link continuously 24 hours a day during all modes of
reactor operation (including defueled conditions) as well as throughout accident
and subsequent recovery operations, except during planned station computer and
RDL system outages or unplanned station computer and RDL system outages
beyond the control of the owner. The owner shall establish measures to assure
that unplanned RDL system outages are promptly identified and corrected and
that the root cause of the RDL outage is determined and corrective action taken to
preclude repetition whenwhere appropriate.
b) In the event of an RDL outage, or station computer outage, the owner, when
required by the Agency, shall establish a point of technical contact with the
Agency to communicate reactor status information until the RDL is restored.
c) In the event of a planned or unplanned station computer outage, data transmission
to the Agency shall be restored as soon as possible after the station computer's
return to service.
d) The Agency's access to the System Status Signals Catalogue shall not be
intentionally degraded by the owner's computer usage unless thatsuch usage is
necessary to protect public health and safety as required under the Nuclear
Regulatory Commission license, and the degradationdegration of access cannot be
avoided.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 3040
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
1) Heading of the Part: Medical Payment
2) Code Citation: 89 Ill. Adm. Code 140
3) Section Numbers: Proposed Actions:
140.452 Amendment
140.453 Amendment
140.454 Amendment
140.455 Amendment
140.456 Amendment
140.460 Amendment
140.499 New Section
140.TABLE N New Section
140.TABLE O New Section
4) Statutory Authority: Section 12-13 of the Illinois Public Aid Code [305 ILCS 5/12-13]
5) Complete Description of the Subjects and Issues Involved: This proposed rulemaking:
delineates Medicaid Community-based Mental Health Services within the Medical
Payment Subpart of the Department's administrative rules; clarifies staff qualifications,
provider types and service definitions for Community-based Mental Health Services;
outlines program approval requirements and standards for several Medicaid Community-
based Mental Health Services; and includes administrative updates to accommodate these
changes.
6) Published studies or reports, and sources of underlying data, used to compose this
rulemaking: None
7) Will this rulemaking replace any emergency rule currently in effect? No
8) Does this rulemaking contain an automatic repeal date? No
9) Does this rulemaking contain incorporations by reference? No
10) Are there any other rulemakings pending on this Part? Yes
Section Numbers: Proposed Actions: Illinois Register Citation:
140.20 Amendment 41 Ill. Reg. 3098; March 17, 2017
140.475 Amendment 41 Ill. Reg. 3098; March 17, 2017
ILLINOIS REGISTER 3041
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
140.481 Amendment 41 Ill. Reg. 3098; March 17, 2017
140.471 Amendment 41 Ill. Reg. 11478; September 15, 2017
140.472 Amendment 41 Ill. Reg. 11478; September 15, 2017
140.473 Amendment 41 Ill. Reg. 11478; September 15, 2017
140.474 Amendment 41 Ill. Reg. 11478; September 15, 2017
140.475 Amendment 41 Ill. Reg. 11478; September 15, 2017
140.94 Repealed 41 Ill. Reg. 12709; October 13, 2017
140.95 Repealed 41 Ill. Reg. 12709; October 13, 2017
140.44 Amendment 41 Ill. Reg. 13532; November 13, 2017
140.417 Amendment 42 Ill. Reg. 27; January 5, 2018
11) Statement of Statewide Policy Objective: This rulemaking does not affect units of local
government.
12) Time, Place, and Manner in which interested persons may comment on this rulemaking:
Any interested parties may submit comments, data, views, or arguments concerning this
proposed rulemaking. All comments must be in writing and should be addressed to:
Christopher Gange
Acting General Counsel
Illinois Department of Healthcare and Family Services
201 South Grand Avenue East, 3rd Floor
Springfield IL 62763-0002
217/782-1233
The Department requests the submission of written comments within 45 days after the
publication of this Notice. The Department will consider all written comments it receives
during the first notice period as required by Section 5-40 of the Illinois Administrative
Procedure Act [5 ILCS 100/5-40].
13) Initial Regulatory Flexibility Analysis:
A) Types of small businesses, small municipalities and not-for-profit corporations
affected: None
B) Reporting, bookkeeping or other procedures required for compliance: None
ILLINOIS REGISTER 3042
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
C) Types of professional skills necessary for compliance: None
14) Regulatory Agenda on which this rulemaking was summarized: This rulemaking was
included in the July 2016 Regulatory Agenda.
The full text of the Proposed Amendments begins on the next page:
ILLINOIS REGISTER 3043
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
TITLE 89: SOCIAL SERVICES
CHAPTER I: DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
SUBCHAPTER d: MEDICAL PROGRAMS
PART 140
MEDICAL PAYMENT
SUBPART A: GENERAL PROVISIONS
Section
140.1 Incorporation By Reference
140.2 Medical Assistance Programs
140.3 Covered Services Under Medical Assistance Programs
140.4 Covered Medical Services Under AFDC-MANG for non-pregnant persons who
are 18 years of age or older (Repealed)
140.5 Covered Medical Services Under General Assistance
140.6 Medical Services Not Covered
140.7 Medical Assistance Provided to Individuals Under the Age of Eighteen Who Do
Not Qualify for AFDC and Children Under Age Eight
140.8 Medical Assistance For Qualified Severely Impaired Individuals
140.9 Medical Assistance for a Pregnant Woman Who Would Not Be Categorically
Eligible for AFDC/AFDC-MANG if the Child Were Already Born Or Who Do
Not Qualify As Mandatory Categorically Needy
140.10 Medical Assistance Provided to Persons Confined or Detained by the Criminal
Justice System
SUBPART B: MEDICAL PROVIDER PARTICIPATION
Section
140.11 Enrollment Conditions for Medical Providers
140.12 Participation Requirements for Medical Providers
140.13 Definitions
140.14 Denial of Application to Participate in the Medical Assistance Program
140.15 Suspension and Denial of Payment, Recovery of Money and Penalties
140.16 Termination, Suspension or Exclusion of a Vendor's Eligibility to Participate in
the Medical Assistance Program
140.17 Suspension of a Vendor's Eligibility to Participate in the Medical Assistance
Program
140.18 Effect of Termination, Suspension, Exclusion or Revocation on Persons
ILLINOIS REGISTER 3044
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
Associated with Vendor
140.19 Application to Participate or for Reinstatement Subsequent to Termination,
Suspension, Exclusion or Barring
140.20 Submittal of Claims
140.21 Reimbursement for QMB Eligible Medical Assistance Recipients and QMB
Eligible Only Recipients and Individuals Who Are Entitled to Medicare Part A or
Part B and Are Eligible for Some Form of Medicaid Benefits
140.22 Magnetic Tape Billings (Repealed)
140.23 Payment of Claims
140.24 Payment Procedures
140.25 Overpayment or Underpayment of Claims
140.26 Payment to Factors Prohibited
140.27 Assignment of Vendor Payments
140.28 Record Requirements for Medical Providers
140.30 Audits
140.31 Emergency Services Audits
140.32 Prohibition on Participation, and Special Permission for Participation
140.33 Publication of List of Sanctioned Entities
140.35 False Reporting and Other Fraudulent Activities
140.40 Prior Approval for Medical Services or Items
140.41 Prior Approval in Cases of Emergency
140.42 Limitation on Prior Approval
140.43 Post Approval for Items or Services When Prior Approval Cannot Be Obtained
140.44 Withholding of Payments Due to Fraud or Misrepresentation
140.45 Withholding of Payments Upon Provider Audit, Quality of Care Review, Credible
Allegation of Fraud or Failure to Cooperate
140.55 Electronic Data Interchange Service
140.71 Reimbursement for Medical Services Through the Use of a C-13 Invoice Voucher
Advance Payment and Expedited Payments
140.72 Drug Manual (Recodified)
140.73 Drug Manual Updates (Recodified)
140.74 Resolution of Claims Related to Inaccurate or Updated Enrollment Information
SUBPART C: PROVIDER ASSESSMENTS
Section
140.80 Hospital Provider Fund
140.82 Developmentally Disabled Care Provider Fund
140.84 Long Term Care Provider Fund
ILLINOIS REGISTER 3045
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
140.86 Supportive Living Facility Funds
140.94 Medicaid Developmentally Disabled Provider Participation Fee Trust
Fund/Medicaid Long Term Care Provider Participation Fee Trust Fund
140.95 Hospital Services Trust Fund
140.96 General Requirements (Recodified)
140.97 Special Requirements (Recodified)
140.98 Covered Hospital Services (Recodified)
140.99 Hospital Services Not Covered (Recodified)
140.100 Limitation On Hospital Services (Recodified)
140.101 Transplants (Recodified)
140.102 Heart Transplants (Recodified)
140.103 Liver Transplants (Recodified)
140.104 Bone Marrow Transplants (Recodified)
140.110 Disproportionate Share Hospital Adjustments (Recodified)
140.116 Payment for Inpatient Services for GA (Recodified)
140.117 Hospital Outpatient and Clinic Services (Recodified)
140.200 Payment for Hospital Services During Fiscal Year 1982 (Recodified)
140.201 Payment for Hospital Services After June 30, 1982 (Repealed)
140.202 Payment for Hospital Services During Fiscal Year 1983 (Recodified)
140.203 Limits on Length of Stay by Diagnosis (Recodified)
140.300 Payment for Pre-operative Days and Services Which Can Be Performed in an
Outpatient Setting (Recodified)
140.350 Copayments (Recodified)
140.360 Payment Methodology (Recodified)
140.361 Non-Participating Hospitals (Recodified)
140.362 Pre July 1, 1989 Services (Recodified)
140.363 Post June 30, 1989 Services (Recodified)
140.364 Prepayment Review (Recodified)
140.365 Base Year Costs (Recodified)
140.366 Restructuring Adjustment (Recodified)
140.367 Inflation Adjustment (Recodified)
140.368 Volume Adjustment (Repealed)
140.369 Groupings (Recodified)
140.370 Rate Calculation (Recodified)
140.371 Payment (Recodified)
140.372 Review Procedure (Recodified)
140.373 Utilization (Repealed)
140.374 Alternatives (Recodified)
140.375 Exemptions (Recodified)
ILLINOIS REGISTER 3046
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
140.376 Utilization, Case-Mix and Discretionary Funds (Repealed)
140.390 Subacute Alcoholism and Substance Abuse Services (Recodified)
140.391 Definitions (Recodified)
140.392 Types of Subacute Alcoholism and Substance Abuse Services (Recodified)
140.394 Payment for Subacute Alcoholism and Substance Abuse Services (Recodified)
140.396 Rate Appeals for Subacute Alcoholism and Substance Abuse Services
(Recodified)
140.398 Hearings (Recodified)
SUBPART D: PAYMENT FOR NON-INSTITUTIONAL SERVICES
Section
140.400 Payment to Practitioners
140.402 Copayments for Noninstitutional Medical Services
140.403 Telehealth Services
140.405 Non-Institutional Rate Reductions
140.410 Physicians' Services
140.411 Covered Services By Physicians
140.412 Services Not Covered By Physicians
140.413 Limitation on Physician Services
140.414 Requirements for Prescriptions and Dispensing of Pharmacy Items – Prescribers
140.416 Optometric Services and Materials
140.417 Limitations on Optometric Services
140.418 Department of Corrections Laboratory
140.420 Dental Services
140.421 Limitations on Dental Services
140.422 Requirements for Prescriptions and Dispensing Items of Pharmacy Items –
Dentists (Repealed)
140.423 Licensed Clinical Psychologist Services
140.424 Licensed Clinical Social Worker Services
140.425 Podiatry Services
140.426 Limitations on Podiatry Services
140.427 Requirement for Prescriptions and Dispensing of Pharmacy Items – Podiatry
(Repealed)
140.428 Chiropractic Services
140.429 Limitations on Chiropractic Services (Repealed)
140.430 Independent Clinical Laboratory Services
140.431 Services Not Covered by Independent Clinical Laboratories
140.432 Limitations on Independent Clinical Laboratory Services
ILLINOIS REGISTER 3047
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
140.433 Payment for Clinical Laboratory Services
140.434 Record Requirements for Independent Clinical Laboratories
140.435 Advanced Practice Nurse Services
140.436 Limitations on Advanced Practice Nurse Services
140.438 Diagnostic Imaging Services
140.440 Pharmacy Services
140.441 Pharmacy Services Not Covered
140.442 Prior Approval of Prescriptions
140.443 Filling of Prescriptions
140.444 Compounded Prescriptions
140.445 Legend Prescription Items (Not Compounded)
140.446 Over-the-Counter Items
140.447 Reimbursement
140.448 Returned Pharmacy Items
140.449 Payment of Pharmacy Items
140.450 Record Requirements for Pharmacies
140.451 Prospective Drug Review and Patient Counseling
140.452 Community-based Mental Health Providers Qualified for PaymentServices
140.453 Community-based Mental Health Service Definitions and Professional
Qualifications
140.454 Types of Mental Health Services
140.455 Payment for Mental Health Services
140.456 Hearings
140.457 Therapy Services
140.458 Prior Approval for Therapy Services
140.459 Payment for Therapy Services
140.460 Clinic Services
140.461 Clinic Participation, Data and Certification Requirements
140.462 Covered Services in Clinics
140.463 Clinic Service Payment
140.464 Hospital-Based and Encounter Rate Clinic Payments
140.465 Speech and Hearing Clinics (Repealed)
140.466 Rural Health Clinics (Repealed)
140.467 Independent Clinics
140.469 Hospice
140.470 Eligible Home Health Care, Nursing and Public Health Providers
140.471 Description of Home Health Care Services
140.472 Types of Home Health Care Services
140.473 Prior Approval for Home Health Care Services
ILLINOIS REGISTER 3048
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
140.474 Payment for Home Health Care Services
140.475 Medical Equipment, Supplies, Prosthetic Devices and Orthotic Devices
140.476 Medical Equipment, Supplies, Prosthetic Devices and Orthotic Devices for Which
Payment Will Not Be Made
140.477 Limitations on Equipment, Prosthetic Devices and Orthotic Devices
140.478 Prior Approval for Medical Equipment, Supplies, Prosthetic Devices and Orthotic
Devices
140.479 Limitations, Medical Supplies
140.480 Equipment Rental Limitations
140.481 Payment for Medical Equipment, Supplies, Prosthetic Devices and Hearing Aids
140.482 Family Planning Services
140.483 Limitations on Family Planning Services
140.484 Payment for Family Planning Services
140.485 Healthy Kids Program
140.486 Illinois Healthy Women
140.487 Healthy Kids Program Timeliness Standards
140.488 Periodicity Schedules, Immunizations and Diagnostic Laboratory Procedures
140.490 Medical Transportation
140.491 Medical Transportation Limitations and Authorization Process
140.492 Payment for Medical Transportation
140.493 Payment for Helicopter Transportation
140.494 Record Requirements for Medical Transportation Services
140.495 Psychological Services
140.496 Payment for Psychological Services
140.497 Hearing Aids
140.498 Fingerprint-Based Criminal Background Checks
140.499 Behavioral Health Clinic
SUBPART E: GROUP CARE
Section
140.500 Long Term Care Services
140.502 Cessation of Payment at Federal Direction
140.503 Cessation of Payment for Improper Level of Care
140.504 Cessation of Payment Because of Termination of Facility
140.505 Informal Hearing Process for Denial of Payment for New ICF/MR
140.506 Provider Voluntary Withdrawal
140.507 Continuation of Provider Agreement
140.510 Determination of Need for Group Care
ILLINOIS REGISTER 3049
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
140.511 Long Term Care Services Covered By Department Payment
140.512 Utilization Control
140.513 Notification of Change in Resident Status
140.514 Certifications and Recertifications of Care (Repealed)
140.515 Management of Recipient Funds – Personal Allowance Funds
140.516 Recipient Management of Funds
140.517 Correspondent Management of Funds
140.518 Facility Management of Funds
140.519 Use or Accumulation of Funds
140.520 Management of Recipient Funds – Local Office Responsibility
140.521 Room and Board Accounts
140.522 Reconciliation of Recipient Funds
140.523 Bed Reserves
140.524 Cessation of Payment Due to Loss of License
140.525 Quality Incentive Program (QUIP) Payment Levels
140.526 County Contribution to Medicaid Reimbursement (Repealed)
140.527 Quality Incentive Survey (Repealed)
140.528 Payment of Quality Incentive (Repealed)
140.529 Reviews (Repealed)
140.530 Basis of Payment for Long Term Care Services
140.531 General Service Costs
140.532 Health Care Costs
140.533 General Administration Costs
140.534 Ownership Costs
140.535 Costs for Interest, Taxes and Rent
140.536 Organization and Pre-Operating Costs
140.537 Payments to Related Organizations
140.538 Special Costs
140.539 Reimbursement for Basic Nursing Assistant, Developmental Disabilities Aide,
Basic Child Care Aide and Habilitation Aide Training and Nursing Assistant
Competency Evaluation
140.540 Costs Associated With Nursing Home Care Reform Act and Implementing
Regulations
140.541 Salaries Paid to Owners or Related Parties
140.542 Cost Reports – Filing Requirements
140.543 Time Standards for Filing Cost Reports
140.544 Access to Cost Reports (Repealed)
140.545 Penalty for Failure to File Cost Reports
140.550 Update of Operating Costs
ILLINOIS REGISTER 3050
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
140.551 General Service Costs Updates
140.552 Nursing and Program Costs
140.553 General Administrative Costs Updates
140.554 Component Inflation Index (Repealed)
140.555 Minimum Wage
140.560 Components of the Base Rate Determination
140.561 Support Costs Components
140.562 Nursing Costs
140.563 Capital Costs
140.565 Kosher Kitchen Reimbursement
140.566 Out-of-State Placement
140.567 Level II Incentive Payments (Repealed)
140.568 Duration of Incentive Payments (Repealed)
140.569 Clients With Exceptional Care Needs
140.570 Capital Rate Component Determination
140.571 Capital Rate Calculation
140.572 Total Capital Rate
140.573 Other Capital Provisions
140.574 Capital Rates for Rented Facilities
140.575 Newly Constructed Facilities (Repealed)
140.576 Renovations (Repealed)
140.577 Capital Costs for Rented Facilities (Renumbered)
140.578 Property Taxes
140.579 Specialized Living Centers
140.580 Mandated Capital Improvements (Repealed)
140.581 Qualifying as Mandated Capital Improvement (Repealed)
140.582 Cost Adjustments
140.583 Campus Facilities
140.584 Illinois Municipal Retirement Fund (IMRF)
140.590 Audit and Record Requirements
140.642 Screening Assessment for Nursing Facility and Alternative Residential Settings
and Services
140.643 In-Home Care Program
140.645 Home and Community Based Services Waivers for Medically Fragile,
Technology Dependent, Disabled Persons Under Age 21 (Repealed)
140.646 Reimbursement for Developmental Training (DT) Services for Individuals With
Developmental Disabilities Who Reside in Long Term Care (ICF and SNF) and
Residential (ICF/MR) Facilities
140.647 Description of Developmental Training (DT) Services
ILLINOIS REGISTER 3051
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
140.648 Determination of the Amount of Reimbursement for Developmental Training
(DT) Programs
140.649 Effective Dates of Reimbursement for Developmental Training (DT) Programs
140.650 Certification of Developmental Training (DT) Programs
140.651 Decertification of Day Programs
140.652 Terms of Assurances and Contracts
140.680 Effective Date Of Payment Rate
140.700 Discharge of Long Term Care Residents
140.830 Appeals of Rate Determinations
140.835 Determination of Cap on Payments for Long Term Care (Repealed)
SUBPART F: FEDERAL CLAIMING FOR STATE AND
LOCAL GOVERNMENTAL ENTITIES
Section
140.850 Reimbursement of Administrative Expenditures
140.855 Administrative Claim Review and Reconsideration Procedure
140.860 County Owned or Operated Nursing Facilities
140.865 Sponsor Qualifications (Repealed)
140.870 Sponsor Responsibilities (Repealed)
140.875 Department Responsibilities (Repealed)
140.880 Provider Qualifications (Repealed)
140.885 Provider Responsibilities (Repealed)
140.890 Payment Methodology (Repealed)
140.895 Contract Monitoring (Repealed)
140.896 Reimbursement For Program Costs (Active Treatment) For Clients in Long Term
Care Facilities For the Developmentally Disabled (Recodified)
140.900 Reimbursement For Nursing Costs For Geriatric Residents in Group Care
Facilities (Recodified)
140.901 Functional Areas of Needs (Recodified)
140.902 Service Needs (Recodified)
140.903 Definitions (Recodified)
140.904 Times and Staff Levels (Repealed)
140.905 Statewide Rates (Repealed)
140.906 Reconsiderations (Recodified)
140.907 Midnight Census Report (Recodified)
140.908 Times and Staff Levels (Recodified)
140.909 Statewide Rates (Recodified)
140.910 Referrals (Recodified)
ILLINOIS REGISTER 3052
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
140.911 Basic Rehabilitation Aide Training Program (Recodified)
140.912 Interim Nursing Rates (Recodified)
SUBPART G: MATERNAL AND CHILD HEALTH PROGRAM
Section
140.920 General Description
140.922 Covered Services
140.924 Maternal and Child Health Provider Participation Requirements
140.926 Client Eligibility (Repealed)
140.928 Client Enrollment and Program Components (Repealed)
140.930 Reimbursement
140.932 Payment Authorization for Referrals (Repealed)
SUBPART H: ILLINOIS COMPETITIVE ACCESS AND
REIMBURSEMENT EQUITY (ICARE) PROGRAM
Section
140.940 Illinois Competitive Access and Reimbursement Equity (ICARE) Program
(Recodified)
140.942 Definition of Terms (Recodified)
140.944 Notification of Negotiations (Recodified)
140.946 Hospital Participation in ICARE Program Negotiations (Recodified)
140.948 Negotiation Procedures (Recodified)
140.950 Factors Considered in Awarding ICARE Contracts (Recodified)
140.952 Closing an ICARE Area (Recodified)
140.954 Administrative Review (Recodified)
140.956 Payments to Contracting Hospitals (Recodified)
140.958 Admitting and Clinical Privileges (Recodified)
140.960 Inpatient Hospital Care or Services by Non-Contracting Hospitals Eligible for
Payment (Recodified)
140.962 Payment to Hospitals for Inpatient Services or Care not Provided under the
ICARE Program (Recodified)
140.964 Contract Monitoring (Recodified)
140.966 Transfer of Recipients (Recodified)
140.968 Validity of Contracts (Recodified)
140.970 Termination of ICARE Contracts (Recodified)
140.972 Hospital Services Procurement Advisory Board (Recodified)
140.980 Elimination Of Aid To The Medically Indigent (AMI) Program (Emergency
ILLINOIS REGISTER 3053
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
Expired)
140.982 Elimination Of Hospital Services For Persons Age Eighteen (18) And Older And
Persons Married And Living With Spouse, Regardless Of Age (Emergency
Expired)
SUBPART I: PRIMARY CARE CASE MANAGEMENT PROGRAM
Section
140.990 Primary Care Case Management Program
140.991 Primary Care Provider Participation Requirements
140.992 Populations Eligible to Participate in the Primary Care Case Management
Program
140.993 Care Management Fees
140.994 Panel Size and Affiliated Providers
140.995 Mandatory Enrollment
140.996 Access to Health Care Services
140.997 Payment for Services
SUBPART J: ALTERNATE PAYEE PARTICIPATION
Section
140.1001 Registration Conditions for Alternate Payees
140.1002 Participation Requirements for Alternate Payees
140.1003 Recovery of Money for Alternate Payees
140.1004 Conditional Registration for Alternate Payees
140.1005 Revocation of an Alternate Payee
SUBPART K: MANDATORY MCO ENROLLMENT
Section
140.1010 Mandatory Enrollment in MCOs
SUBPART L: UNAUTHORIZED USE OF MEDICAL ASSISTANCE
Section
140.1300 Definitions
140.1310 Recovery of Money
140.1320 Penalties
140.1330 Enforcement
ILLINOIS REGISTER 3054
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
140.TABLE A Criteria for Non-Emergency Ambulance Transportation
140.TABLE B Geographic Areas
140.TABLE C Capital Cost Areas
140.TABLE D Schedule of Dental Procedures
140.TABLE E Time Limits for Processing of Prior Approval Requests
140.TABLE F Podiatry Service Schedule
140.TABLE G Travel Distance Standards
140.TABLE H Areas of Major Life Activity
140.TABLE I Staff Time and Allocation for Training Programs (Recodified)
140.TABLE J Rate Regions
140.TABLE K Services Qualifying for 10% Add-On (Repealed)
140.TABLE L Services Qualifying for 10% Add-On to Surgical Incentive Add-On
(Repealed)
140.TABLE M Enhanced Rates for Maternal and Child Health Provider Services (Repealed)
140.TABLE N Program Approval for Specified Behavioral Health Services
140.TABLE O Criteria for Participation as a Behavioral Health Clinic
AUTHORITY: Implementing and authorized by Articles III, IV, V and VI and Section 12-13 of
the Illinois Public Aid Code [305 ILCS 5/Arts. III, IV, V and VI and 12-13].
SOURCE: Adopted at 3 Ill. Reg. 24, p. 166, effective June 10, 1979; rule repealed and new rule
adopted at 6 Ill. Reg. 8374, effective July 6, 1982; emergency amendment at 6 Ill. Reg. 8508,
effective July 6, 1982, for a maximum of 150 days; amended at 7 Ill. Reg. 681, effective
December 30, 1982; amended at 7 Ill. Reg. 7956, effective July 1, 1983; amended at 7 Ill. Reg.
8308, effective July 1, 1983; amended at 7 Ill. Reg. 8271, effective July 5, 1983; emergency
amendment at 7 Ill. Reg. 8354, effective July 5, 1983, for a maximum of 150 days; amended at 7
Ill. Reg. 8540, effective July 15, 1983; amended at 7 Ill. Reg. 9382, effective July 22, 1983;
amended at 7 Ill. Reg. 12868, effective September 20, 1983; peremptory amendment at 7 Ill.
Reg. 15047, effective October 31, 1983; amended at 7 Ill. Reg. 17358, effective December 21,
1983; amended at 8 Ill. Reg. 254, effective December 21, 1983; emergency amendment at 8 Ill.
Reg. 580, effective January 1, 1984, for a maximum of 150 days; codified at 8 Ill. Reg. 2483;
amended at 8 Ill. Reg. 3012, effective February 22, 1984; amended at 8 Ill. Reg. 5262, effective
April 9, 1984; amended at 8 Ill. Reg. 6785, effective April 27, 1984; amended at 8 Ill. Reg. 6983,
effective May 9, 1984; amended at 8 Ill. Reg. 7258, effective May 16, 1984; emergency
amendment at 8 Ill. Reg. 7910, effective May 22, 1984, for a maximum of 150 days; amended at
8 Ill. Reg. 7910, effective June 1, 1984; amended at 8 Ill. Reg. 10032, effective June 18, 1984;
emergency amendment at 8 Ill. Reg. 10062, effective June 20, 1984, for a maximum of 150 days;
amended at 8 Ill. Reg. 13343, effective July 17, 1984; amended at 8 Ill. Reg. 13779, effective
ILLINOIS REGISTER 3055
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
July 24, 1984; Sections 140.72 and 140.73 recodified to 89 Ill. Adm. Code 141 at 8 Ill. Reg.
16354; amended (by adding sections being codified with no substantive change) at 8 Ill. Reg.
17899; peremptory amendment at 8 Ill. Reg. 18151, effective September 18, 1984; amended at 8
Ill. Reg. 21629, effective October 19, 1984; peremptory amendment at 8 Ill. Reg. 21677,
effective October 24, 1984; amended at 8 Ill. Reg. 22097, effective October 24, 1984;
peremptory amendment at 8 Ill. Reg. 22155, effective October 29, 1984; amended at 8 Ill. Reg.
23218, effective November 20, 1984; emergency amendment at 8 Ill. Reg. 23721, effective
November 21, 1984, for a maximum of 150 days; amended at 8 Ill. Reg. 25067, effective
December 19, 1984; emergency amendment at 9 Ill. Reg. 407, effective January 1, 1985, for a
maximum of 150 days; amended at 9 Ill. Reg. 2697, effective February 22, 1985; amended at 9
Ill. Reg. 6235, effective April 19, 1985; amended at 9 Ill. Reg. 8677, effective May 28, 1985;
amended at 9 Ill. Reg. 9564, effective June 5, 1985; amended at 9 Ill. Reg. 10025, effective June
26, 1985; emergency amendment at 9 Ill. Reg. 11403, effective June 27, 1985, for a maximum of
150 days; amended at 9 Ill. Reg. 11357, effective June 28, 1985; amended at 9 Ill. Reg. 12000,
effective July 24, 1985; amended at 9 Ill. Reg. 12306, effective August 5, 1985; amended at 9 Ill.
Reg. 13998, effective September 3, 1985; amended at 9 Ill. Reg. 14684, effective September 13,
1985; amended at 9 Ill. Reg. 15503, effective October 4, 1985; amended at 9 Ill. Reg. 16312,
effective October 11, 1985; amended at 9 Ill. Reg. 19138, effective December 2, 1985; amended
at 9 Ill. Reg. 19737, effective December 9, 1985; amended at 10 Ill. Reg. 238, effective
December 27, 1985; emergency amendment at 10 Ill. Reg. 798, effective January 1, 1986, for a
maximum of 150 days; amended at 10 Ill. Reg. 672, effective January 6, 1986; amended at 10 Ill.
Reg. 1206, effective January 13, 1986; amended at 10 Ill. Reg. 3041, effective January 24, 1986;
amended at 10 Ill. Reg. 6981, effective April 16, 1986; amended at 10 Ill. Reg. 7825, effective
April 30, 1986; amended at 10 Ill. Reg. 8128, effective May 7, 1986; emergency amendment at
10 Ill. Reg. 8912, effective May 13, 1986, for a maximum of 150 days; amended at 10 Ill. Reg.
11440, effective June 20, 1986; amended at 10 Ill. Reg. 14714, effective August 27, 1986;
amended at 10 Ill. Reg. 15211, effective September 12, 1986; emergency amendment at 10 Ill.
Reg. 16729, effective September 18, 1986, for a maximum of 150 days; amended at 10 Ill. Reg.
18808, effective October 24, 1986; amended at 10 Ill. Reg. 19742, effective November 12, 1986;
amended at 10 Ill. Reg. 21784, effective December 15, 1986; amended at 11 Ill. Reg. 698,
effective December 19, 1986; amended at 11 Ill. Reg. 1418, effective December 31, 1986;
amended at 11 Ill. Reg. 2323, effective January 16, 1987; amended at 11 Ill. Reg. 4002, effective
February 25, 1987; Section 140.71 recodified to 89 Ill. Adm. Code 141 at 11 Ill. Reg. 4302;
amended at 11 Ill. Reg. 4303, effective March 6, 1987; amended at 11 Ill. Reg. 7664, effective
April 15, 1987; emergency amendment at 11 Ill. Reg. 9342, effective April 20, 1987, for a
maximum of 150 days; amended at 11 Ill. Reg. 9169, effective April 28, 1987; amended at 11 Ill.
Reg. 10903, effective June 1, 1987; amended at 11 Ill. Reg. 11528, effective June 22, 1987;
amended at 11 Ill. Reg. 12011, effective June 30, 1987; amended at 11 Ill. Reg. 12290, effective
July 6, 1987; amended at 11 Ill. Reg. 14048, effective August 14, 1987; amended at 11 Ill. Reg.
ILLINOIS REGISTER 3056
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
14771, effective August 25, 1987; amended at 11 Ill. Reg. 16758, effective September 28, 1987;
amended at 11 Ill. Reg. 17295, effective September 30, 1987; amended at 11 Ill. Reg. 18696,
effective October 27, 1987; amended at 11 Ill. Reg. 20909, effective December 14, 1987;
amended at 12 Ill. Reg. 916, effective January 1, 1988; emergency amendment at 12 Ill. Reg.
1960, effective January 1, 1988, for a maximum of 150 days; amended at 12 Ill. Reg. 5427,
effective March 15, 1988; amended at 12 Ill. Reg. 6246, effective March 16, 1988; amended at
12 Ill. Reg. 6728, effective March 22, 1988; Sections 140.900 thru 140.912 and 140.Table H and
140.Table I recodified to 89 Ill. Adm. Code 147.5 thru 147.205 and 147.Table A and 147.Table
B at 12 Ill. Reg. 6956; amended at 12 Ill. Reg. 6927, effective April 5, 1988; Sections 140.940
thru 140.972 recodified to 89 Ill. Adm. Code 149.5 thru 149.325 at 12 Ill. Reg. 7401; amended at
12 Ill. Reg. 7695, effective April 21, 1988; amended at 12 Ill. Reg. 10497, effective June 3,
1988; amended at 12 Ill. Reg. 10717, effective June 14, 1988; emergency amendment at 12 Ill.
Reg. 11868, effective July 1, 1988, for a maximum of 150 days; amended at 12 Ill. Reg. 12509,
effective July 15, 1988; amended at 12 Ill. Reg. 14271, effective August 29, 1988; emergency
amendment at 12 Ill. Reg. 16921, effective September 28, 1988, for a maximum of 150 days;
amended at 12 Ill. Reg. 16738, effective October 5, 1988; amended at 12 Ill. Reg. 17879,
effective October 24, 1988; amended at 12 Ill. Reg. 18198, effective November 4, 1988;
amended at 12 Ill. Reg. 19396, effective November 6, 1988; amended at 12 Ill. Reg. 19734,
effective November 15, 1988; amended at 13 Ill. Reg. 125, effective January 1, 1989; amended
at 13 Ill. Reg. 2475, effective February 14, 1989; amended at 13 Ill. Reg. 3069, effective
February 28, 1989; amended at 13 Ill. Reg. 3351, effective March 6, 1989; amended at 13 Ill.
Reg. 3917, effective March 17, 1989; amended at 13 Ill. Reg. 5115, effective April 3, 1989;
amended at 13 Ill. Reg. 5718, effective April 10, 1989; amended at 13 Ill. Reg. 7025, effective
April 24, 1989; Sections 140.850 thru 140.896 recodified to 89 Ill. Adm. Code 146.5 thru
146.225 at 13 Ill. Reg. 7040; amended at 13 Ill. Reg. 7786, effective May 20, 1989; Sections
140.94 thru 140.398 recodified to 89 Ill. Adm. Code 148.10 thru 148.390 at 13 Ill. Reg. 9572;
emergency amendment at 13 Ill. Reg. 10977, effective July 1, 1989, for a maximum of 150 days;
emergency expired November 28, 1989; amended at 13 Ill. Reg. 11516, effective July 3, 1989;
amended at 13 Ill. Reg. 12119, effective July 7, 1989; Section 140.110 recodified to 89 Ill. Adm.
Code 148.120 at 13 Ill. Reg. 12118; amended at 13 Ill. Reg. 12562, effective July 17, 1989;
amended at 13 Ill. Reg. 14391, effective August 31, 1989; emergency amendment at 13 Ill. Reg.
15473, effective September 12, 1989, for a maximum of 150 days; amended at 13 Ill. Reg.
16992, effective October 16, 1989; amended at 14 Ill. Reg. 190, effective December 21, 1989;
amended at 14 Ill. Reg. 2564, effective February 9, 1990; emergency amendment at 14 Ill. Reg.
3241, effective February 14, 1990, for a maximum of 150 days; emergency expired July 14,
1990; amended at 14 Ill. Reg. 4543, effective March 12, 1990; emergency amendment at 14 Ill.
Reg. 4577, effective March 6, 1990, for a maximum of 150 days; emergency expired August 3,
1990; emergency amendment at 14 Ill. Reg. 5575, effective April 1, 1990, for a maximum of 150
days; emergency expired August 29, 1990; emergency amendment at 14 Ill. Reg. 5865, effective
ILLINOIS REGISTER 3057
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
April 3, 1990, for a maximum of 150 days; amended at 14 Ill. Reg. 7141, effective April 27,
1990; emergency amendment at 14 Ill. Reg. 7249, effective April 27, 1990, for a maximum of
150 days; amended at 14 Ill. Reg. 10062, effective June 12, 1990; amended at 14 Ill. Reg. 10409,
effective June 19, 1990; emergency amendment at 14 Ill. Reg. 12082, effective July 5, 1990, for
a maximum of 150 days; amended at 14 Ill. Reg. 13262, effective August 6, 1990; emergency
amendment at 14 Ill. Reg. 14184, effective August 16, 1990, for a maximum of 150 days;
emergency amendment at 14 Ill. Reg. 14570, effective August 22, 1990, for a maximum of 150
days; amended at 14 Ill. Reg. 14826, effective August 31, 1990; amended at 14 Ill. Reg. 15366,
effective September 12, 1990; amended at 14 Ill. Reg. 15981, effective September 21, 1990;
amended at 14 Ill. Reg. 17279, effective October 12, 1990; amended at 14 Ill. Reg. 18057,
effective October 22, 1990; amended at 14 Ill. Reg. 18508, effective October 30, 1990; amended
at 14 Ill. Reg. 18813, effective November 6, 1990; Notice of Corrections to Adopted
Amendment at 15 Ill. Reg. 1174; amended at 14 Ill. Reg. 20478, effective December 7, 1990;
amended at 14 Ill. Reg. 20729, effective December 12, 1990; amended at 15 Ill. Reg. 298,
effective December 28, 1990; emergency amendment at 15 Ill. Reg. 592, effective January 1,
1991, for a maximum of 150 days; amended at 15 Ill. Reg. 1051, effective January 18, 1991;
amended at 15 Ill. Reg. 6220, effective April 18, 1991; amended at 15 Ill. Reg. 6534, effective
April 30, 1991; amended at 15 Ill. Reg. 8264, effective May 23, 1991; amended at 15 Ill. Reg.
8972, effective June 17, 1991; amended at 15 Ill. Reg. 10114, effective June 21, 1991; amended
at 15 Ill. Reg. 10468, effective July 1, 1991; amended at 15 Ill. Reg. 11176, effective August 1,
1991; emergency amendment at 15 Ill. Reg. 11515, effective July 25, 1991, for a maximum of
150 days; emergency expired December 22, 1991; emergency amendment at 15 Ill. Reg. 12919,
effective August 15, 1991, for a maximum of 150 days; emergency expired January 12, 1992;
emergency amendment at 15 Ill. Reg. 16366, effective October 22, 1991, for a maximum of 150
days; amended at 15 Ill. Reg. 17318, effective November 18, 1991; amended at 15 Ill. Reg.
17733, effective November 22, 1991; emergency amendment at 16 Ill. Reg. 300, effective
December 20, 1991, for a maximum of 150 days; amended at 16 Ill. Reg. 174, effective
December 24, 1991; amended at 16 Ill. Reg. 1877, effective January 24, 1992; amended at 16 Ill.
Reg. 3552, effective February 28, 1992; amended at 16 Ill. Reg. 4006, effective March 6, 1992;
amended at 16 Ill. Reg. 6408, effective March 20, 1992; expedited correction at 16 Ill. Reg.
11348, effective March 20, 1992; amended at 16 Ill. Reg. 6849, effective April 7, 1992; amended
at 16 Ill. Reg. 7017, effective April 17, 1992; amended at 16 Ill. Reg. 10050, effective June 5,
1992; amended at 16 Ill. Reg. 11174, effective June 26, 1992; emergency amendment at 16 Ill.
Reg. 11947, effective July 10, 1992, for a maximum of 150 days; amended at 16 Ill. Reg. 12186,
effective July 24, 1992; emergency amendment at 16 Ill. Reg. 13337, effective August 14, 1992,
for a maximum of 150 days; emergency amendment at 16 Ill. Reg. 15109, effective September
21, 1992, for a maximum of 150 days; amended at 16 Ill. Reg. 15561, effective September 30,
1992; amended at 16 Ill. Reg. 17302, effective November 2, 1992; emergency amendment at 16
Ill. Reg. 18097, effective November 17, 1992, for a maximum of 150 days; amended at 16 Ill.
ILLINOIS REGISTER 3058
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
Reg. 19146, effective December 1, 1992; expedited correction at 17 Ill. Reg. 7078, effective
December 1, 1992; amended at 16 Ill. Reg. 19879, effective December 7, 1992; amended at 17
Ill. Reg. 837, effective January 11, 1993; amended at 17 Ill. Reg. 1112, effective January 15,
1993; amended at 17 Ill. Reg. 2290, effective February 15, 1993; amended at 17 Ill. Reg. 2951,
effective February 17, 1993; amended at 17 Ill. Reg. 3421, effective February 19, 1993; amended
at 17 Ill. Reg. 6196, effective April 5, 1993; amended at 17 Ill. Reg. 6839, effective April 21,
1993; amended at 17 Ill. Reg. 7004, effective May 17, 1993; emergency amendment at 17 Ill.
Reg. 11201, effective July 1, 1993, for a maximum of 150 days; emergency amendment at 17 Ill.
Reg. 15162, effective September 2, 1993, for a maximum of 150 days; emergency amendment
suspended at 17 Ill. Reg. 18902, effective October 12, 1993; emergency amendment at 17 Ill.
Reg. 18152, effective October 1, 1993, for a maximum of 150 days; amended at 17 Ill. Reg.
18571, effective October 8, 1993; emergency amendment at 17 Ill. Reg. 18611, effective October
1, 1993, for a maximum of 150 days; amended at 17 Ill. Reg. 20999, effective November 24,
1993; emergency amendment repealed at 17 Ill. Reg. 22583, effective December 20, 1993;
amended at 18 Ill. Reg. 3620, effective February 28, 1994; amended at 18 Ill. Reg. 4250,
effective March 4, 1994; amended at 18 Ill. Reg. 5951, effective April 1, 1994; emergency
amendment at 18 Ill. Reg. 10922, effective July 1, 1994, for a maximum of 150 days; emergency
amendment suspended at 18 Ill. Reg. 17286, effective November 15, 1994; emergency
amendment repealed at 19 Ill. Reg. 5839, effective April 4, 1995; amended at 18 Ill. Reg. 11244,
effective July 1, 1994; amended at 18 Ill. Reg. 14126, effective August 29, 1994; amended at 18
Ill. Reg. 16675, effective November 1, 1994; amended at 18 Ill. Reg. 18059, effective December
19, 1994; amended at 19 Ill. Reg. 1082, effective January 20, 1995; amended at 19 Ill. Reg.
2933, effective March 1, 1995; emergency amendment at 19 Ill. Reg. 3529, effective March 1,
1995, for a maximum of 150 days; amended at 19 Ill. Reg. 5663, effective April 1, 1995;
amended at 19 Ill. Reg. 7919, effective June 5, 1995; emergency amendment at 19 Ill. Reg. 8455,
effective June 9, 1995, for a maximum of 150 days; emergency amendment at 19 Ill. Reg. 9297,
effective July 1, 1995, for a maximum of 150 days; emergency amendment at 19 Ill. Reg. 10252,
effective July 1, 1995, for a maximum of 150 days; amended at 19 Ill. Reg. 13019, effective
September 5, 1995; amended at 19 Ill. Reg. 14440, effective September 29, 1995; emergency
amendment at 19 Ill. Reg. 14833, effective October 6, 1995, for a maximum of 150 days;
amended at 19 Ill. Reg. 15441, effective October 26, 1995; amended at 19 Ill. Reg. 15692,
effective November 6, 1995; amended at 19 Ill. Reg. 16677, effective November 28, 1995;
amended at 20 Ill. Reg. 1210, effective December 29, 1995; amended at 20 Ill. Reg. 4345,
effective March 4, 1996; amended at 20 Ill. Reg. 5858, effective April 5, 1996; amended at 20
Ill. Reg. 6929, effective May 6, 1996; amended at 20 Ill. Reg. 7922, effective May 31, 1996;
amended at 20 Ill. Reg. 9081, effective June 28, 1996; emergency amendment at 20 Ill. Reg.
9312, effective July 1, 1996, for a maximum of 150 days; amended at 20 Ill. Reg. 11332,
effective August 1, 1996; amended at 20 Ill. Reg. 14845, effective October 31, 1996; emergency
amendment at 21 Ill. Reg. 705, effective December 31, 1996, for a maximum of 150 days;
ILLINOIS REGISTER 3059
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
emergency amendment at 21 Ill. Reg. 3734, effective March 5, 1997, for a maximum of 150
days; amended at 21 Ill. Reg. 4777, effective April 2, 1997; amended at 21 Ill. Reg. 6899,
effective May 23, 1997; amended at 21 Ill. Reg. 9763, effective July 15, 1997; amended at 21 Ill.
Reg. 11569, effective August 1, 1997; emergency amendment at 21 Ill. Reg. 13857, effective
October 1, 1997, for a maximum of 150 days; amended at 22 Ill. Reg. 1416, effective December
29, 1997; amended at 22 Ill. Reg. 4412, effective February 27, 1998; amended at 22 Ill. Reg.
7024, effective April 1, 1998; amended at 22 Ill. Reg. 10606, effective June 1, 1998; emergency
amendment at 22 Ill. Reg. 13117, effective July 1, 1998, for a maximum of 150 days; amended at
22 Ill. Reg. 16302, effective August 28, 1998; amended at 22 Ill. Reg. 18979, effective
September 30, 1998; amended at 22 Ill. Reg. 19898, effective October 30, 1998; emergency
amendment at 22 Ill. Reg. 22108, effective December 1, 1998, for a maximum of 150 days;
emergency expired April 29, 1999; amended at 23 Ill. Reg. 5796, effective April 30, 1999;
amended at 23 Ill. Reg. 7122, effective June 1, 1999; emergency amendment at 23 Ill. Reg. 8236,
effective July 1, 1999, for a maximum of 150 days; amended at 23 Ill. Reg. 9874, effective
August 3, 1999; amended at 23 Ill. Reg. 12697, effective October 1, 1999; amended at 23 Ill.
Reg. 13646, effective November 1, 1999; amended at 23 Ill. Reg. 14567, effective December 1,
1999; amended at 24 Ill. Reg. 661, effective January 3, 2000; amended at 24 Ill. Reg. 10277,
effective July 1, 2000; emergency amendment at 24 Ill. Reg. 10436, effective July 1, 2000, for a
maximum of 150 days; amended at 24 Ill. Reg. 15086, effective October 1, 2000; amended at 24
Ill. Reg. 18320, effective December 1, 2000; emergency amendment at 24 Ill. Reg. 19344,
effective December 15, 2000, for a maximum of 150 days; amended at 25 Ill. Reg. 3897,
effective March 1, 2001; amended at 25 Ill. Reg. 6665, effective May 11, 2001; amended at 25
Ill. Reg. 8793, effective July 1, 2001; emergency amendment at 25 Ill. Reg. 8850, effective July
1, 2001, for a maximum of 150 days; amended at 25 Ill. Reg. 11880, effective September 1,
2001; amended at 25 Ill. Reg. 12820, effective October 8, 2001; amended at 25 Ill. Reg. 14957,
effective November 1, 2001; emergency amendment at 25 Ill. Reg. 16127, effective November
28, 2001, for a maximum of 150 days; emergency amendment at 25 Ill. Reg. 16292, effective
December 3, 2001, for a maximum of 150 days; emergency amendment at 26 Ill. Reg. 514,
effective January 1, 2002, for a maximum of 150 days; amended at 26 Ill. Reg. 663, effective
January 7, 2002; amended at 26 Ill. Reg. 4781, effective March 15, 2002; emergency amendment
at 26 Ill. Reg. 5984, effective April 15, 2002, for a maximum of 150 days; amended at 26 Ill.
Reg. 7285, effective April 29, 2002; emergency amendment at 26 Ill. Reg. 8594, effective June
1, 2002, for a maximum of 150 days; emergency amendment at 26 Ill. Reg. 11259, effective July
1, 2002, for a maximum of 150 days; emergency amendment at 26 Ill. Reg. 12461, effective July
29, 2002, for a maximum of 150 days; emergency amendment repealed at 26 Ill. Reg. 16593,
effective October 22, 2002; emergency amendment at 26 Ill. Reg. 12772, effective August 12,
2002, for a maximum of 150 days; amended at 26 Ill. Reg. 13641, effective September 3, 2002;
amended at 26 Ill. Reg. 14789, effective September 26, 2002; emergency amendment at 26 Ill.
Reg. 15076, effective October 1, 2002, for a maximum of 150 days; amended at 26 Ill. Reg.
ILLINOIS REGISTER 3060
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
16303, effective October 25, 2002; amended at 26 Ill. Reg. 17751, effective November 27, 2002;
amended at 27 Ill. Reg. 768, effective January 3, 2003; amended at 27 Ill. Reg. 3041, effective
February 10, 2003; amended at 27 Ill. Reg. 4364, effective February 24, 2003; amended at 27 Ill.
Reg. 7823, effective May 1, 2003; amended at 27 Ill. Reg. 9157, effective June 2, 2003;
emergency amendment at 27 Ill. Reg. 10813, effective July 1, 2003, for a maximum of 150 days;
amended at 27 Ill. Reg. 13784, effective August 1, 2003; amended at 27 Ill. Reg. 14799,
effective September 5, 2003; emergency amendment at 27 Ill. Reg. 15584, effective September
20, 2003, for a maximum of 150 days; emergency amendment at 27 Ill. Reg. 16161, effective
October 1, 2003, for a maximum of 150 days; amended at 27 Ill. Reg. 18629, effective
November 26, 2003; amended at 28 Ill. Reg. 2744, effective February 1, 2004; amended at 28 Ill.
Reg. 4958, effective March 3, 2004; emergency amendment at 28 Ill. Reg. 6622, effective April
19, 2004, for a maximum of 150 days; amended at 28 Ill. Reg. 7081, effective May 3, 2004;
emergency amendment at 28 Ill. Reg. 8108, effective June 1, 2004, for a maximum of 150 days;
amended at 28 Ill. Reg. 9640, effective July 1, 2004; emergency amendment at 28 Ill. Reg.
10135, effective July 1, 2004, for a maximum of 150 days; amended at 28 Ill. Reg. 11161,
effective August 1, 2004; emergency amendment at 28 Ill. Reg. 12198, effective August 11,
2004, for a maximum of 150 days; amended at 28 Ill. Reg. 13775, effective October 1, 2004;
amended at 28 Ill. Reg. 14804, effective October 27, 2004; amended at 28 Ill. Reg. 15513,
effective November 24, 2004; amended at 29 Ill. Reg. 831, effective January 1, 2005; amended
at 29 Ill. Reg. 6945, effective May 1, 2005; emergency amendment at 29 Ill. Reg. 8509, effective
June 1, 2005, for a maximum of 150 days; emergency amendment at 29 Ill. Reg. 12534, effective
August 1, 2005, for a maximum of 150 days; amended at 29 Ill. Reg. 14957, effective September
30, 2005; emergency amendment at 29 Ill. Reg. 15064, effective October 1, 2005, for a
maximum of 150 days; emergency amendment repealed by emergency rulemaking at 29 Ill. Reg.
15985, effective October 5, 2005, for the remainder of the 150 days; emergency amendment at
29 Ill. Reg. 15610, effective October 1, 2005, for a maximum of 150 days; emergency
amendment at 29 Ill. Reg. 16515, effective October 5, 2005, for a maximum of 150 days;
amended at 30 Ill. Reg. 349, effective December 28, 2005; emergency amendment at 30 Ill. Reg.
573, effective January 1, 2006, for a maximum of 150 days; amended at 30 Ill. Reg. 796,
effective January 1, 2006; amended at 30 Ill. Reg. 2802, effective February 24, 2006; amended at
30 Ill. Reg. 10370, effective May 26, 2006; emergency amendment at 30 Ill. Reg. 12376,
effective July 1, 2006, for a maximum of 150 days; emergency amendment at 30 Ill. Reg. 13909,
effective August 2, 2006, for a maximum of 150 days; amended at 30 Ill. Reg. 14280, effective
August 18, 2006; expedited correction at 31 Ill. Reg. 1745, effective August 18, 2006;
emergency amendment at 30 Ill. Reg. 17970, effective November 1, 2006, for a maximum of 150
days; amended at 30 Ill. Reg. 18648, effective November 27, 2006; emergency amendment at 30
Ill. Reg. 19400, effective December 1, 2006, for a maximum of 150 days; amended at 31 Ill.
Reg. 388, effective December 29, 2006; emergency amendment at 31 Ill. Reg. 1580, effective
January 1, 2007, for a maximum of 150 days; amended at 31 Ill. Reg. 2413, effective January 19,
ILLINOIS REGISTER 3061
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
2007; amended at 31 Ill. Reg. 5561, effective March 30, 2007; amended at 31 Ill. Reg. 6930,
effective April 29, 2007; amended at 31 Ill. Reg. 8485, effective May 30, 2007; emergency
amendment at 31 Ill. Reg. 10115, effective June 30, 2007, for a maximum of 150 days; amended
at 31 Ill. Reg. 14749, effective October 22, 2007; emergency amendment at 32 Ill. Reg. 383,
effective January 1, 2008, for a maximum of 150 days; peremptory amendment at 32 Ill. Reg.
6743, effective April 1, 2008; peremptory amendment suspended at 32 Ill. Reg. 8449, effective
May 21, 2008; suspension withdrawn by the Joint Committee on Administrative Rules at 32 Ill.
Reg. 18323, effective November 12, 2008; peremptory amendment repealed by emergency
rulemaking at 32 Ill. Reg. 18422, effective November 12, 2008, for a maximum of 150 days;
emergency expired April 10, 2009; peremptory amendment repealed at 33 Ill. Reg. 6667,
effective April 29, 2009; amended at 32 Ill. Reg. 7727, effective May 5, 2008; emergency
amendment at 32 Ill. Reg. 10480, effective July 1, 2008, for a maximum of 150 days; emergency
expired November 27, 2008; amended at 32 Ill. Reg. 17133, effective October 15, 2008;
amended at 33 Ill. Reg. 209, effective December 29, 2008; amended at 33 Ill. Reg. 9048,
effective June 15, 2009; emergency amendment at 33 Ill. Reg. 10800, effective June 30, 2009,
for a maximum of 150 days; amended at 33 Ill. Reg. 11287, effective July 14, 2009; amended at
33 Ill. Reg. 11938, effective August 17, 2009; amended at 33 Ill. Reg. 12227, effective October
1, 2009; emergency amendment at 33 Ill. Reg. 14324, effective October 1, 2009, for a maximum
of 150 days; emergency expired February 27, 2010; amended at 33 Ill. Reg. 16573, effective
November 16, 2009; amended at 34 Ill. Reg. 516, effective January 1, 2010; amended at 34 Ill.
Reg. 903, effective January 29, 2010; amended at 34 Ill. Reg. 3761, effective March 14, 2010;
amended at 34 Ill. Reg. 5215, effective March 25, 2010; amended at 34 Ill. Reg. 19517, effective
December 6, 2010; amended at 35 Ill. Reg. 394, effective December 27, 2010; amended at 35 Ill.
Reg. 7648, effective May 1, 2011; amended at 35 Ill. Reg. 7962, effective May 1, 2011;
amended at 35 Ill. Reg. 10000, effective June 15, 2011; amended at 35 Ill. Reg. 12909, effective
July 25, 2011; amended at 36 Ill. Reg. 2271, effective February 1, 2012; amended at 36 Ill. Reg.
7010, effective April 27, 2012; amended at 36 Ill. Reg. 7545, effective May 7, 2012; amended at
36 Ill. Reg. 9113, effective June 11, 2012; emergency amendment at 36 Ill. Reg. 11329, effective
July 1, 2012 through June 30, 2013; emergency amendment to Section 140.442(e)(4) suspended
at 36 Ill. Reg. 13736, effective August 15, 2012; suspension withdrawn from Section
140.442(e)(4) at 36 Ill. Reg. 14529, September 11, 2012; emergency amendment in response to
Joint Committee on Administrative Rules action on Section 140.442(e)(4) at 36 Ill. Reg. 14820,
effective September 21, 2012 through June 30, 2013; emergency amendment to Section 140.491
suspended at 36 Ill. Reg. 13738, effective August 15, 2012; suspension withdrawn by the Joint
Committee on Administrative Rules from Section 140.491 at 37 Ill. Reg. 890, January 8, 2013;
emergency amendment in response to Joint Committee on Administrative Rules action on
Section 140.491 at 37 Ill. Reg. 1330, effective January 15, 2013 through June 30, 2013; amended
at 36 Ill. Reg. 15361, effective October 15, 2012; emergency amendment at 37 Ill. Reg. 253,
effective January 1, 2013 through June 30, 2013; emergency amendment at 37 Ill. Reg. 846,
ILLINOIS REGISTER 3062
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
effective January 9, 2013 through June 30, 2013; emergency amendment at 37 Ill. Reg. 1774,
effective January 28, 2013 through June 30, 2013; emergency amendment at 37 Ill. Reg. 2348,
effective February 1, 2013 through June 30, 2013; amended at 37 Ill. Reg. 3831, effective March
13, 2013; emergency amendment at 37 Ill. Reg. 5058, effective April 1, 2013 through June 30,
2013; emergency amendment at 37 Ill. Reg. 5170, effective April 8, 2013 through June 30, 2013;
amended at 37 Ill. Reg. 6196, effective April 29, 2013; amended at 37 Ill. Reg. 7985, effective
May 29, 2013; amended at 37 Ill. Reg. 10282, effective June 27, 2013; amended at 37 Ill. Reg.
12855, effective July 24, 2013; emergency amendment at 37 Ill. Reg. 14196, effective August
20, 2013, for a maximum of 150 days; amended at 37 Ill. Reg. 17584, effective October 23,
2013; amended at 37 Ill. Reg. 18275, effective November 4, 2013; amended at 37 Ill. Reg.
20339, effective December 9, 2013; amended at 38 Ill. Reg. 859, effective December 23, 2013;
emergency amendment at 38 Ill. Reg. 1174, effective January 1, 2014, for a maximum of 150
days; amended at 38 Ill. Reg. 4330, effective January 29, 2014; amended at 38 Ill. Reg. 7156,
effective March 13, 2014; amended at 38 Ill. Reg. 12141, effective May 30, 2014; amended at 38
Ill. Reg. 15081, effective July 2, 2014; emergency amendment at 38 Ill. Reg. 15673, effective
July 7, 2014, for a maximum of 150 days; emergency amendment at 38 Ill. Reg. 18216, effective
August 18, 2014, for a maximum of 150 days; amended at 38 Ill. Reg. 18462, effective August
19, 2014; amended at 38 Ill. Reg. 23623, effective December 2, 2014; amended at 39 Ill. Reg.
4394, effective March 11, 2015; emergency amendment at 39 Ill. Reg. 6903, effective May 1,
2015 through June 30, 2015; emergency amendment at 39 Ill. Reg. 8137, effective May 20,
2015, for a maximum of 150 days; emergency amendment at 39 Ill. Reg. 10427, effective July
10, 2015, for a maximum of 150 days; emergency expired December 6, 2015; amended at 39 Ill.
Reg. 12825, effective September 4, 2015; amended at 39 Ill. Reg. 13380, effective September
25, 2015; amended at 39 Ill. Reg. 14138, effective October 14, 2015; emergency amendment at
40 Ill. Reg. 13677, effective September 16, 2016, for a maximum of 150 days; emergency
expired February 12, 2017; amended at 41 Ill. Reg. 999, effective January 19, 2017; amended at
41 Ill. Reg. 3296, effective March 8, 2017; amended at 41 Ill. Reg. 7526, effective June 15,
2017; amended at 41 Ill. Reg. 10950, effective August 9, 2017; amended at 42 Ill. Reg. ______,
effective ____________.
SUBPART D: PAYMENT FOR NON-INSTITUTIONAL SERVICES
Section 140.452 Community-based Mental Health Providers Qualified for
PaymentServices
a) Payment maywill be made for community-based mental health services provided
by providers enrolled in the Illinois Medical Assistance Program as:
1) A Community Mental Health Center. Community Mental Health Center
ILLINOIS REGISTER 3063
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
shall mean an entity certified by the Department, or its agent, pursuant
toas being in compliance with standards set forth in 59 Ill. Adm. Code
132; or
2) A Behavioral Health Clinic, pursuant to Section 140.499; orcertified as
being compliant with standards set forth in 59 Ill. Adm. Code 132 and
under a multi-agency contract with the Department, DCFS and DHS to
provide Screening, Assessment and Support Services (SASS).
3) An Independent Practitioner defined as:
A) A Licensed Clinical Psychologist, pursuant to 89 Ill. Adm. Code
140.423(a);
B) A Licensed Clinical Social Worker, pursuant to 89 Ill. Code
140.424(a); or
C) A psychiatrist, defined as a physician licensed under the Medical
Practice Act of l987 who has successfully completed a training
program in psychiatry approved by the Accreditation Council for
Graduate Medical Education (ACGME) or other training program
identified as equivalent by the Department.
b) To receive payment for community-based mental health services, providers must
be enrolled for participation in the Medical Assistance Program, pursuant to
Sections 140.11 and 140.12.
c) Community Mental Health Centers may receive reimbursement for all services
described in Section 140.453.
d) Behavioral Health Clinics may receive reimbursement only for services described
in the following subsections of Section 140.453: Assessment and Treatment
Planning (Section 140.453(d)(1)); Community Support Services (Section
140.453(d)(2)(A)); Intensive Outpatient (Section 140.453(d)(2)(B)); Medication
Administration (Section 140.453(d)(2)(C)); Medication Monitoring (Section
140.453(d)(2)(D)); Medication Training (Section 140.453(d)(2)(E));
Therapy/Counseling (Section 140.453(d)(2)(G)); MRO Crisis Services (Section
140.453(d)(3)); Community Support Team (Section 140.453(d)(4)(B)); and
Targeted Case Management (Section 140.453(e)).
ILLINOIS REGISTER 3064
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
e) Independent Practitioners may receive reimbursement only for the following
services: Assessment and Treatment Planning (Section 140.453(d)(1));
Therapy/Counseling (Section 140.453(d)(2)(G)); and MRO Crisis Services
(Section 140.453(d)(3)).
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 140.453 Community-based Mental Health Service Definitions and Professional
Qualifications
a) Inter-Departmental Collaboration and Administration. The Department of Human
Services-Division of Mental Health (DHS-DMH) and the Department of Children
and Family Services (DCFS), pursuant to an executed interagency agreement,
shall ensure the administration and coordination of mental health services.
b) Community-based Mental Health Professional Qualifications. All individuals
qualified under this Section to provide services shall only provide the services
listed in this Section within their scope of practice, as defined or by federal or
state law, regulation or policy.
1) All professional definitions provided in this subsection (b) are only
applicable to services detailed in this Section.
2) Independent Practitioner (IP). An IP, as defined by Section 140.452(a)(3),
may receive direct reimbursement for services pursuant to Section
140.452(e). All other credentialed staff detailed in this Section must be
employees of a Community Mental Health Center or Behavioral Health
Clinic that may qualify for reimbursement for the services provided.
3) Licensed Practitioner of the Healing Arts (LPHA). An LPHA is defined
as:
A) A physician who holds a valid license in the state of practice and is
legally authorized under state law or rule to practice medicine in
all its branches, so long as that practice is not in conflict with the
Medical Practice Act of l987;
ILLINOIS REGISTER 3065
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
B) An advanced practice nurse with psychiatric specialty that holds a
valid license in the state of practice and is legally authorized under
state law or rule to practice as an advanced practice nurse, so long
as that practice is not in conflict with the Illinois Nurse Practice
Act or the Medical Practice Act of 1987;
C) A clinical psychologist who holds a valid license in the state of
practice and is legally authorized under state law or rule to practice
as a clinical psychologist, so long as that practice is not in conflict
with the Clinical Psychologist Licensing Act;
D) A licensed clinical professional counselor possessing a master's
degree who holds a valid license in the state of practice and is
legally authorized under state law or rule to practice as a licensed
clinical professional counselor, so long as that practice is not in
conflict with the Professional Counselor and Clinical Professional
Counselor Licensing Act [225 ILCS 107];
E) A marriage and family therapist who holds a valid license in the
state of practice and is legally authorized under state law or rule to
practice as a marriage and family therapist, so long as that practice
is not in conflict with the Marriage and Family Therapist Licensing
Act [225 ILCS 55];
F) A clinical social worker possessing a master's or doctoral degree
who holds a valid license in the state of practice and is legally
authorized under state law or rule to practice as a social worker, so
long as that practice is not in conflict with the Clinical Social Work
and Social Work Practice Act.
4) Qualified Mental Health Professional (QMHP). A QMHP is defined as
one of the following:
A) Any individual identified as an LPHA in subsection (b)(3);
B) A registered nurse who holds a valid license in the state of
practice, is legally authorized under state law or rule to practice as
a registered nurse, so long as that practice is not in conflict with the
Illinois Nurse Practice Act, and has training in mental health
ILLINOIS REGISTER 3066
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
services or one year of clinical experience, under supervision, in
treating problems related to mental illness, or specialized training
in the treatment of children and adolescents.
C) An occupational therapist who holds a valid license in the state of
practice and is legally authorized under state law or rule to practice
as an occupational therapist, so long as that practice is not in
conflict with the Illinois Occupational Therapy Practice Act [225
ILCS 75] with at least one year of clinical experience in a mental
health setting. In the event the state of practice does not provide a
legal authority for licensure, the individual must meet the
requirements of 42 CFR 484.4 for an occupational therapist.
D) An individual possessing a master's or doctoral degree in
counseling and guidance, rehabilitation counseling, social work,
psychology, pastoral counseling, family therapy, or a related field
and has:
i) Successfully completed 1,000 hours of practicum and/or
internship under clinical and educational supervision; or
ii) One year of documented clinical experience under the
supervision of a QMHP.
5) Mental Health Professional (MHP)
A) An MHP is defined as one of the following:
i) Any individual identified as a QMHP in subsection (b)(4);
or
ii) An individual meeting the following qualifications,
delivering services under the supervision of a QMHP:
An individual possessing a bachelor's degree in
counseling and guidance, rehabilitation counseling,
social work, education, vocational counseling,
psychology, pastoral counseling, family therapy, or
related human service field;
ILLINOIS REGISTER 3067
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
An individual possessing a bachelor's degree in any
field, other than those identified in subsection
(b)(4)(D), with two years of documented clinical
experience in a mental health setting under the
supervision of a QMHP;
A practical nurse who holds a valid license in the
state of practice and is legally authorized under state
law or rule to practice as a practical nurse, so long
as that practice is not in conflict with the Illinois
Nurse Practice Act;
An individual possessing a certificate of psychiatric
rehabilitation from a DHS-approved program, plus
a high school diploma or GED, plus two years'
documented experience in providing mental health
services;
A recovery support specialist with a current
certification from the Illinois Alcohol and Other
Drug Abuse Professional Certification Association,
Inc.;
A family partnership professional with current
certification from the Illinois Alcohol and Other
Drug Abuse Professional Certification Association,
Inc.;
An occupational therapy assistant with at least one
year of experience in a mental health setting that
holds a valid license in the state of practice and is
legally authorized under state law or rule to practice
as an occupational therapist assistant, so long as that
practice is not in conflict with the Illinois
Occupational Therapy Practice Act. In the event
the state of practice does not provide a legal
authority for licensure, the individual must meet the
ILLINOIS REGISTER 3068
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
requirements of 42 CFR 484.4 for an occupational
therapist; or
An individual with a high school diploma or GED
and a minimum of five years documented clinical
experience in mental health or human services.
B) Any individual designated as an MHP prior to July 1, 2011 shall
retain that designation throughout the continual course of his/her
employment. In the event that the individual leaves the current
employer, the designation is no longer valid.
6) Rehabilitative Services Associate (RSA). An RSA is defined as one of the
following:
A) Any individual identified as a QMHP in subsection (b)(4); or
B) An individual meeting the following qualifications, delivering
services under the supervision of a QMHP:
i) Any individual identified as an MHP in subsection (b)(5);
or
ii) Any individual who is 21 years of age and demonstrates all
of the following:
• Skill in the delivery of rehabilitative services to
adults or children;
• The ability to work within a provider agency's
structure and accept supervision; and
• The ability to work constructively with individuals
receiving services, other providers of service, and
the community.
c) Service Reimbursements. The services detailed in subsections (d) and (e) may be
eligible for reimbursement pursuant to the Department's published fee schedule
when the services are:
ILLINOIS REGISTER 3069
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
1) Recommended by an LPHA or IP, operating within his/her scope of
practice. Unless otherwise noted in this Section, the term services
"recommended by an LPHA or IP" shall mean:
A) The services of Assessment and Treatment Planning performed by
an LPHA or IP to determine an individual's potential clinical need
for services; or
B) Those services identified by the LPHA or IP following the
completion of an Assessment and Treatment Plan;
2) Provided to an individual for the maximum reduction of mental disability
and restoration to the best possible functional level in accordance with 42
CFR 440.130. A mental disability, for the purposes of receiving services
under this Section is established as follows:
A) The identification of a diagnosis in accordance with subsection
(d)(1)(A)(i) (Assessment) and treatment recommendations by the
LPHA or IP following the completion of the Assessment and
Treatment Plan; or
B) For children under age 21 who do not meet the criteria listed in
subsection (c)(2)(A), the identification of more than one
documented criterion for a mental disorder listed in the Diagnostic
and Statistical Manual of Mental Disorders (DSM-5), a
documented impact on the child's functioning in more than one life
domain, and treatment recommendations by the LPHA or IP
following the completion of the Assessment and Treatment Plan;
3) Provided consistent with any service limitations, utilization controls, and
prior authorizations established by the Department. All prior
authorizations for the services detailed in this Section shall be completed
by the Department or its approved agent; and
4) Provided for the direct benefit of the individual, which may include
support provided to immediate family members or other persons of
immediate significance to the eligible individual.
ILLINOIS REGISTER 3070
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
d) Medicaid Rehabilitation Option (MRO). The following services are established
as qualified mental health services under section 1905(a)(13)(C) of the Social
Security Act (42 USC 1396d(19)).
1) Assessment and Treatment Planning
A) Assessment. Assessment means a formal process of gathering
information regarding an individual's mental and physical status
and presenting problems through direct contact with the individual
and collaterals, resulting in the identification of the individual's
mental health service needs. The service of Assessment includes
establishing a diagnosis, treatment recommendations, and level of
care determinations for service delivery and shall result in an initial
or updated Assessment Report.
i) Assessment services may provide or determine a definitive
or provisional diagnosis pursuant to DSM-5 or the
International Classification of Diseases, 10th Revision –
Clinical Modification (ICD-10). In the event that a rule-out
diagnosis is utilized, the Assessment Report must contain
documentation as to what additional diagnostic assessment
activities will occur in order to provide a definitive
diagnosis. A definitive diagnosis shall be determined within
90 days after the completion of the Assessment Report.
ii) The Assessment Report shall be reviewed, approved and
signed by the LPHA or IP.
iii) At a minimum, the Assessment Report is updated at least
every 12 months.
iv) The Assessment may also include:
• Clinical assessment activities, performed by, or
under the supervision of, an LPHA or IP using a
nationally standardized assessment instrument
resulting in a written report or documented outcome
that includes the identification of a clinical issue or
ILLINOIS REGISTER 3071
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
tentative diagnosis to assist in the completion of the
initial or updated Assessment Report;
• Psychological testing activities, provided in
accordance with the Clinical Psychologist Licensing
Act and using a nationally standardized
psychological assessment instrument, resulting in a
written report that includes the identification of
issues, tentative diagnosis and recommendations for
treatment or services; and
• The completion of the Level of Care Utilization
System (LOCUS) activities.
v) Assessment services may be provided:
• By a Community Mental Health Center, Behavioral
Health Clinic, or Independent Practitioner;
• At all service locations and settings deemed
appropriate for reimbursement, as detailed in the
Department's published fee schedule;
• On an individual basis;
• By an MHP, QMHP, LPHA; and
• By video, phone or face-to-face contact,
notwithstanding the restriction on services provided
via phone in Sections 140.6(n) and 140.403.
B) Treatment Plan Development. A process, based upon the
Assessment Report and any additional evaluations, that results in a
written Treatment Plan developed with the participation of the
individual and the individual's parent or guardian, if applicable.
The Treatment Plan is client focused; it defines the specific
services to be provided, the individual's goals for those services,
and the staff responsible for delivering the services; and it may
include updating and modifications.
ILLINOIS REGISTER 3072
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
i) The individual's written Treatment Plan will include a
diagnosis, pursuant to subsection (d)(1)(A)(i).
ii) The individual's Treatment Plan shall be reviewed,
approved, and signed by the LPHA or IP.
iii) At a minimum, the individual's Treatment Plan shall be
updated at least every six months.
iv) The individual and, if applicable, the individual's parent or
guardian, will sign the written Treatment Plan to document
their participation in development with the plan.
v) The individual and the individual's parent or guardian, if
applicable, will be offered a complete copy of their
Treatment Plan upon completion or revision.
vi) Treatment Plan services may be provided:
• By a Community Mental Health Center, Behavioral
Health Clinic, or Independent Practitioner;
• At all service locations and settings deemed
appropriate for reimbursement, as detailed in the
Department's published fee schedule;
• On an individual basis;
• By an MHP, QMHP, LPHA; and
• By video, phone or face-to-face contact,
notwithstanding the restriction on services provided
via phone in Sections 140.6(n) and 140.403.
2) General MRO Services
A) Community Support Services. Community Support Services shall
consist of therapeutic interventions that facilitate illness self-
ILLINOIS REGISTER 3073
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
management, identification and use of natural supports, and skill
building.
i) Community Support Services includes: engaging the
individual to have input into his/her service delivery and
recovery process; development of relapse prevention
strategies and plans; assistance in development of
functional, interpersonal and community coping skills
(including adaptation to home, school, family and work
environments); and skill-building related to symptom self-
monitoring. Community Support Services may include an
evidence-informed approach to skills training.
ii) Community Support Services may only be provided:
• By a Community Mental Health Center or
Behavioral Health Clinic;
• At all service locations and settings deemed
appropriate for reimbursement, as detailed in the
Department's published fee schedule;
• In an individual or group modality;
• By an RSA, MHP, QMHP, LPHA; and
• By video, phone or face-to-face contact,
notwithstanding the restriction on services provided
via phone in Sections 140.6(n) and 140.403.
B) Intensive Outpatient (IO) Services. Intensive Outpatient Services
are scheduled group therapeutic sessions made available for at
least four hours per day, five days per week, for individuals at risk
of, or with a history of, psychiatric hospitalization.
i) IO Services may only be provided:
• By a Community Mental Health Center or
Behavioral Health Clinic;
ILLINOIS REGISTER 3074
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
• Through programs approved pursuant to Table N;
• At all service locations and settings deemed
appropriate for reimbursement, as detailed in the
Department's published fee schedule;
• By a QMHP;
• In a group modality; and
• On a face-to-face basis.
ii) IO services may be subject to prior authorization, pursuant
to Section 140.40.
C) Medication Administration. Medication Administration consists of
preparing the individual and the medication for administration and
observing the individual for possible adverse reactions.
Medication Administration services may only be provided:
i) By a Community Mental Health Center or Behavioral
Health Clinic;
ii) At all service locations and settings deemed appropriate for
reimbursement, as detailed in the Department's published
fee schedule;
iii) On an individual basis;
iv) By face-to-face contact; and
v) By staff that hold a valid license in the state of practice and
are legally authorized under state law or rule to administer
medication, so long as that practice is not in conflict with
the Illinois Nurse Practice Act or the Medical Practice Act
of 1987 (e.g., a physician, a psychiatrist, advanced practice
nurse, registered nurse or a practical nurse).
ILLINOIS REGISTER 3075
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
D) Medication Monitoring. Medication Monitoring includes
observation, evaluation and discussion of target symptoms
responses, adverse effects, laboratory results, tardive dyskinesia
screens, and new target symptoms or medications. Medication
Monitoring services may only be provided:
i) By a Community Mental Health Center or Behavioral
Health Clinic;
ii) At all service locations and settings deemed appropriate for
reimbursement, as detailed in the Department's published
fee schedule;
iii) On an individual basis;
iv) By an RSA, MHP, QMHP or LPHA, as designated in
writing to provide the service by staff that hold a valid
license in the state of practice and are legally authorized
under state law to prescribe medication pursuant to the
Illinois Nurse Practice Act or the Medical Practice Act of
1987; and
v) By video or face-to-face contact, notwithstanding the
restriction on services provided via phone in Sections
140.6(n) and 140.403. Phone consultation is allowed only
when a client is experiencing adverse symptoms and phone
consultation with another professional is necessary.
E) Medication Training. Medication Training includes training
individuals on self-administration and safeguarding of medication
and communication with other professionals, family or caregivers
on medication issues. Medication Training services may only be
provided:
i) By a Community Mental Health Center or Behavioral
Health Clinic;
ILLINOIS REGISTER 3076
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
ii) At all service locations and settings deemed appropriate for
reimbursement, as detailed in the Department's published
fee schedule;
iii) In an individual or group modality;
iv) By video or face-to-face contact; and
v) By an RSA, MHP, QMHP or LPHA, as designated in
writing to provide the service by staff that hold a valid
license in the state of practice and are legally authorized
under state law to prescribe medication pursuant to the
Illinois Nurse Practice Act or the Medical Practice Act of
1987.
F) Psychosocial Rehabilitation (PSR). PSR shall be rehabilitative
therapy for individuals designed to increase abilities and resources
necessary for community living, socialization, work and recovery.
Core activities include cognitive-behavioral interventions, problem
solving, interventions to reduce or ameliorate symptoms of a co-
occurring disorder and other rehabilitative interventions. PSR is
provided in an organized program through individual and group
interventions. The focus of treatment interventions includes
capacity building to facilitate independent living and adaptation,
problem solving and coping skills development.
i) PSR services may only be provided:
• On-site at a Community Mental Health Center;
• Through a program that is approved pursuant to
Table N;
• In an individual or group modality. The staffing
ratio for groups shall not exceed one full-time
equivalent staff to 15 individuals;
• By an RSA, MHP, QMHP and LPHA; and
ILLINOIS REGISTER 3077
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
• By face-to-face contact.
ii) PSR may be subject to prior authorization, pursuant to
Section 140.40.
G) Therapy/Counseling. Therapy/Counseling is a treatment modality
that uses interventions based on psychotherapy theory and
techniques to promote emotional, cognitive, behavioral or
psychological changes. Therapy/Counseling Services may be
provided:
i) By a Community Mental Health Center, Behavioral Health
Clinic, or Independent Practitioner;
ii) At all service locations and settings deemed appropriate for
reimbursement, as detailed in the Department's published
fee schedule;
iii) In an individual, group or family modality;
iv) By an MHP, QMHP and LPHA; and
v) By video, phone or face-to-face contact, notwithstanding
the restriction on services provided via phone in Sections
140.6(n) and 140.403.
3) MRO Crisis Services
A) Crisis Intervention. Crisis Intervention includes: crisis assessment,
brief intervention, consultation, referral and linkage to other
services.
i) Crisis intervention services include pre-hospitalization
screening of individuals age 0 through 20, to assess their
ability to be stabilized in the community as an alternative to
inpatient psychiatric hospitalization, pursuant to Section 5
of the Children's Mental Health Act of 2003 [405 ILCS 49].
ii) Crisis intervention services may be provided:
ILLINOIS REGISTER 3078
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
• Prior to Assessment and Treatment Planning;
• By a Community Mental Health Center, Behavioral
Health Clinic, or Independent Practitioner;
• At all service locations and settings deemed
appropriate for reimbursement, as detailed in the
Department's published fee schedule;
• On an individual basis;
• By a QMHP, LPHA or MHP with immediate access
to a QMHP; and
• By video, phone or face-to-face contact,
notwithstanding the restriction on services provided
via phone in Sections 140.6(n) and 140.403.
4) Team-based MRO Services
A) Assertive Community Treatment (ACT) Services. ACT Services
consist of integrated crisis, treatment and rehabilitative supports
provided by an interdisciplinary team to individuals with serious
and persistent mental illness or co-occurring mental health and
substance use disorders. ACT Services are intended to promote
symptom stability, management of co-morbid health conditions,
and appropriate use of psychotropic medications, as well as to
restore personal care, community living, work and social skills.
ACT Services encompass counseling and therapy, medication
management and monitoring, skill building, and crisis stabilization
services. ACT Services focus on the restoration of functional
skills (e.g., psychosocial, adaptive, self-care) to promote and
maintain community living.
i) ACT Services shall be:
• Provided only by Community Mental Health
Centers;
ILLINOIS REGISTER 3079
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
• Delivered by a team led by a full-time LPHA;
• At least one member of the team who is either a
Certified Recovery Support Specialist (CRSS) or
Certified Family Partnership Professional (CFPP),
based upon the age of the clients served by the
team. A person with lived experience may be
included on a team that does not have a CRSS or
CFPP if he/she obtains certification within 18
months after his/her date of hire; and
• Available 24 hours per day, seven days a week,
each week of the year.
ii) ACT Services may only be provided:
• To eligible individuals age 18 or older;
• At all service locations and settings deemed
appropriate for reimbursement, as detailed in the
Department's published fee schedule;
• In an individual or group modality; and
• By video, phone or face-to-face contact,
notwithstanding the restriction on services provided
via phone in Sections 140.6(n) and 140.403.
iii) ACT Services may be subject to prior authorization,
pursuant to Section 140.40.
B) Community Support Team (CST). CST consists of mental health
rehabilitation services and supports to decrease hospitalization and
crisis episodes and to increase community functioning in order for
the individual to achieve rehabilitative, resiliency and recovery
goals. CST facilitates illness self-management, skill building,
identification and use of adaptive and compensatory skills,
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
identification and use of natural supports, and use of community
resources.
i) CST Services shall be:
• Provided only by programs approved pursuant to
Table N;
• Delivered by a team led by a full-time QMHP; and
• Available 24 hours per day, seven days a week,
each week of the year.
ii) CST Services may only be provided:
• By a Community Mental Health Center or
Behavioral Health Clinic;
• At all service locations and setting deemed
appropriate for reimbursement, as detailed in the
Department's published fee schedule;
• On an individual basis;
• By video, phone or face-to-face contact,
notwithstanding the restriction on services provided
via phone in Sections 140.6(n) and 140.403.
iii) CST Services may be subject to prior authorization,
pursuant to Section 140.40.
e) Targeted Case Management (TCM). The following services are established
pursuant to section 1905(a)(19) of the Social Security Act (42 USC
1396d(a)(19)).
1) Types of TCM Services
A) Client-centered Consultation Case Management. Client-centered
Consultation Case Management consists of client-specific
ILLINOIS REGISTER 3081
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
professional communications among provider staff or between
provider staff and staff of other providers who are involved with
service provision to the individual. Professional communications
include offering or obtaining a professional opinion regarding the
individual's current functioning level or improving the individual's
functioning level, discussing the individual's progress in treatment,
adjusting the individual's current treatment, or addressing the
individual's need for additional or alternative mental health
services. Client-centered Consultation Case Management services
may only be provided:
i) To eligible individuals receiving one or more services
detailed in Section 140.453(d)(2) (General MRO Services);
ii) By a Community Mental Health Center or Behavioral
Health Clinic;
iii) At all service locations and settings deemed appropriate for
reimbursement, as detailed in the Department's published
fee schedule;
iv) On an individual basis;
v) By an RSA, MHP, QMHP and LPHA; and
vi) By video, phone or face-to-face contact, notwithstanding
the restriction on services provided via phone in Sections
140.6(n) and 140.403.
B) Mental Health Case Management Services. Mental Health Case
Management Services consist of: assessment, planning,
coordination and advocacy services for individuals who need
multiple services and require assistance in gaining access to and in
using behavioral health, physical health, social, vocational,
educational, housing, public income entitlements and other
community services to assist the individual in the community.
Mental Health Case Management Services may also include
identifying and investigating available resources, explaining
options to the individual, and linking the individual with necessary
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
resources. Mental Health Case Management Services may be
provided:
i) Prior to Assessment and Treatment Planning;
ii) By a Community Mental Health Center or Behavioral
Health Clinic;
iii) At all service locations and settings deemed appropriate for
reimbursement, as detailed in the Department's published
fee schedule;
iv) On an individual basis;
v) By an RSA, MHP, QMHP and LPHA; and
vi) By video, phone or face-to-face contact, notwithstanding
the restriction on services provided via phone in Sections
140.6(n) and 140.403.
C) Transition Linkage and Aftercare Case Management Services shall
be provided to assist in an effective transition in living
arrangements, consistent with the individual's welfare and
development. This includes discharge from institutional settings,
transition to adult services, and assisting the individual or the
individual's family or caretaker with the transition.
i) Transition, Linkage and Aftercare Limitation. The
Department will not fund more than 40 hours of this service
per State fiscal year for an eligible individual.
ii) Transition, Linkage and Aftercare may only be provided:
• By a Community Mental Health Center or
Behavioral Health Clinic;
• At all service locations and settings deemed
appropriate for reimbursement, as detailed in the
Department's published fee schedule;
ILLINOIS REGISTER 3083
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NOTICE OF PROPOSED AMENDMENTS
• On an individual basis;
• By an MHP, QMHP and LPHA; and
• By video, phone or face-to-face contact,
notwithstanding the restriction on services provided
via phone in Sections 140.6(n) and 140.403.
iii) Transition Linkage and Aftercare Case Management
Services may be subject to prior authorization, pursuant to
Section 140.40.
2) Limitation on Targeted Case Management Services. The Department shall
not fund more than 240 total hours of targeted case management services
per State fiscal year per individual.
Words that are defined in 59 Ill. Adm. Code 132.25 have the same meaning when used in
Sections 140.452 through 140.456.
"DCFS" means the Illinois Department of Children and Family Services.
"DHS" means the Illinois Department of Human Services.
"Screening, Assessment and Support Services (SASS)" means a program of
intensive mental health services provided by an agency certified by DHS or DCFS
to provide screening, assessment and support services to children with a mental
illness or emotional disorder who are at risk for psychiatric hospitalization.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 140.454 Types of Mental Health Services
The specific types of mental health services for which payment maywill be made are:
a) Mental health services meeting the standards in 8959 Ill. Adm. Code 140.453132;
b) The screening and assessment authorized under 59 Ill. Adm. Code 131.40 for
individualsclients under 21 years of age; and
ILLINOIS REGISTER 3084
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
c) The crisis intervention and stabilization services authorized under 59 Ill. Adm.
Code 131.50(a) provided during an individual's participation in the Screening,
Assessment and Support Services program;for a period not to exceed 90 days for
clients under 21 years of age.
d) Subject to prior approval pursuant to Section 140.40, case management services
for individuals, identified through the screening process specified in Section
140.642, transitioning from a nursing facility into residence in the community;
and.
e) Developmental testing for an infant and risk assessment screening for perinatal
depression, for either the mother (prenatal or post-partum) or the infant, up to one
year after delivery.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 140.455 Payment for Mental Health Services
a) The amount approved for payment for mental health services described in Section
140.454 shall be based on the type and amount of service required by and actually
delivered, and provided consistent with any service limitations, utilization
controls, or prior approval processes established or authorized by the
Departmentto a client.
b) The payment amount for a service described in Section 140.454(a) through (dc) is
determined in accordance with the rate methodologies outlined in the HFS fee
schedule for community-based behavioral health providers59 Ill. Adm. Code
132.60.
c) The payment amount for a service described in Section 140.454(e) shall be at the
rate of reimbursement paid to a physician for the same service.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 140.456 Hearings
The Department shall initiate administrative proceedings pursuant to 89 Ill. Adm. Code 104,
Subpart C, and Sections 140.13 through 140.19 to suspend or terminate the eligibility of
ILLINOIS REGISTER 3085
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
providers of mental health clinic services to participate in the Illinois Medical Assistance
Program when the provider has failed to comply withwhere:
a) The provider has failed to comply with 59 Ill. Adm. Code 132; and/or
b) Sections 140.452 through 140.455;
c) Section 140.460;
d) Section 140.499 or Table O; and/or
e) Any of the grounds for suspension or termination set forth in Section 140.16 or
Section 140.17 are present.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 140.460 Clinic Services
a) The following types of clinics are eligible to receive payment for clinic services:
1a) Hospital-based organized clinics;
2b) Encounter rate clinics;
3c) Federally Qualified Health Centers (FQHC):
4d) Rural health clinics; and
e) Mental health clinics (see Sections 140.452 through 140.456); and
5f) Maternal and Child Health Clinics.
b) Behavioral Health Clinics are eligible to receive payment for Community-based
Mental Health Services as defined in Section 140.453, pursuant to the
Department's fee schedule for Community-based Mental Health Services.
c) Clinics enrolled for participation in the Medical Assistance Program pursuant to
Sections 140.11 and 140.12 to receive reimbursement on an encounter rate basis
are prohibited from receiving reimbursement from the Department for the
ILLINOIS REGISTER 3086
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
provision of services in Section 140.453 in any form other than their established
behavioral health encounter rate.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 140.499 Behavioral Health Clinic
The Behavioral Health Clinic (BHC) shall:
a) Establish a specific geography service area or population to serve;
b) Provide community-based mental health services pursuant to Section 140.453;
c) Enroll with the Department as a medical provider pursuant to Section 140.11 and
comply with Subparts A and B;
d) Not be enrolled for participation in the Medical Assistance Program as a clinic
pursuant to Section 140.460(a) or as a Community Mental Health Center pursuant
to 59 Ill. Adm. Code 132;
e) Provide cost reporting information to the Department in a manner and format
specified by the Department with a minimum of 90 days written notice; and
f) Comply with requirements established in Table O.
(Source: Added at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 3087
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
Section 140.TABLE N Program Approval for Specified Behavioral Health Services
a) Purpose. Services requiring program approval, as required in Section 140.453,
shall be approved based upon the criteria outlined in this Section. For the
purposes of this Section, Department shall mean the Department of Healthcare
and Family Services (HFS) or its agent.
b) Process
1) Initial Program Approval
A) Enrolled providers, and providers seeking enrollment with HFS
pursuant to Section 140.452, to provide one or more of the services
detailed in Section 140.453 that require program approval, must
identify their intention to provide those services with the HFS
Provider Participation Unit through the Illinois Medicaid Program
Advanced Cloud Technology (IMPACT) portal.
B) The Department shall process the provider's enrollment
application, or updated materials, pursuant to Subpart B.
C) Following the provider's enrollment, or updated enrollment status,
the Department will perform program approval of the provider's
service program within 90 days.
D) The program approval process shall include:
i) The annual submission of an attestation detailing the
provider's adherence with Section 140.453 and this Table
N, for each service the provider is seeking program
approval.
ii) The review of provider program plans, policies, procedures,
staffing materials, and other documents required by the
Department to determine compliance with Section 140.453
and this Table N, for each service for which the provider is
seeking program approval.
ILLINOIS REGISTER 3088
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
iii) Program approval of PSR and IO service programs shall
require an on-site visit prior to approval.
iv) The Department may, at its sole discretion, elect to perform
on-site program approval activities for any and all services
detailed in this Table N.
E) The Department will notify the provider of the date and format of
its program approval activities in writing. For program approval
activities that are subject to on-site review, the Department will
notify the provider at least 10 days prior to the scheduled review.
The Provider must:
i) Make the physical plant and site locations available to the
Department during clinical review;
ii) Make all administrative and clinical staff, required program
plans, procedures manuals, and other necessary
documentation required to complete the program approval
review available to the Department during the review.
F) The Department shall utilize the program approval criteria detailed
in subsection (c) of this Table N for each of the qualifying service
program types to be reviewed.
G) Following the on-site review, the Department shall notify the
provider in writing, within 10 business days, of its program
approval findings.
i) Providers determined to be approved shall be enrolled for a
period of 12 months for the service program specialty in
IMPACT.
ii) Providers determined not to be approved:
• May request programmatic technical assistance
from the Department. Throughout the period of
receiving technical assistance, and at the sole
discretion of the Department, the Department may
ILLINOIS REGISTER 3089
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
work jointly with the provider to remedy
outstanding issues and approve the provider's
program.
• Providers determined not to be approved shall be
notified of their rights to appeal pursuant to
subsection (e), following the receipt of technical
assistance from the Department.
2) Program Approval/Annual Re-Approval. Following successful completion
of initial program approval, providers shall have their service programs
reviewed and re-approved annually pursuant to subsection (b)(1)(D)
through (G).
A) Providers determined to be re-approved shall continue to be
enrolled for the service program specialty in IMPACT for an
additional period of 12 months.
B) Providers failing to continue to meet the approval standards shall
be issued a Notice of Deficiencies. The Notice of Deficiencies
shall inform the provider that it is granted 30 a day period to
remedy all identified deficiencies and that technical assistance is
available from the Department.
i) Providers that remedy identified deficiencies shall be re-
approved pursuant to subsection (b)(2)(A).
ii) Providers that fail to remedy identified deficiencies shall be
provided Final Notice from the Department upon the close
of the 30 day period established by the Notice of
Deficiencies. Upon the date of issuance of Final Notice,
the provider shall be informed of its right to appeal and the
availability of technical assistance (see subsection
(b)(1)(G)(ii)).
c) Services
1) Community Support Team (CST) Program Approval. The provider must
attest annually to CST Services meeting the standards detailed in this
ILLINOIS REGISTER 3090
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
subsection (c)(1). Additionally, the provider shall demonstrate
compliance with the following requirements through policy, procedures,
aggregated service detail and/or client record documentation.
A) Programming. The provider shall ensure CST Services are
delivered consistently with the following:
i) Services. Individuals served in the CST program shall have
access to the interventions detailed in Section
140.453(d)(2)(A) and (G).
ii) Service Delivery
• CST Services are to be provided in the individual's
natural setting, with teams delivering no fewer than
60 percent of services in the home or community
setting.
• CST Services shall be provided during times and at
locations that reasonably accommodate individual's
service and treatment needs.
iii) Staffing Ratio. CST Services are delivered with staffing
ratios that ensure that no more than 18 individuals per each
full time equivalent staff are attributed to CST.
B) Staffing Requirements. The provider shall ensure that the CST
team is established consistently with the following:
i) A team lead (see Section 140.453(d)(4)(B)(i));
ii) A team member who is either a Certified Recovery Support
Specialist (CRSS) or Certified Family Partnership
Professional (CFPP), based upon the age of the individuals
served by the team. A person with lived experience may be
included on a team that does not have a CRSS or CFPP if
he/she obtains certification within 18 month after his/her
date of hire; and
ILLINOIS REGISTER 3091
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
iii) One other staff member meeting the credentials to provide
one or more of the services detailed in in Section
140.453(d)(2)(A) and (G).
C) Targeted Population Profile. The provider shall ensure the
predominant population of individuals receiving CST Services
from their CST program will exhibit 3 or more of the following
conditions:
i) At risk of institutionalization;
ii) Repeated utilization of crisis services or emergency
services for an underlying behavioral health condition;
iii) Current, or history within the last three months of
(inclusive of threats of):
• Suicidal ideation or gestures; or
• Harm to self or others;
iv) History of failed treatment compliance with elements of the
individual's Treatment Plan, Crisis Safety Plan or
prescribed medications impacting his/her behavioral health
condition;
v) Frequent utilization of detoxification services;
vi) Behavioral health issues that have not shown improvement
through participation in traditional outpatient behavioral
health services; or
vii) Compounding treatment factors, such as:
• Medical complexity, including cognitive
impairment, additional medical conditions, and/or
medication resistance;
ILLINOIS REGISTER 3092
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
• Issues with social determinants, including chronic
homelessness, repeat arrest, and/or incarceration; or
• Behavioral complexity, including inappropriate
public behavior (e.g., public intoxication,
indecency, disturbing the peace) or other behavioral
problems.
D) Provider-based Utilization Management. The provider shall
establish a CST Service review process that adheres to the
following:
i) The team shall meet weekly to review all individuals
participating in the CST program and their progress in
services.
ii) The CST team lead shall review, with the referring LPHA,
the Assessment and Treatment Plan and CST Services on a
monthly basis to ensure ongoing necessity for service
delivery.
iii) The LPHA shall:
• Review each individual's progress in service; and
• Identify any necessary changes in CST Services,
including transition to less intensive services,
consistent with the participating individual's
Assessment and Treatment Plan.
2) IO Program Approval. The provider must attest annually to IO Services
meeting the standards detailed in this subsection (c)(2). Additionally, the
provider shall demonstrate compliance with the following requirements
through policy, procedures, aggregated service detail, and/or client record
documentation.
A) Programming. The provider shall ensure IO Services are delivered
consistently with the following:
ILLINOIS REGISTER 3093
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
i) Active Treatment. The provider shall program IO Services
to ensure participants are provided with active treatment,
meaning that activities and therapies are not primarily
recreational or diversionary. IO Services are provided in
response to the participating individual's condition with a
reasonable expectation to:
• Improve or maintain the individual's condition;
• Improve functional level; and
• Prevent institutionalization.
ii) IO programming provides a series of time-limited,
structured, group interventions specific to the needs of the
participating individuals, including psychoeducational,
skills-development, crisis de-escalation, and other
therapeutic interventions. IO programming shall be
evidence-informed and delivered through the use of a
standardized curriculum model, when available.
B) Staffing Requirements. The provider shall ensure that IO Service
programs are established and include staffing ratios. IO Service
staffing ratios for groups shall not exceed one full-time equivalent
staff to 8 individuals for adults and one full-time equivalent staff to
4 individuals for youth.
C) Targeted Population Profile. The provider shall ensure the
predominant population of individuals receiving IO Services from
their IO program meet the criteria in this subsection (c)(2)(C):
i) Recognize their condition and seek to manage that
condition through lower intensity community services;
ii) Are at risk of institutionalization; and
iii) Have sufficient cognitive ability to benefit from IO
Services.
ILLINOIS REGISTER 3094
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
D) Provider-based Utilization Management. The provider shall
establish an IO Service review process that adheres to the
following:
i) The IO staff shall review, with the referring LPHA, the
Assessment and Treatment Plan and IO Services on a
weekly basis.
ii) The LPHA shall review each individual's diagnosis and
identify targeted IO Service topics and goals to be
addressed through the provider's IO Service program.
3) PSR Program Approval. The Provider must attest annually to PSR
Services meeting the standards detailed in this subsection (c)(3).
Additionally, the provider shall demonstrate compliance with the
following requirements through policy, procedures, aggregated service
detail, and/or client record documentation.
A) Programming. The provider shall ensure PSR Services are
delivered consistently with the following:
i) Active Treatment. The provider shall develop PSR
Services to ensure participants are provided with active
treatment, meaning activities and therapies are not
primarily recreational or diversionary. PSR Services are
provided in response to the individual's condition, with a
reasonable expectation to:
• Improve or maintain the individual's condition;
• Improve functional level; and
• Prevent institutionalization.
ii) Co-occurring Treatment. PSR programs shall have the
ability to provide services and interventions to individuals
with co-occurring psychiatric and substance use disorder
conditions.
ILLINOIS REGISTER 3095
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
B) Staffing. The provider shall ensure that PSR Service programs are
established consistently with the following:
i) PSR Program Director. The PRS program shall have a full-
time Program Director that meets the requirements of a
QMHP (see Section 140.453(b)(2)). The Program Director
shall be consistently scheduled onsite, spending at least half
of his/her time in the provision of PSR Services.
ii) All PSR program staff shall have direct access to the PSR
Program Director, or other delegated QMHP, at all times
during PSR Service delivery.
C) Targeted Population Profile. The provider will ensure the
predominant population of individuals receiving PSR Services
from their PSR program will meet the criteria in this subsection
(c)(3)(C):
i) Require a minimum of 20 hours per week of therapeutic
services as evidenced in the plan of care;
ii) Benefit from a coordinated program of services and require
more than individual sessions of outpatient treatment;
iii) Do not require 24-hour care;
iv) Have an adequate support system while not actively
engaged in the program;
v) Have a mental health diagnosis;
vi) Are determined not to be a dangerous to self or others; and
vii) Have the cognitive and emotional ability to participate in
the active treatment process and can tolerate the intensity of
PSR Services.
ILLINOIS REGISTER 3096
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
D) Provider-based Utilization Management. The provider shall
establish a PSR Service review process that adheres to the
following:
i) The PSR staff shall review, with the referring LPHA, the
Assessment and Treatment Plan and PSR Services
minimally on the following schedule:
• Within 14 days after admission to the PSR program;
and
• Once every 30 days, following the initial 14 day
period.
ii) The LPHA shall:
• Validate the individual's diagnosis, establish the
PSR Service goals with the individual, and direct
the type, amount, duration and frequency of
intervention to be delivered during the individual's
participation at the PSR program.
• Certify that the individual cannot otherwise be
stabilized in the community without participating in
PSR Services, placing the individual at risk of
institutionalization.
d) Transferability. Program approval is assignable or transferable consistent with
the policies and procedures established by the HFS Provider Participation Unit
related to the assignment and transferability of a provider's enrollment status with
HFS.
e) Appeals. For appeals regarding program approval, the following shall apply:
1) The HFS rules for Medical Vendor Hearings (89 Ill. Adm. Code
104.Subpart C) shall apply to all appeals under this Section, except that:
A) Informal review of any appealable issue must be completed by the
Department's Bureau of Behavioral Health (BBH) pursuant to this
ILLINOIS REGISTER 3097
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
Section before formal appeal of the issue may be requested to the
Department's Bureau of Administrative Hearings (BAH); and
B) 89 Ill. Adm. Code 104.204, 104.205, 104.206, 104.207, 104.208,
104.210, 104.211, 104.213, 104.216, 104.217, 104.249, 104.260,
104.272, 104.273 and 104.274 shall not apply.
2) A provider may appeal the following actions detailed in this Part:
A) Refusal to issue program approval; or
B) Revocation of program approval resulting in disenrollment from
participation for the specific clinical service in question.
3) Informal Review Process
A) The provider seeking to appeal any of the issues in subsection
(e)(2) must first request informal review of the issue by BBH
before the issue may be appealed to BAH.
i) Request for informal review must be submitted in writing
to BBH within 10 days after the date of notice of the
contested action and must clearly identify the issue or
action for which informal review is sought.
ii) If the request for informal review is received by BBH prior
to the Department's intended action taking effect, the action
shall be stayed until completion of the informal review and,
if applicable, expiration of the subsequent 10 day period to
formally appeal the outcome of the informal review to
BAH.
B) The BBH shall complete the informal review of the contested
action within 30 days after receipt of the request and shall
determine whether to maintain, reverse or modify the action or
take other action as necessary.
ILLINOIS REGISTER 3098
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
i) BBH may request and review all materials pertaining to the
informal review held by the Department's vendors, agents
or providers.
ii) BBH shall notify the individual or authorized
representative in writing of the result of the informal
review. The written notification shall:
• State the result of the informal review, including
action to be taken, if any;
• State the reason and policy basis for the action; and
• Provide notice of the right to appeal and instructions
on how to proceed with formal appeal through
BAH.
C) The provider may appeal the result of the informal review by filing
a written request for appeal with BAH within 10 days after the date
of the notice of the result of the informal review. If the request for
appeal is received by BAH prior to Department's intended action
taking effect, the action shall be stayed until the appeal is resolved
through final administrative decision or withdrawal of the appeal.
D) The final administrative decision shall be issued to the interested
parties within 90 days after the date the appeal is filed with BAH
unless additional time is required for proper disposition of the
appeal.
E) Appropriate action implementing the final administrative decision
shall be taken within 30 days after the date the final administrative
decision is issued.
(Source: Added at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 3099
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
Section 140.TABLE O Criteria for Participation as a Behavioral Health Clinic
a) General Requirements. A Behavioral Health Clinic (BHC) shall:
1) Operate in a manner compliant with all applicable State and federal laws,
regulations and adopted policies and procedures;
2) Establish and maintain policies and procedures to be used by all staff in
the administration of programs and delivery of services;
3) Ensure facilities, staff and services are culturally competent, consistent
with the needs of individuals served. Culturally competent shall mean
compliance with the national Culturally and Linguistically Appropriate
Standards (CLAS) (https:www.thinkculturalhealth.hhs.gov/clas), as
detailed by the HHS Office of Minority Health;
4) Establish policies, protocols, and other necessary contracts or agreement
to ensure individuals can access and maintain active support from an
independent practitioner licensed by the State of Illinois to provide
consultation, evaluation, prescription and management of medication; and
5) Hold, at a minimum, quarterly meetings with individuals served and
community stakeholders to obtain feedback.
b) Clinic Location. BHC locations must meet the following standards:
1) Not be an individual's residence or a home;
2) Provide a sanitary and comfortable environment for individuals and staff
conducive to the provision of behavioral health services;
3) Establish and maintain policies and procedures specific to emergency
disaster plans, fire evacuation plans, and procedures for managing the
basic maintenance of the site;
4) Provide an environment reflective of the interventions being offered and
populations being served that, at a minimum, shall afford privacy to
individuals;
ILLINOIS REGISTER 3100
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
5) Meet health and safety standards, as applicable;
6) Be accessible in accordance with the Americans With Disabilities Act of
1990 (42 USC 12101), as amended, and the Illinois Accessibility Code (71
Ill. Adm. Code 400) and the ADA Accessibility Guidelines (28 CFR 36),
whichever is more stringent. Providers must maintain a written policy for
reasonable accommodations for the provision of services to individuals
unable to access the provider's sites due to physical inaccessibility;
7) Display a current letter from the Office of the State Fire Marshal or the
local fire authority demonstrating annual compliance with 41 Ill. Adm.
Code Part 100; and
8) Comply with building codes adopted by local ordinance.
c) Personnel Standards. A BHC shall:
1) Maintain sufficient staff of appropriate training and credentialing to meet
the requirements for service delivery;
2) Employ a full-time Clinical Director who meets the requirements of a
Licensed Practitioner of the Healing Arts (LPHA) to oversee and direct
the clinical functions of the BHC;
3) Perform and record sufficient background checks on all prospective
employees, volunteers, interns, unpaid personnel, or other individuals who
are prospective agents of the BHC. Background checks shall be retained
in the individual's personnel record. The BHC shall, at a minimum:
A) Access the Department of Public Health's Health Care Worker
Registry concerning the person. If the Registry has information
substantiating a finding of abuse or neglect against the person, the
provider shall not engage him/her in any capacity;
B) Perform background checks in compliance with requirements set
forth in the Health Care Worker Background Check Act [225 ILCS
46] and in the Illinois Department of Public Health's rules (77 Ill.
Adm. Code 955);
ILLINOIS REGISTER 3101
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF PROPOSED AMENDMENTS
C) Review the Provider Sanctions List provided by the HFS Office of
Inspector General (HFS OIG) to ensure the provider is not on the
list of sanctioned providers. The provider shall not employ or
contract with any provider found on the HFS OIG Provider
Sanctions List; and
D) Meet any additional background check requirements required by
the population or funder as approved by the Department.
d) Organizational Requirements. A BHC shall:
1) Maintain an appropriate level of insurance against professional and
physical liabilities;
2) Not subcontract for the delivery of services detailed in Section 140.453.
e) Service Delivery Requirements. A BHC shall:
1) Coordinate service delivery with the individual's primary care provider,
care coordination entity, and/or managed care entity;
2) Seek to enhance individual engagement through the:
A) Availability of services during non-traditional working hours (e.g.,
weekends and evening periods); and
B) Delivery of services in the home or other community-based
settings.
3) Develop policies and procedures to ensure individuals receive referrals for
substance use disorder treatment services, as needed.
(Source: Added at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 3102
18
ILLINOIS RACING BOARD
NOTICE OF PROPOSED AMENDMENTS
1) Heading of the Part: Medication
2) Code Citation: 11 Ill. Adm. Code 603
3) Section Numbers: Proposed Actions:
603.60 Amendment
603.75 Amendment
4) Statutory Authority: 230 ILCS 5/9(b)
5) A Complete Description of the Subjects and Issues Involved: This proposed rulemaking
updates the Association of Racing Commissioners International (ARCI) Uniform
Classification Guidelines for Foreign Substances, referenced in Section 603.60(a)(3), to
version 13.4, dated January 2018. This proposed rulemaking also updates the thresholds
in Section 603.75 for caffeine and theobromine, pursuant to the thresholds contained in
the ARCI Endogenous, Dietary, or Environmental Substances Schedule (version 3.0).
The ARCI Guidelines gives regulators, veterinarians, and horsemen guidelines to assist
them in understanding the relative performance effects of various drugs and medications.
The ARCI Guidelines are useful for regulators and horsemen nationwide, most of whom
have little training or experience with drugs and their effects on racehorses. Updating
Sections 603.60 and 603.75 assists racing jurisdictions in the making of racing regulatory
policy.
6) Published studies or reports and sources of underlying data used to compose this
rulemaking: Association of Racing Commissioners International (ARCI) Uniform
Classification Guidelines of Foreign Substances version 13.4, January 2018; ARCI
Endogenous, Dietary, or Environmental Substances Schedule version 3.0.
7) Will this rulemaking replace any emergency rule currently in effect? No
8) Does this rulemaking contain an automatic repeal date? No
9) Does this rulemaking contain incorporations by reference? Yes
10) Are there any other rulemakings pending in this Part? No
11) Statement of Statewide Policy Objective: No local governmental units will be required to
increase expenditures.
ILLINOIS REGISTER 3103
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ILLINOIS RACING BOARD
NOTICE OF PROPOSED AMENDMENTS
12) Time, Place and Manner in which interested persons may comment on this proposed
rulemaking: Written comments should be submitted, within 45 days after this notice, to:
Mickey Ezzo
Illinois Racing Board
100 West Randolph
Suite 5-700
Chicago IL 60601
312/814-5017
13) Initial Regulatory Flexibility Analysis:
A) Types of small businesses, small municipalities and not-for-profit corporations
affected: None
B) Reporting, bookkeeping or other procedures required for compliance: None
C) Types of professional skills necessary for compliance: None
14) Regulatory Agenda which this rulemaking was summarized: January 2018
The full text of the Proposed Amendments begins on the next page:
ILLINOIS REGISTER 3104
18
ILLINOIS RACING BOARD
NOTICE OF PROPOSED AMENDMENTS
TITLE 11: ALCOHOL, HORSE RACING, LOTTERY, AND VIDEO GAMING
SUBTITLE B: HORSE RACING
CHAPTER I: ILLINOIS RACING BOARD
SUBCHAPTER c: RULES APPLICABLE TO ALL OCCUPATION LICENSEES
PART 603
MEDICATION
Section
603.10 Pre-Race Saliva Tests
603.20 Racing Soundness Exam
603.30 Foreign Substances and Pharmaceutical Aids Banned
603.40 Twenty-four Hour Ban
603.50 Trainer Responsibility
603.55 Prima Facie Evidence
603.60 Permitted Use of Foreign Substances and Threshold Levels
603.70 Furosemide
603.75 Environmental Contaminants
603.80 Needles, Syringes and Injectables
603.90 Drugs, Chemicals and Prescription Items
603.100 Detention Barn
603.110 Test Samples
603.120 Referee Samples
603.130 Laboratory Findings and Reports
603.140 Distribution of Purses
603.150 Post Mortems
603.160 Penalties
603.170 Veterinarian's Records
603.180 Carbon Dioxide Tests
603.190 Erythropoietin and Darbepoietin Antibody Testing Program
603.200 Out of Competition Testing
603.210 Androgenic-Anabolic Steroids (AAS)
AUTHORITY: Implementing, and authorized by Section 9(b) of, the Illinois Horse Racing Act
of 1975 [230 ILCS 5].
SOURCE: Adopted at 21 Ill. Reg. 3232, effective March 4, 1997; amended at 22 Ill. Reg. 2217,
effective January 1, 1998; amended at 22 Ill. Reg. 3594, effective February 1, 1998; amended at
25 Ill. Reg. 15611, effective December 1, 2001; amended at 26 Ill. Reg. 12360, effective August
ILLINOIS REGISTER 3105
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ILLINOIS RACING BOARD
NOTICE OF PROPOSED AMENDMENTS
1, 2002; amended at 27 Ill. Reg. 5027, effective March 7, 2003; amended at 27 Ill. Reg. 7331,
effective April 15, 2003; amended at 28 Ill. Reg. 1374, effective January 19, 2004; amended at
28 Ill. Reg. 4751, effective March 1, 2004; emergency amendment at 28 Ill. Reg. 7565, effective
May 11, 2004, for a maximum of 150 days; emergency expired October 7, 2004; amended at 28
Ill. Reg. 11250, effective August 1, 2004; amended at 28 Ill. Reg. 15790, effective December 1,
2004; emergency amendment at 29 Ill. Reg. 2779, effective February 22, 2005, for a maximum
of 150 days; emergency amendment at 29 Ill. Reg. 4116, effective February 25, 2005, for a
maximum of 150 days; amended at 29 Ill. Reg. 5726, effective April 8, 2005; amended at 29 Ill.
Reg. 12265, effective July 24, 2005; amended at 29 Ill. Reg. 14038, effective September 1, 2005;
emergency amendment at 30 Ill. Reg. 14371, effective August 21, 2006, for a maximum of 150
days; amended at 30 Ill. Reg. 18729, effective November 20, 2006; amended at 31 Ill. Reg.
1478, effective January 1, 2007; emergency amendment at 31 Ill. Reg. 6680, effective April 23,
2007, for a maximum of 150 days; amended at 31 Ill. Reg. 12982, effective September 1, 2007;
amended at 32 Ill. Reg. 7397, effective May 1, 2008; amended at 33 Ill. Reg. 12571, effective
August 25, 2009; expedited correction at 34 Ill. Reg. 9551, effective August 25, 2009;
emergency amendment at 35 Ill. Reg. 265, effective December 17, 2010, for a maximum of 150
days; emergency amendment at 35 Ill. Reg. 2810, effective February 1, 2011, for a maximum of
150 days; amended at 35 Ill. Reg. 7400, effective April 25, 2011; amended at 35 Ill. Reg. 8485,
effective May 23, 2011; emergency amendment at 35 Ill. Reg. 15296, effective September 6,
2011, for a maximum of 150 days; emergency rule repealed by emergency amendment at 35 Ill.
Reg. 18434, effective October 24, 2011, for the remainder of the 150 days; emergency
amendment at 35 Ill. Reg. 18959, effective October 25, 2011, for a maximum of 150 days;
amended at 36 Ill. Reg. 330, effective January 1, 2012; emergency amendment at 36 Ill. Reg.
3290, effective February 15, 2012, for a maximum of 150 days; emergency amendment at 36 Ill.
Reg. 6057, effective April 6, 2012, for a maximum of 150 days; amended at 36 Ill. Reg. 8967,
effective June 1, 2012; amended at 36 Ill. Reg. 12815, effective August 1, 2012; amended at 36
Ill. Reg. 17078, effective November 28, 2012; emergency amendment at 36 Ill. Reg. 17131,
effective November 28, 2012, for a maximum of 150 days; amended at 37 Ill. Reg. 4993,
effective April 1, 2013; emergency amendment at 38 Ill. Reg. 9121, effective April 10, 2014, for
a maximum of 150 days; amended at 38 Ill. Reg. 18555, effective August 25, 2014; amended at
39 Ill. Reg. 11492, effective August 1, 2015; amended at 40 Ill. Reg. 9208, effective July 1,
2016; amended at 41 Ill. Reg. 12866, effective October 1, 2017; amended at 42 Ill. Reg. ______,
effective ____________.
Section 603.60 Permitted Use of Foreign Substances and Threshold Levels
a) Non-Steroidal Anti-Inflammatories (NSAID): Threshold Levels
1) Only one non-steroidal anti-inflammatory drug (NSAID) may be present
ILLINOIS REGISTER 3106
18
ILLINOIS RACING BOARD
NOTICE OF PROPOSED AMENDMENTS
in a horse's body while it is participating in a race. The presence of more
than one NSAID, greater than the threshold level, is forbidden and will
result in the purse being redistributed.
2) Subject to the prohibition contained in Section 603.40 (24 hour ban), the
only foreign substances that now meet the criteria established in Section
603.80 are phenylbutazone, flunixin, ketoprofen, pyrilamine, isoxsuprine
and the therapeutic medications listed in subsection (f).
3) Laboratory reports of phenylbutazone in a concentration greater than or
equal to 2 mcg/ml in serum or plasma, flunixin in a concentration greater
than or equal to 20 ng/ml in serum or plasma, and ketoprofen in a
concentration greater than or equal to 2 ng/ml in serum or plasma shall be
treated as Class 4 drugs, category "C" penalty, as defined in the
Association of Racing Commissioners International Uniform
Classification Guidelines for Foreign Substances (ARCI, 1510 Newtown
Pike, Suite 210, Lexington KY 40511; January 2018July 29, 2017 version
13.413.3; this incorporation includes no later amendments or editions).
4) A finding by the Board's laboratory of any amount of oxyphenbutazone in
the absence of phenylbutazone shall be treated as a Class 4 drug, as
defined in the ARCI Guidelines for Foreign Substances (incorporated by
reference in subsection (a)(3)).
5) The use of multiple permitted NSAIDs shall be discontinued at least 48
hours prior to post time for the race in which the horse is entered. The
presence of more than one NSAID is prohibited with the exceptions of:
A) Phenylbutazone – in a concentration less than 0.3 mcg/ml in
serum or plasma.
B) Flunixin – in a concentration less than 3 ng/ml in serum or
plasma.
C) Ketoprofen – in a concentration less than 1 ng/ml in serum or
plasma.
6) If the phenylbutazone, flunixin or ketoprofen overage is due to the
negligence of the veterinarian attending the horse, the veterinarian shall be
ILLINOIS REGISTER 3107
18
ILLINOIS RACING BOARD
NOTICE OF PROPOSED AMENDMENTS
subject to the same penalties as are set forth in the ARCI Guidelines for
Foreign Substances (incorporated by reference in subsection (a)(3)).
7) Penalties for violations of this Section shall be based on the following
criteria:
A) previous warnings and rulings for violations of this Section;
B) the age and experience of the violator;
C) whether the violator has ever been the subject of a medication
ruling in this or any other racing jurisdiction;
D) what action, if any, was taken to avoid the violation;
E) the purse of the race.
b) The following foreign substances may be administered externally to a horse
entered to a race: Leg paints and liniment that do not contain any "caine"
derivatives, pharmacodynamic and/or chemotherapeutic agents, and that can be
applied topically without penetrating the skin.
c) Subject to the prohibition contained in Section 603.40 (24-hour ban), the
following foreign substances, commonly referred to as anti-bacterial, anti-fungal,
or anti-protozoal drugs, may be present in the body of a horse participating in a
race.
1) Anti-Bacterials
Amikacin
Ampicillin
Ampicillin sodium
Azolsulfamide
Chloramphenicol
Doxycycline
Enrofloxacin (Baytril)
Erythromycin sulfate
Gentamicin sulfate
Kanamycin sulfate
ILLINOIS REGISTER 3108
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ILLINOIS RACING BOARD
NOTICE OF PROPOSED AMENDMENTS
Methenamine
Metronidazole
Neomycin sulfate
Nitrofurantoin
Oxytetracycline
Penicillin G. Benzathine
Penicillin G. Potassium
Sulfadimethozine
Sulfadimethoxine
Sulfamethoxazole
Sulfametranidazole
Sulfapyridine
Sulfathiazole
Tetracycline
Trimethoprim
2) Anti-Fungals
Amphotericin B
Griseofulvin
Neomycin Undecyclenate
Nystatin
3) Anti-Protozoals
Nitazoxanide (Navigator)
Ponazuril (Marquis)
Pyrimethamine (Daraprim)
d) This listing of anti-bacterial, anti-fungal, and anti-protozoal drugs is all inclusive
and shall not include any other anti-bacterial, anti-fungal or anti-protozoal drug,
except as provided in subsection (f).
e) A foreign substance of accepted therapeutic value may be administered as
prescribed by a veterinarian when threshold levels and guidelines for its use have
been approved by the Board and this Part has been duly amended. The Board
shall give due consideration to threshold levels and guidelines, when making
additions to the permitted list, that have been established by the ARCI Guidelines
for Foreign Substances (incorporated by reference in subsection (a)(3)).
ILLINOIS REGISTER 3109
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ILLINOIS RACING BOARD
NOTICE OF PROPOSED AMENDMENTS
f) Subject to the prohibition contained in Section 603.40 (24 hour ban), the use of
the following therapeutic medications shall be permitted. The official test
samples may contain the following therapeutic medications in concentrations less
than the following threshold levels:
1) Acepromazine − 10 ng/ml as 2-(1-hydroxyethyl) promazine sulfoxide
(HEPS) in urine.
2) Albuterol − 1 ng/ml in urine.
3) Betamethasone − 10 pg/ml in serum or plasma.
4) Butorphanol − 300 ng/ml of total butorphanol in urine.
5) Cetirizine – 6 ng/ml in serum or plasma.
6) Cimetidine – 400 ng/ml in serum or plasma.
7) Clenbuterol –140 pg/ml in urine in thoroughbred and quarter horse breeds;
and Limit of Detection (which is not less than 10 pg/ml) in serum or
plasma in the standardbred breed.
8) Dantrolene –100 pg/ml of 5-hydroxydantrolene in serum or plasma.
9) Detomidine – Level of Detection for detomidine in serum or plasma.
10) Dexamethasone – 5 pg/ml in serum or plasma.
11) Diclofenac – 5 ng/ml in serum or plasma.
12) Dimethyl sulfoxide (DMSO) – 10 mcg/ml in serum or plasma.
13) Firocoxib – 20 ng/ml in serum or plasma.
14) Furosemide – 100 ng/ml in serum or plasma.
15) Glycopyrrlate – 3 pg/ml in serum or plasma.
ILLINOIS REGISTER 3110
18
ILLINOIS RACING BOARD
NOTICE OF PROPOSED AMENDMENTS
16) Guaifenesin – 12 ng/ml in serum or plasma.
17) Isoflupredone – 100 pg/ml in serum or plasma.
18) Lidocaine – 20 pg/ml of total 3-hydroxylidocaine in serum or plasma.
19) Mepivacaine – 10 ng total hydroxymepivacaine/ml in urine.
20) Methocarbamol – 1 ng/ml in serum or plasma.
21) Methylprednisolone − 100 pg/ml in serum or plasma.
22) Omeprazole sulfide – 10 ng/ml in serum or plasma.
23) Prednisolone – 1 ng/ml in serum or plasma.
24) Procaine penicillin − 25 ng/ml of procaine in serum or plasma. Procaine
penicillin must be reported to the Board at time of administration and shall
not be administered after the horse is entered to race.
25) Ranitidine – 40 ng/ml in serum or plasma.
26) Triamcinolone acetonide – 100 pg/ml in serum or plasma.
27) Xylazine – 200 pg/ml in serum or plasma.
g) Laboratory reports of the therapeutic medications listed in subsection (f) greater
than or equal to their respective threshold level shall be treated as they are defined
and classified in the Association of Racing Commissioners International Uniform
Classification Guidelines for Foreign Substances (incorporated by reference in
subsection (a)(3)).
h) Official test samples may contain any of the following drug substances, or their
metabolites, in a concentration less than the threshold level:
1) Isoxsuprine − shall be less than 1,000 ng/ml in urine.
2) Pyrilamine − shall be less than 50 ng/ml of O-desmethyl pyrilamine in
urine.
ILLINOIS REGISTER 3111
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ILLINOIS RACING BOARD
NOTICE OF PROPOSED AMENDMENTS
i) The provisions of this Section shall be applied retroactively when substantively
applicable, including all actions pending before the Board without regard to when
the cause of action accrued; provided, however, that this subsection shall not
operate to affect rights of individuals that have fully vested.
j) To help licensees determine the test levels of substances contained in this Section,
the Board laboratory will test, at the sole expense of the licensee for the actual
cost of processing the sample, all equine urine, serum or plasma samples
submitted to it that are accompanied by a certification indicating time, method
and route of administration.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 603.75 Environmental Contaminants
The following drugs are recognized as substances that unavoidably become part of the food
supply or environment of the horse, or are recognized as substances of human use and addiction
and that could be found in the horse due to its close association with humans:
a) Benzoylecgonine (a metabolite of cocaine):
1) Each time the laboratory reports benzoylecgonine in a concentration less
than 150 ng/ml in urine, the Stewards shall conduct an inquiry. The
presence of benzoylecgonine in the horse shall be considered reasonable
cause to order a drug screen on the trainer, groom or any other licensed
person who cares for the horse pursuant to 11 Ill. Adm. Code 508.50.
2) Laboratory reports of benzoylecgonine in a concentration greater than or
equal to 150 ng/ml in urine shall be treated as a Class 1 drug, as defined in
the Association of Racing Commissioners International Uniform
Classification Guidelines for Foreign Substances (incorporated by
reference in Section 603.60(a)(3)).
b) Caffeine:
Laboratory reports of caffeine in a concentration greater than or equal to 100
ng/ml in serum or plasmaurine shall be treated as a Class 2 drug, as defined in the
Association of Racing Commissioners International Uniform Classification
ILLINOIS REGISTER 3112
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ILLINOIS RACING BOARD
NOTICE OF PROPOSED AMENDMENTS
Guidelines for Foreign Substances (incorporated by reference in Section
603.60(a)(3)).
c) Theobromine:
Laboratory reports of theobromine in a concentration greater than or equal to 2
mcg/ml in urine or 0.3 mcg/ml in serum or plasma shall be treated as a Class 4
drug, as defined in the Association of Racing Commissioners International
Uniform Classification Guidelines for Foreign Substances (incorporated by
reference in Section 603.60(a)(3)).
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 3113
18
SECRETARY OF STATE
NOTICE OF PROPOSED AMENDMENT
1) Heading of the Part: Issuance of Licenses
2) Code Citation: 92 Ill. Adm. Code 1030
3) Section Number: Proposed Action:
1030.92 Amendment
4) Statutory Authority: 625 ILCS 5/2-104
5) A Complete Description of the Subjects and Issues Involved: To date, when the
Secretary of State has issued a driver's license to a person who is temporarily out of the
State of Illinois, the newly issued driver's license did not contain a photograph of the
holder. Due to upgrades in technology, we can now issue the driver's license with a
photograph of the holder. This proposal eliminates language that indicates the driver's
license would not contain a photograph.
6) Published studies or reports, and sources of underlying data, used to compose this
rulemaking: None
7) Will this rulemaking replace an emergency rule currently in effect? No
8) Does this rulemaking contain an automatic repeal date? No
9) Does this rulemaking contain incorporations by reference? No
10) Are there any other rulemakings pending on this Part? Yes
Section Numbers: Proposed Actions: Illinois Register Citations:
1030.85 Amendment 41 Ill. Reg. 11889; September 29, 2017
1030.93 Amendment 41 Ill. Reg. 13964; November 17, 2017
11) Statement of Statewide Policy Objective: The rulemaking will not create or enlarge a
State mandate.
12) Time, Place, and Manner in which interested persons may comment on this proposed
rulemaking: Text of the prepared amendments is posted on the Secretary of State's
website, www.sos.il.us/departments/index/home as part of the Illinois Register. Interested
persons may present their comments concerning this proposed rulemaking in writing
within 45 days after publication of this Notice to:
ILLINOIS REGISTER 3114
18
SECRETARY OF STATE
NOTICE OF PROPOSED AMENDMENT
Jennifer Egizii
Office of the Secretary of State
Driver Services Department
2701 South Dirksen Parkway
Springfield IL 62723
217/557-4462
13) Initial Regulatory Flexibility Analysis:
A) Types of small businesses, small municipalities and not for-profit-corporations
affected: None
B) Reporting, bookkeeping or other procedures required for compliance: None
C) Types of Professional skills necessary for compliance: None
14) Regulatory Agenda on which this rulemaking was summarized: January 2018
The full text of the Proposed Amendment begins on the next page:
ILLINOIS REGISTER 3115
18
SECRETARY OF STATE
NOTICE OF PROPOSED AMENDMENT
TITLE 92: TRANSPORTATION
CHAPTER II: SECRETARY OF STATE
PART 1030
ISSUANCE OF LICENSES
Section
1030.1 Definitions
1030.5 Procedure for Obtaining a Driver's License
1030.6 Procedure for Obtaining a Visa Status Temporary Visitor's Driver's License
Pursuant to IVC Section 6-105.1(a)
1030.7 Procedure for Obtaining a Non-Visa Status Temporary Visitor's Driver's License
Pursuant to IVC Section 6-105.1(a-5)
1030.10 What Persons Shall Not be Licensed or Granted Permits
1030.11 Procedure for Obtaining a Driver's License/Temporary Visitor's Driver's License
(Renumbered)
1030.12 Identification Cards for the Homeless
1030.13 Denial of License or Permit
1030.14 Emergency Contact Database
1030.15 Cite for Re-testing
1030.16 Physical and Mental Evaluation
1030.17 Errors in Issuance of Driver's License/Cancellation
1030.18 Medical Criteria Affecting Driver Performance
1030.20 Classification of Drivers – References (Repealed)
1030.22 Medical Examiner's Certificate − CLP or CDL Holders
1030.25 Safe Driver License Renewals
1030.26 Identification Cards for IDOC/IDJJ Applicants
1030.27 Identification Cards for Youth in Care
1030.30 Classification Standards
1030.40 Fifth Wheel Equipped Trucks
1030.50 Bus Driver's Authority, Religious Organization and Senior Citizen Transportation
1030.55 Commuter Van Driver Operating a For-Profit Ridesharing Arrangement
1030.60 Third-Party Certification Program
1030.63 Religious Exemption for Social Security Numbers (Repealed)
1030.65 Instruction Permits
1030.66 Adult Driver Education
1030.70 Driver's License Testing/Vision Screening
1030.75 Driver's License Testing/Vision Screening With Vision Aid Arrangements Other
Than Standard Eye Glasses or Contact Lenses
ILLINOIS REGISTER 3116
18
SECRETARY OF STATE
NOTICE OF PROPOSED AMENDMENT
1030.80 Driver's License Testing/Written Test
1030.81 Endorsements
1030.82 Charter Bus Driver Endorsement Requirements
1030.83 Hazardous Material Endorsement
1030.84 Vehicle Inspection
1030.85 Driver's License Testing/Road Test
1030.86 Multiple Attempts − Written and/or Road Tests
1030.88 Exemption of Facility Administered Road Test
1030.89 Temporary Driver's Licenses and Temporary Instruction Permits
1030.90 Requirement for Photograph and Signature of Licensee on Driver's License
1030.91 Person with a Disability Identification Card
1030.92 Restrictions
1030.93 Restricted Local Licenses
1030.94 Duplicate or Corrected Driver's License or Instruction Permit
1030.95 Consular Licenses (Repealed)
1030.96 Seasonal Restricted Commercial Driver's License
1030.97 Invalidation of a Driver's License, Permit and/or Driving Privilege
1030.98 School Bus Endorsement or Learner's Permit
1030.100 Anatomical Gift Donor (Repealed)
1030.110 Emergency Medical Information Card
1030.115 Change-of-Address
1030.120 Issuance of a Probationary License
1030.130 Grounds for Cancellation of a Probationary License
1030.140 Use of Captured Images
1030.150 Veteran Designation on Driver's License or Identification Card
1030.APPENDIX A Questions Asked of a Driver's License Applicant
1030.APPENDIX B Acceptable Identification Documents – Applicants for a Driver's
License, Instruction Permit, Visa Status Temporary Visitor's Driver's
License Pursuant to IVC Section 6-105.1(a) or Visa Status Temporary
Visitor's Instruction Permit
1030.APPENDIX C Acceptable Identification Documents – Applicants for a Non-Visa
Status Temporary Visitor's Driver's License or Non-Visa Status
Temporary Visitor's Instruction Permit Pursuant to IVC Section 6-
105.1(a-5)
AUTHORITY: Implementing Article I of the Illinois Driver Licensing Law of the Illinois
Vehicle Code [625 ILCS 5/Ch. 6, Art. I] and authorized by Section 2-104(b) of the Illinois
Vehicle Title and Registration Law of the Illinois Vehicle Code [625 ILCS 5/2-104(b)].
ILLINOIS REGISTER 3117
18
SECRETARY OF STATE
NOTICE OF PROPOSED AMENDMENT
SOURCE: Filed March 30, 1971; amended at 3 Ill. Reg. 7, p. 13, effective April 2, 1979;
amended at 4 Ill. Reg. 27, p. 422, effective June 23, 1980; amended at 6 Ill. Reg. 2400, effective
February 10, 1982; codified at 6 Ill. Reg. 12674; amended at 9 Ill. Reg. 2716, effective February
20, 1985; amended at 10 Ill. Reg. 303, effective December 24, 1985; amended at 10 Ill. Reg.
15130, effective September 2, 1986; amended at 10 Ill. Reg. 18182, effective October 14, 1986;
amended at 11 Ill. Reg. 9331, effective April 28, 1987; amended at 11 Ill. Reg. 18292, effective
October 23, 1987; amended at 12 Ill. Reg. 3027, effective January 14, 1988; amended at 12 Ill.
Reg. 13221, effective August 1, 1988; amended at 12 Ill. Reg. 16915, effective October 1, 1988;
amended at 12 Ill. Reg. 19777, effective November 15, 1988; amended at 13 Ill. Reg. 5192,
effective April 1, 1989; amended at 13 Ill. Reg. 7808, effective June 1, 1989; amended at 13 Ill.
Reg. 12880, effective July 19, 1989; amended at 13 Ill. Reg. 12978, effective July 19, 1989;
amended at 13 Ill. Reg. 13898, effective August 22, 1989; amended at 13 Ill. Reg. 15112,
effective September 8, 1989; amended at 13 Ill. Reg. 17095, effective October 18, 1989;
amended at 14 Ill. Reg. 4570, effective March 8, 1990; amended at 14 Ill. Reg. 4908, effective
March 9, 1990; amended at 14 Ill. Reg. 5183, effective March 21, 1990; amended at 14 Ill. Reg.
8707, effective May 16, 1990; amended at 14 Ill. Reg. 9246, effective May 16, 1990; amended at
14 Ill. Reg. 9498, effective May 17, 1990; amended at 14 Ill. Reg. 10111, effective June 11,
1990; amended at 14 Ill. Reg. 10510, effective June 18, 1990; amended at 14 Ill. Reg. 12077,
effective July 5, 1990; amended at 14 Ill. Reg. 15487, effective September 10, 1990; amended at
15 Ill. Reg. 15783, effective October 18, 1991; amended at 16 Ill. Reg. 2182, effective January
24, 1992; emergency amendment at 16 Ill. Reg. 12228, effective July 16, 1992, for a maximum
of 150 days; emergency expired on December 13, 1992; amended at 16 Ill. Reg. 18087, effective
November 17, 1992; emergency amendment at 17 Ill. Reg. 1219, effective January 13, 1993, for
a maximum of 150 days; amended at 17 Ill. Reg. 2025, effective February 1, 1993; amended at
17 Ill. Reg. 7065, effective May 3, 1993; amended at 17 Ill. Reg. 8275, effective May 24, 1993;
amended at 17 Ill. Reg. 8522, effective May 27, 1993; amended at 17 Ill. Reg. 19315, effective
October 22, 1993; amended at 18 Ill. Reg. 1591, effective January 14, 1994; amended at 18 Ill.
Reg. 7478, effective May 2, 1994; amended at 18 Ill. Reg. 16457, effective October 24, 1994;
amended at 19 Ill. Reg. 10159, effective June 29, 1995; amended at 20 Ill. Reg. 3891, effective
February 14, 1996; emergency amendment at 20 Ill. Reg. 8358, effective June 4, 1996, for a
maximum of 150 days; emergency amendment repealed in response to an objection of the Joint
Committee on Administrative Rules at 20 Ill. Reg. 14279; amended at 21 Ill. Reg. 6588,
effective May 19, 1997; amended at 21 Ill. Reg. 10992, effective July 29, 1997; amended at 22
Ill. Reg. 1466, effective January 1, 1998; emergency amendment at 23 Ill. Reg. 9552, effective
August 1, 1999, for a maximum of 150 days; amended at 23 Ill. Reg. 13947, effective November
8, 1999; amended at 24 Ill. Reg. 1259, effective January 7, 2000; emergency amendment at 24
Ill. Reg. 1686, effective January 13, 2000, for a maximum of 150 days; amended at 24 Ill. Reg.
6955, effective April 24, 2000; emergency amendment at 24 Ill. Reg. 13044, effective August
ILLINOIS REGISTER 3118
18
SECRETARY OF STATE
NOTICE OF PROPOSED AMENDMENT
10, 2000, for a maximum of 150 days; amended at 24 Ill. Reg. 18400, effective December 4,
2000; amended at 25 Ill. Reg. 959, effective January 5, 2001; amended at 25 Ill. Reg. 7742,
effective June 5, 2001; amended at 25 Ill. Reg. 12646, effective September 24, 2001; emergency
amendment at 25 Ill. Reg. 12658, effective September 24, 2001, for a maximum of 150 days;
emergency expired February 20, 2002; amended at 26 Ill. Reg. 9961, effective June 24, 2002;
amended at 27 Ill. Reg. 855, effective January 3, 2003; emergency amendment at 27 Ill. Reg.
7340, effective April 14, 2003, for a maximum of 150 days; emergency expired September 10,
2003; emergency amendment at 27 Ill. Reg. 16968, effective October 17, 2003, for a maximum
of 150 days; emergency expired March 14, 2004; emergency amendment at 28 Ill. Reg. 384,
effective January 1, 2004, for a maximum of 150 days; emergency expired May 29, 2004;
amended at 28 Ill. Reg. 8895, effective June 14, 2004; amended at 28 Ill. Reg. 10776, effective
July 13, 2004; amended at 29 Ill. Reg. 920, effective January 1, 2005; emergency amendment at
29 Ill. Reg. 2469, effective January 31, 2005, for a maximum of 150 days; emergency expired
June 29, 2005; amended at 29 Ill. Reg. 9488, effective June 17, 2005; amended at 29 Ill. Reg.
12519, effective July 28, 2005; amended at 29 Ill. Reg. 13237, effective August 11, 2005;
amended at 29 Ill. Reg. 13580, effective August 16, 2005; amended at 30 Ill. Reg. 910, effective
January 6, 2006; amended at 30 Ill. Reg. 5621, effective March 7, 2006; amended at 30 Ill. Reg.
11365, effective June 15, 2006; emergency amendment at 30 Ill. Reg. 11409, effective June 19,
2006, for a maximum of 150 days; emergency expired November 15, 2006; amended at 31 Ill.
Reg. 4782, effective March 12, 2007; amended at 31 Ill. Reg. 5096, effective March 15, 2007;
amended at 31 Ill. Reg. 5864, effective March 29, 2007; amended at 31 Ill. Reg. 6370, effective
April 12, 2007; amended at 31 Ill. Reg. 7643, effective May 16, 2007; amended at 31 Ill. Reg.
11342, effective July 18, 2007; amended at 31 Ill. Reg. 14547, effective October 9, 2007;
amended at 31 Ill. Reg. 14849, effective October 22, 2007; amended at 31 Ill. Reg. 16543,
effective November 27, 2007; amended at 31 Ill. Reg. 16843, effective January 1, 2008;
emergency amendment at 32 Ill. Reg. 208, effective January 2, 2008, for a maximum of 150
days; amended at 32 Ill. Reg. 6544, effective April 4, 2008; amended at 33 Ill. Reg. 2391,
effective January 21, 2009; amended at 33 Ill. Reg. 8489, effective June 5, 2009; amended at 33
Ill. Reg. 9794, effective June 29, 2009; amended at 33 Ill. Reg. 11620, effective July 22, 2009;
amended at 33 Ill. Reg. 14185, effective September 28, 2009; amended at 34 Ill. Reg. 563,
effective December 22, 2009; amended at 34 Ill. Reg. 9457, effective June 23, 2010; amended at
34 Ill. Reg. 15418, effective September 22, 2010; amended at 34 Ill. Reg. 19071, effective
November 22, 2010; amended at 35 Ill. Reg. 2197, effective January 21, 2011; amended at 35 Ill.
Reg. 4692, effective March 3, 2011; amended at 35 Ill. Reg. 19664, effective November 23,
2011; amended at 36 Ill. Reg. 3924, effective February 27, 2012; amended at 36 Ill. Reg. 7255,
effective April 26, 2012; amended at 36 Ill. Reg. 14755, effective September 18, 2012; amended
at 37 Ill. Reg. 7776, effective May 22, 2013; amended at 37 Ill. Reg. 14176, effective September
1, 2013; amended at 37 Ill. Reg. 19342, effective November 28, 2013; amended at 38 Ill. Reg.
7946, effective March 28, 2014; emergency amendment at 38 Ill. Reg. 8429, effective April 4,
ILLINOIS REGISTER 3119
18
SECRETARY OF STATE
NOTICE OF PROPOSED AMENDMENT
2014, for a maximum of 150 days; amended at 38 Ill. Reg. 12515, effective July 1, 2014;
amended at 38 Ill. Reg. 16366, effective July 21, 2014; amended at 38 Ill. Reg. 20039, effective
October 1, 2014; amended at 39 Ill. Reg. 1182, effective January 5, 2015; amended at 39 Ill.
Reg. 5083, effective March 23, 2015; amended at 39 Ill. Reg. 8028, effective May 21, 2015;
amended at 39 Ill. Reg. 11531, effective July 28, 2015; amended at 39 Ill. Reg. 14930, effective
October 29, 2015; amended at 40 Ill. Reg. 1882, effective January 12, 2016; amended at 40 Ill.
Reg. 7330, effective May 2, 2016; amended at 40 Ill. Reg. 13637, effective September 19, 2016;
amended at 40 Ill. Reg. 15397, effective October 26, 2016; amended at 41 Ill. Reg. 438,
December 29, 2016; amended at 41 Ill. Reg. 3009, effective February 24, 2017; amended at 41
Ill. Reg. 13665, effective October 30, 2017; amended at 42 Ill. Reg. 1886, effective January 3,
2018; amended at 42 Ill. Reg. ______, effective ____________.
Section 1030.92 Restrictions
a) A driver services facility representative shall have the authority to determine
license restrictions. No restriction shall be added until the driving test, if required,
is given unless the restriction is due to a vision or hearing defect.
b) If a change in a person's physical and/or visual condition is discovered by a
facility representative, the representative has the authority to add, delete or change
the restrictions.
c) A Type B restriction requires corrective eye lenses. This restriction is added
when a person needs corrective eye lenses to meet visual acuity standards as
provided in Section 1030.70. This restriction includes eye glasses and contact
lenses in one or both eyes, pursuant to Section 1030.75.
d) A Type C restriction requires the driver to use one or more mechanical aids (e.g.,
hand operated brake, gearshift extension, shoulder harness, or foot operated
steering wheel) to assist with the proper and safe operation of the vehicle.
e) A Type D restriction requires the driver to use one or more prosthetic aids (e.g.,
artificial legs, artificial hands, hook on right or left arm, or brace on each leg)
while operating a motor vehicle.
f) A Type E restriction requires automatic transmission. An automatic transmission
restriction is added when a driver of a commercial motor vehicle uses an
automatic transmission during the pre-trip, skills and road portions of a
commercial driver's license test as provided in FMCSR (49 CFR 383.95(c);
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October 1, 2014).
g) A Type F restriction requires left and right outside rearview mirrors when a driver
is hearing impaired, has a monocular visual acuity reading of 20/100 or worse in
either eye, requires a right outside rearview mirror because of problems turning
the head while backing, cannot meet the peripheral vision requirements of Section
1030.70(a), and/or takes the road test in a right hand-driven vehicle with the
steering wheel on the right side. A driver may be restricted to both left and right
rearview mirrors if minimum peripheral standards are met by the use of only one
eye in accordance with Sections 1030.70 and 1030.75.
h) A Type G restriction requires the driver to drive only in the daylight. This
restriction is added when a driver has binocular visual acuity that does not meet
the 20/40 minimum in accordance with Section 1030.70(a), but is not worse than
20/70. People who want to drive utilizing a non-standard lens arrangement
pursuant to Section 1030.75 are restricted to daylight driving only.
i) A Type J restriction with appropriate numerical indicators includes other
restrictions not listed in this Section. These Type J restrictions and numerical
indicators are as follows:
1) J01 Driver has been issued an Illinois Medical Restriction Card, which
must be carried in addition to a valid Illinois driver's
license/permit.
2) J02 Driver authorized to operate a religious organization bus within
classification, as provided in IVC Section 6-106.2.
3) J03 Driver authorized to operate a religious organization bus or van
within Class D only. The driver took the religious organization
bus test in a Class D vehicle, but may hold a Class A, B or C
license.
4) J04 Driver authorized to operate a religious organization bus or van
within Class C or a lesser classification vehicle only. The driver
took the religious organization bus test in a Class C vehicle, but
may hold a Class A or B license.
5) J05 Driver authorized to operate a senior citizen transportation vehicle
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within classification. The driver operates a vehicle that is utilized
solely for the purpose of providing transportation for senior
citizens, as provided in IVC Section 6-106.3.
6) J06 Driver authorized to operate a senior citizen transportation vehicle
within Class D only. The driver took the senior citizen
transportation vehicle test in a Class D vehicle, but may hold a
Class A, B or C license.
7) J07 Driver authorized to operate a senior citizen transportation vehicle
within written Class C vehicle, or a lesser classification vehicle
only. The driver took the senior citizen transportation vehicle test
in a Class C vehicle, but may hold a Class A or B license.
8) J08 Driver authorized to operate a commuter van in a for-profit
ridesharing arrangement within classification, as provided in IVC
Section 6-106.4.
9) J09 Driver who is 16 or 17 years of age authorized to operate either
Class L motor-driven cycles or Class M motorcycles, as provided in
IVC Section 6-103(2).
10) J10 Driver restricted to the operation of a vehicle with a GVWR of
16,000 pounds or less.
11) J11 Indicates the driver took the road test on a three-wheel motorcycle
(Class M) or three-wheel motor-driven cycle (Class L) and is
restricted to a three-wheel cycle of the proper class.
12) J14 Restricted to the use of a non-standard lens arrangement pursuant to
Section 1030.75 when operating a motor vehicle. (Lens
arrangement may be designed for monocular or binocular vision.)
13) J15 Special Restrictions − An applicant may have special restrictions
applied specifically to the vehicle the applicant is operating at the
time a road test is being administered by a facility examiner. These
special restrictions may apply only when the applicant is operating
that particular motor vehicle. This J15 restriction only applies to
variations of C, D or E restrictions. To remove a special restriction
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or to operate another motor vehicle would require the applicant to be
administered another road test in the new vehicle.
14) J16 Moped Only – Authorizes an applicant holding a Class L license to
operate a moped only.
15) J17 Authorizes a person holding a Class L or M license to operate a
motorcycle or motor driven cycle with rear wheel extensions while
maintaining a single front wheel.
16) J33 Driver authorized to operate a Class D vehicle using a non-standard
lens arrangement, pursuant to Section 1030.75, during nighttime
hours.
17) J50 Farm Waived Non-CDL Farm Vehicle Driver – FVD (Class A
truck/tractor, semi-trailer combination vehicles only) – Allows
farmers or a member of the farmer's family who is 21 years of age or
older and has completed all of the applicable exams (core,
combination, air brake, and all three parts of the skills test) to drive a
farm waived non-CDL (Class A truck/tractor, semi-trailer
combination vehicles only) vehicle. Those eligible may operate the
truck/tractor semi-trailer to transport farm products, equipment or
supplies to or from a farm, if used within 150 air miles of the farm,
and not used in the operations of a common or contract carrier.
18) J51 Farm Waived Non-CDL Covered Farm Vehicle Driver – CFV
(Class A truck/tractor, semi-trailer combination vehicles only) –
Allows farmers, members of the farmer's family or employees of the
farmer who are 18 years of age or older driving intrastate or 21 years
of age or older driving interstate and has completed all of the
applicable exams (core, combination, air brake, and all three parts of
the skills test) to drive a farm waived non-CDL (Class A
truck/tractor, semi-trailer combination vehicles only) covered farm
vehicle. Those eligible may operate the truck/tractor, semi-trailer to
transport farm products, equipment or supplies to or from a farm, if
used within this State or interstate within 150 air miles of the farm,
and not used in the operations of a common or contract carrier. The
vehicle must be a covered farm vehicle as defined by law with
Illinois Farm plates.
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19) J60 Automatic Transmission − An automatic transmission restriction is
added when a driver is unable to operate a standard shift
non-commercial vehicle due to the minimal use of one or both arms
and/or legs.
20) J71 No Photo or Signature – Outout of state at the time of
issuancerenewal – license issued to driver who is temporarily absent
from State of Illinois at expiration date of his/her driver's license.
21) J72 No Photo or Signature – Outout of country at the time of
issuancerenewal – license issued to driver who is temporarily
residing outside the United States of America at the expiration date
of his/her driver's license.
22) J73 No Photo or Signature – Militarymilitary or military dependent –
license issued toat the expiration of the driver's license of the
licensee, spouse and dependent children who are living with the
licensee while on active duty serving in the Armed Forces of the
United States outside the State of Illinois.
23) J74 Military deferral card issued at the expiration of the driver's license
to extend the expiration while in the military of the licensee, spouse
and dependent children who are living with the licensee while on
active duty serving in the Armed Forces of the United States outside
the State of Illinois.
24) J75 No Photo or Signature – administrative approval license to driver
who having his/her photograph taken is against his/her religious
convictions or has a serious facial disfigurement.
25) J88 Deaf/Hard of Hearing − requires alternative forms of
communication.
26) J89 Aphasia – an impairment of language ability.
27) J90 BAIID Only – requires the driver to operate only motor vehicles
equipped with a Breath Alcohol Ignition Interlock Device (BAIID).
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28) J91 Mental Health Disorder – made available upon:
A) the request of the applicant; and
B) the submission of an SOS medical report form (http://www.
cyberdriveillinois.com/publications/pdf_publications/dsd_dc163.
pdf) completed by an applicant's treating provider (Doctor licensed
to practice medicine in all its branches (MD)/Doctor of
Osteopathic Medicine (DO) or Nurse Practitioner (NP)/Physician
Assistant (PA)), indicating that the applicant has a mental health
disorder and is mentally fit to operate a vehicle.
29) J99 Indicates more than two J restrictions have been placed on the
license.
j) A Type K restriction indicates the driver is authorized to operate a commercial
motor vehicle intrastate only.
k) A Type L restriction indicates that the person is not authorized to operate vehicles
equipped with air brakes.
l) A Type M restriction indicates P endorsement only valid in a Class B or lesser
classification vehicle.
m) A Type N restriction indicates P endorsement only valid in a Class C or lesser
classification vehicle.
n) A Type O restriction prohibits a commercial motor vehicle driver from operating
a combination vehicle with a fifth wheel assembly as provided by 49 CFR
383.153(a)(10) (October 1, 2014).
o) A Type P restriction allows a commercial learner's permit holder to operate a
vehicle designed to carry passengers, without passengers aboard, exempting a
company trainer or State or federal examiner as provided by 49 CFR
383.153(b)(9) (October 1, 2014).
p) A type V restriction indicates FMCSA has granted a medical variance to operate a
CMV within the boundaries of the United States as provided by 49 CFR 391.41
(October 1, 2014).
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q) A Type X restriction allows a commercial learner's permit holder to operate a tank
truck or tank truck tractor/trailer combination void of any type of liquid and/or
gaseous materials in the tank as provided by 49 CFR 383.153(b)(9) (October 1,
2014).
r) A Type Z restriction limits a commercial motor vehicle driver to operating a
commercial motor vehicle with air over hydraulic braking system as provided by
49 CFR 383.153(b)(10) (October 1, 2014).
s) An applicant who wants to appeal a type of restriction that has been added to a
driver's license, depending on the type of restriction, shall:
1) For Type B, C, D, F, G, J01, J60 or any other medical restriction that has
been added to the driver's license pursuant to the restrictions contained in
subsection (i), follow the manner prescribed by this Part.
2) For any other types of restrictions that have been added to the driver's
license pursuant to this Section, appeal to the Department of
Administrative Hearings pursuant to IVC Section 2-118.
3) Further review of all restrictions shall be conducted by the courts pursuant
to the Administrative Review Law [735 ILCS 5/Art. III].
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
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1) Heading of the Part: Video Gaming (General)
2) Code Citation: 11 Ill. Adm. Code 1800
3) Section Numbers: Adopted Actions:
1800.110 Amendment
1800.320 Amendment
1800.1710 New Section
1800.1720 New Section
1800.1730 New Section
1800.1740 New Section
4) Statutory Authority: Authorized by the Video Gaming Act [230 ILCS 40], specifically
Section 78 (a) (3) of that Act [230 ILCS 40/78 (a) (3)].
5) Effective Date of Rules: February 2, 2018
6) Does this rulemaking contain an automatic repeal date? No
7) Does this rulemaking contain an incorporation by reference? No
8) A copy of the adopted rules, including any material incorporated by reference, is on file
in the principal office and is available for public inspection.
9) Notice of Proposal published in the Illinois Register: 41 Ill. Reg. 2777; March 10, 2017
10) Has JCAR issued a Statement of Objection to this rulemaking? No
11) Differences between Proposal and Final Version:
In Section 1800.320 (a)(2) deleted the word "improper" which had been added in the
First Notice version of the rulemaking, thus clarifying that this subsection applies to any
inducements offered by a terminal operator to a licensed video gaming location.
In Section 1800.320 (a)(8) changed the maximum period for a use agreement from 5
years to 8 years.
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New Section 1800.1710 is amended to allow video gaming managers to conduct
conversations about responsible gaming with video gaming players at a licensed video
gaming location.
New Section 1800.1710 is amended to provide that owners, persons with significant
control, employees whose job duties involve an aspect of video gaming operations, and
video gaming managers do not have an obligation to conduct conversations about video
gaming with video gaming players, although they have a right to do so.
New Section 1800.1710 is amended to provide that a licensed video gaming location will
not be liable if a person enrolled in the Board's self-exclusion program established under
Subpart G of 86 Ill. Adm. Code Part 3000 or the problem gambling registry created by
new Section 1800.1730 of this rulemaking plays a video gaming terminal on the premises
of the licensed video gaming location.
New Section 1800.1720 (a) is amended to require video gaming managers to complete an
on-line course of study in responsible gaming within 30 days after the course of study is
made available to the public, or the person becomes a video gaming manager.
New Section 1800.1730 is amended to provide that the regular e-mails provided to
enrollees in the confidential problem gambling registry for video gaming shall include
links only to those problem gambling prevention and treatment resources which are
available in Illinois.
New Section 1800.1730 is amended to allow both Illinois out-of-state residents to enroll
in the confidential problem gambling registry for video gaming. The rulemaking
previously allowed only Illinois residents to enroll in this registry.
Various Second Notice changes make non-substantive technical or stylistic corrections.
12) Have all the changes agreed upon by the Agency and JCAR been made as indicated in the
agreement letter issued by JCAR? Yes
13) Will this rulemaking replace any emergency rule currently in effect? No
14) Are there any rulemakings pending on this Part? Yes
Section Numbers: Proposed Actions: Illinois Register Citations:
1800.810 Amendment 41 Ill. Reg. 3088; March 17, 2017
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1800.570 Amendment 41 Ill. Reg. 7409; June 30, 2017
1800.595 New Section 41 Ill. Reg. 7409; June 30, 2017
1800.615 Amendment 41 Ill. Reg. 7409; June 30, 2017
1800.715 Amendment 41 Ill. Reg. 7409; June 30, 2017
1800.110 Amendment 41 Ill. Reg. 12670; October 13, 2017
1800.420 Amendment 41 Ill. Reg. 12670; October 13, 2017
15) Summary and Purpose of Rulemaking: The rulemaking provides the following:
Use Agreements: 11 Ill. Adm. Code 1800.320 (Minimum Standards for Use
Agreements) is amended to impose the following requirements on all use agreements
entered into between terminal operators and licensed video gaming locations on or after
the rulemaking's effective date:
A use agreement shall state which sales agent, broker, or other person, if any, procured
the use agreement on behalf of the terminal operator;
A use agreement shall not provide for automatic renewal in the absence of cancellation;
and
A use agreement shall not be for a length of time exceeding 8 years.
The rulemaking additionally requires the Board to promulgate a standard form for use
agreements. All new and renewed use agreements entered into after the effective date
shall incorporate the language of the standard form and shall be consistent with the
standard form in all respects.
Responsible gaming: The rulemaking adds a new Subpart Q entitled "Responsible
Gaming." This new subpart provides the following:
Conversations about responsible gaming: Declares a right, but not an obligation, for
licensed video gaming location owners, Persons with Significant Influence or Control
(PSICs), persons employed in any capacity relating to video gaming operations and video
gaming managers to engage in conversations about responsible gaming with any person
engaged in video gaming play.
Training and education: Establishes an on-line training and education course on
responsible gaming, and requires completion of this course by all video gaming location
owners, video gaming managers, PSICs, and persons employed in any capacity relating
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to video gaming operations as a condition for license issuance and renewal. The Board
shall prepare the contents of this course, which shall be offered free of charge to
enrollees. The course of study shall define responsible gaming and provide instruction on
conversational techniques with customers whose behavior indicates they may have a
gaming problem. The recommended conversational techniques shall be informative and
non-judgmental, provide players with helpful information about the random nature of
video gaming play and long-term prospects of winning, and recommend appropriate
means of providing information to video gaming players concerning problem gambling
resources in Illinois. Completion of the course shall be required within 30 days of the
date the course is made available to the public, or the person becomes an owner, video
gaming manager, PSIC, or employee of the location in a capacity related to video
gaming. The rulemaking authorizes the Board to contract for and use materials and
programs offered by any public or private entity, including but not limited to those
prepared by other state governments.
Problem gambling registry: Establishes a voluntary, confidential problem gambling
Board registry for video gaming. The purpose of this registry is to encourage problem
gamblers to pursue needed gambling prevention and treatment initiatives. Persons
enrolling in the registry will be issued regular e-mails exploring issues relating to
problem gambling and be provided with links to problem gambling prevention and
treatment resources. Individuals enrolled in the registry may cancel their enrollments at
any time. Both Illinois and out-of-state residents are eligible for enrollment in the
registry.
Message on video gaming terminals: Allows the Board to utilize technology to include a
message on the interface of video gaming terminals to assist players in responsible
gaming and prevent problem gambling from occurring.
Definitions: In connection with the creation of the new Responsible Gaming Subpart, the
rulemaking adds definitions of "problem gambling" and "responsible gaming" to 11 Ill
Adm. Code 1800.110 (Definitions).
"Problem gambling" is defined as a repetitive set of gambling behaviors that negatively
impacts someone's life.
"Responsible gaming" is defined to include all of the following:
Policies for reducing harms related to gaming;
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Providing a transparent and fair game;
Playing within time and money limits; and
Gaming for entertainment and fun.
16) Information and Questions regarding these adopted rules may be addressed to:
Agostino Lorenzini
General Counsel
Illinois Gaming Board
160 North LaSalle Street
Chicago IL 60601
fax: 312/814-7253
The full text of the Adopted Amendments begins on the next page:
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TITLE 11: ALCOHOL, HORSE RACING, LOTTERY, AND VIDEO GAMING
SUBTITLE D: VIDEO GAMING
CHAPTER I: ILLINOIS GAMING BOARD
PART 1800
VIDEO GAMING (GENERAL)
SUBPART A: GENERAL PROVISIONS
Section
1800.110 Definitions
1800.115 Gender
1800.120 Inspection
1800.130 Board Meetings
SUBPART B: DUTIES OF LICENSEES
Section
1800.210 General Duties of All Video Gaming Licensees
1800.220 Continuing Duty to Report Information
1800.230 Duties of Licensed Manufacturers
1800.240 Duties of Licensed Distributors
1800.250 Duties of Licensed Video Terminal Operators
1800.260 Duties of Licensed Technicians and Licensed Terminal Handlers
1800.270 Duties of Licensed Video Gaming Locations
SUBPART C: STANDARDS OF CONDUCT FOR LICENSEES
Section
1800.310 Grounds for Disciplinary Actions
1800.320 Minimum Standards for Use Agreements
1800.330 Economic Disassociation
SUBPART D: LICENSING QUALIFICATIONS
Section
1800.410 Coverage of Subpart
1800.420 Qualifications for Licensure
1800.430 Persons with Significant Influence or Control
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1800.440 Undue Economic Concentration
SUBPART E: LICENSING PROCEDURES
Section
1800.510 Coverage of Subpart
1800.520 Applications
1800.530 Submission of Application
1800.540 Application Fees
1800.550 Consideration of Applications by the Board
1800.555 Withdrawal of Applications and Surrender of Licenses
1800.560 Issuance of License
1800.570 Renewal of License
1800.580 Renewal Fees and Dates
1800.590 Death and Change of Ownership of Video Gaming Licensee
SUBPART F: DENIALS OF APPLICATIONS FOR LICENSURE
Section
1800.610 Coverage of Subpart
1800.615 Requests for Hearing
1800.620 Appearances
1800.625 Appointment of Administrative Law Judge
1800.630 Discovery
1800.635 Subpoenas
1800.640 Motions for Summary Judgment
1800.650 Proceedings
1800.660 Evidence
1800.670 Prohibition on Ex Parte Communication
1800.680 Sanctions and Penalties
1800.690 Transmittal of Record and Recommendation to the Board
1800.695 Status of Applicant for Licensure Upon Filing Request for Hearing
SUBPART G: DISCIPLINARY ACTIONS AGAINST LICENSEES
Section
1800.710 Coverage of Subpart
1800.715 Notice of Proposed Disciplinary Action Against Licensees
1800.720 Hearings in Disciplinary Actions
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1800.725 Appearances
1800.730 Appointment of Administrative Law Judge
1800.735 Discovery
1800.740 Subpoenas
1800.745 Motions for Summary Judgment
1800.750 Proceedings
1800.760 Evidence
1800.770 Prohibition on Ex Parte Communication
1800.780 Sanctions and Penalties
1800.790 Transmittal of Record and Recommendation to the Board
1800.795 Persons Subject to Proposed Orders of Economic Disassociation
SUBPART H: LOCATION OF VIDEO GAMING TERMINALS IN
LICENSED VIDEO GAMING LOCATIONS
Section
1800.810 Location and Placement of Video Gaming Terminals
1800.815 Licensed Video Gaming Locations Within Malls
1800.820 Measurement of Distances from Locations
1800.830 Waivers of Location Restrictions
SUBPART I: SECURITY INTERESTS
Section
1800.910 Approvals Required, Applicability, Scope of Approval
1800.920 Notice of Enforcement of a Security Interest
1800.930 Prior Registration
SUBPART J: TRANSPORTATION, REGISTRATION,
AND DISTRIBUTION OF VIDEO GAMING TERMINALS
Section
1800.1010 Restriction on Sale, Distribution, Transfer, Supply and Operation of Video
Gaming Terminals
1800.1020 Transportation of Video Gaming Terminals into the State
1800.1030 Receipt of Video Gaming Terminals in the State
1800.1040 Transportation of Video Gaming Terminals Between Locations in the State
1800.1050 Approval to Transport Video Gaming Terminals Outside of the State
1800.1060 Placement of Video Gaming Terminals
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1800.1065 Registration of Video Gaming Terminals
1800.1070 Disposal of Video Gaming Terminals
SUBPART K: STATE-LOCAL RELATIONS
Section
1800.1110 State-Local Relations
SUBPART L: FINGERPRINTING OF APPLICANTS
Section
1800.1210 Definitions
1800.1220 Entities Authorized to Perform Fingerprinting
1800.1230 Qualification as a Livescan Vendor
1800.1240 Fingerprinting Requirements
1800.1250 Fees for Fingerprinting
1800.1260 Grounds for Revocation, Suspension and Denial of Contract
SUBPART M: PUBLIC ACCESS TO INFORMATION
Section
1800.1310 Public Requests for Information
SUBPART N: PAYOUT DEVICES AND REQUIREMENTS
Section
1800.1410 Ticket Payout Devices
1800.1420 Redemption of Tickets Following Removal or Unavailability of Ticket Payout
Devices
SUBPART O: NON-PAYMENT OF TAXES
Section
1800.1510 Non-Payment of Taxes
SUBPART P: CENTRAL COMMUNICATIONS SYSTEM
Section
1800.1610 Use of Gaming Device or Individual Game Performance Data
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SUBPART Q: RESPONSIBLE GAMING
Section
1800.1710 Conversations About Responsible Gaming
1800.1720 Responsible Gaming Education Programs
1800.1730 Problem Gambling Registry
1800.1740 Utilization of Technology to Prevent Problem Gambling
AUTHORITY: Implementing and authorized by the Video Gaming Act [230 ILCS 40].
SOURCE: Adopted by emergency rulemaking at 33 Ill. Reg. 14793, effective October 19, 2009,
for a maximum of 150 days; adopted at 34 Ill. Reg. 2893, effective February 22, 2010;
emergency amendment at 34 Ill. Reg. 8589, effective June 15, 2010, for a maximum of 150 days;
emergency expired November 11, 2010; amended at 35 Ill. Reg. 1369, effective January 5, 2011;
emergency amendment at 35 Ill. Reg. 13949, effective July 29, 2011, for a maximum of 150
days; emergency expired December 25, 2011; amended at 36 Ill. Reg. 840, effective January 6,
2012; amended by emergency rulemaking at 36 Ill. Reg. 4150, effective February 29, 2012, for a
maximum of 150 days; amended at 36 Ill. Reg. 5455, effective March 21, 2012; amended at 36
Ill. Reg. 10029, effective June 28, 2012; emergency amendment at 36 Ill. Reg. 11492, effective
July 6, 2012, for a maximum of 150 days; emergency expired December 2, 2012; emergency
amendment at 36 Ill. Reg. 12895, effective July 24, 2012, for a maximum of 150 days; amended
at 36 Ill. Reg. 13178, effective July 30, 2012; amended at 36 Ill. Reg. 15112, effective October 1,
2012; amended at 36 Ill. Reg. 17033, effective November 21, 2012; expedited correction at 39
Ill. Reg. 8183, effective November 21, 2012; amended at 36 Ill. Reg. 18550, effective December
14, 2012; amended at 37 Ill. Reg. 810, effective January 11, 2013; amended at 37 Ill. Reg. 4892,
effective April 1, 2013; amended at 37 Ill. Reg. 7750, effective May 23, 2013; amended at 37 Ill.
Reg. 18843, effective November 8, 2013; emergency amendment at 37 Ill. Reg. 19882, effective
November 26, 2013, for a maximum of 150 days; emergency amendment suspended by the Joint
Committee on Administrative Rules at 38 Ill. Reg. 3384, effective January 14, 2014; suspension
withdrawn at 38 Ill. Reg. 5897; emergency repeal of emergency amendment at 38 Ill. Reg. 7337,
effective March 12, 2014, for the remainder of the 150 days; amended at 38 Ill. Reg. 849,
effective December 27, 2013; amended at 38 Ill. Reg. 14275, effective June 30, 2014; amended
at 38 Ill. Reg. 19919, effective October 2, 2014; amended at 39 Ill. Reg. 5401, effective March
27, 2015; amended at 39 Ill. Reg. 5593, effective April 1, 2015; amended at 40 Ill. Reg. 2952,
effective January 27, 2016; amended at 40 Ill. Reg. 8760, effective June 14, 2016; amended at 40
Ill. Reg. 12762, effective August 19, 2016; amended at 40 Ill. Reg. 15131, effective October 18,
2016; emergency amendment at 41 Ill. Reg. 2696, effective February 7, 2017, for a maximum of
150 days; amended at 41 Ill. Reg. 2939, effective February 24, 2017; amended at 41 Ill. Reg.
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4499, effective April 14, 2017; amended at 41 Ill. Reg. 10300, effective July 13, 2017; amended
at 42 Ill. Reg. 3126, effective February 2, 2018.
SUBPART A: GENERAL PROVISIONS
Section 1800.110 Definitions
For purposes of this Part the following terms shall have the following meanings:
"Act": The Video Gaming Act [230 ILCS 40].
"Adjusted gross receipts" means the gross receipts less winnings paid to wagerers.
The value of expired vouchers shall be included in computing adjusted gross
receipts.
"Administrator": The chief executive officer responsible for day-to-day operations
of the Illinois Gaming Board.
"Affiliate": An "affiliate of", or person "affiliated with", a specified person shall
mean a person that directly, or indirectly through one or more intermediaries,
controls, or is controlled by, or is under common control with, such person.
"Affiliated entity": An "affiliated entity" of a person is any business entity that
directly or indirectly, through one or more intermediaries, controls, is controlled
by, or is under common control with, the person.
"Applicant": A person applying for any license under the Act.
"Application": All material submitted, including the instructions, definitions,
forms and other documents issued by the Illinois Gaming Board, comprising the
video gaming license application submitted to the Illinois Gaming Board.
"Associated video gaming equipment": Ticket payout systems and validation
procedures; wireless, promotional and bonusing systems; kiosks; gaming-related
peripherals; hardware, software and systems; and other gaming devices and
equipment for compliance with:
Illinois laws, regulations and requirements as codified or otherwise set
forth; and
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Board-approved video gaming industry standards.
"Attributed interest": A direct or indirect interest in an enterprise deemed to be
held by an individual not through the individual's actual holdings but either
through the holdings of the individual's relatives or through a third party or parties
on behalf of the individual pursuant to a plan, arrangement, agreement or contract.
"Board": The Illinois Gaming Board.
"Business entity" or "Business": A partnership, incorporated or unincorporated
association or group, firm, corporation, limited liability company, partnership for
shares, trust, sole proprietorship or other business enterprise.
"Chi-square test": A statistical test used to determine if a relationship between
variables exists by comparing expected and observed cell frequencies.
Specifically, a chi-square test examines the observed frequencies in a category
and compares them to what would be expected by chance or would be expected if
there was no relationship between variables.
"Control": The possession, direct or indirect, of power to direct or cause the
direction of the management and policies of an applicant or licensee through the
ownership of voting securities, by contract or otherwise.
"Convenience store": A retail store that is open long hours and sells motor fuel
and a limited selection of snacks and general goods.
"Credit": One, five, 10 or 25 cents.
"Distributor": An individual, partnership, corporation or limited liability
company licensed under the Act to buy, sell, lease or distribute video gaming
terminals or major components or parts of video gaming terminals to or from
terminal operators.
"Enforce a security interest": To transfer possession of ownership or title
pursuant to a security interest.
"EPROM": An acronym for Erasable, Programmable, Read Only Memory, which
is a microprocessor component that stores memory and affects payout percentage
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and/or contains a random number generator that selects the outcome of a game on
a video gaming terminal.
"Facility-pay" or "facility payment" means a manual payment of currency by an
authorized employee of a licensed video gaming location or an authorized
employee of a terminal operator for amounts owed to a patron by a video gaming
terminal when a video gaming terminal or ticket payout device has malfunctioned
and is unable to produce or redeem a ticket.
"Fraternal organization": An organization or institution organized and conducted
on a not-for-profit basis with no personal profit inuring to anyone as a result of
the operation and that is exempt from federal income taxation under section
501(c)(8) or (c)(10) of the Internal Revenue Code (26 USC 501(c)(8) or (c)(10)).
"Game": A gambling activity that is played for money, property or anything of
value, including without limitation those played with cards, chips, tokens,
vouchers, dice, implements, or electronic, electrical or mechanical devices or
machines.
"Gaming": The dealing, operating, carrying on, conducting, maintaining or
exposing for play of any game.
"Gaming operation": The conducting of gaming or the providing or servicing of
gaming equipment.
"Gaming property collateral": Video gaming equipment subject to a security
interest.
"Illinois resident":
With respect to an individual, an individual who is either:
domiciled in Illinois or maintains a bona fide place of abode in
Illinois; or
is required to file an Illinois tax return during the taxable year.
With respect to a corporation, any corporation organized under the laws of
this State and any foreign corporation with a certificate of authority to
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NOTICE OF ADOPTED AMENDMENTS
transact business in Illinois. A foreign corporation not authorized to
transact business in this State is a nonresident of this State.
With respect to a partnership, a partnership in which any partner is an
Illinois resident, or where the partnership has an office and is doing
business in Illinois.
With respect to an irrevocable trust, a trust where the grantor was an
Illinois resident individual at the time the trust became irrevocable.
"Institutional investor":
A retirement fund administered by a public agency for the exclusive
benefit of federal, state or local public employees;
An investment company registered under section 8 of the Investment
Company Act of 1940 (15 USC 80a-8);
A collective investment trust organized by a bank under Part 9 of the
Rules of the Comptroller of the Currency (12 CFR 9.18);
A closed end investment trust registered with the United States Securities
and Exchange Commission;
A chartered or licensed life insurance company or property and casualty
insurance company;
A federal or state bank;
An investment advisor registered under the Investment Advisors Act of
1940 (15 USC 80b-1 through 80b-21); or
Such other person as the Illinois Gaming Board may determine for reasons
consistent with the Act and this Part.
"License": Authorization granted by the Board permitting a licensee to engage in
the defined activities of video gaming.
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"Licensed establishment": Any retail establishment licensed under the Act where
alcoholic liquor is drawn, poured, mixed or otherwise served for consumption on
the premises. Licensed establishment does not include a facility operated by an
organization licensee, an intertrack wagering licensee, or an intertrack wagering
location licensee licensed under the Illinois Horse Racing Act of 1975 [230 ILCS
5] or a riverboat licensed under the Riverboat Gambling Act [230 ILCS 10].
"Licensed fraternal establishment": The location licensed under the Act where a
qualified fraternal organization that derives its charter from a national fraternal
organization regularly meets.
"Licensed technician": An individual who is licensed under the Act to repair,
service and maintain video gaming terminals. A licensed technician is not
licensed under the Act to possess or control a video gaming terminal or have
access to the inner workings of a video gaming terminal (i.e., the logic area
maintained in a separately locked cabinet of the video gaming terminal that
houses electronic components that have the potential to significantly influence the
operation of the video gaming terminal).
"Licensed terminal handler": A person, including but not limited to an employee
or independent contractor working for a manufacturer, distributor, supplier,
technician or terminal operator, who is licensed under the Act to possess or
control a video gaming terminal or to have access to the inner workings of a video
gaming terminal. A licensed terminal handler does not include an individual,
partnership, corporation or limited liability company defined as a manufacturer,
distributor, supplier, technician or terminal operator under Section 5 of the Act.
"Licensed truck stop establishment": A facility licensed under the Act that is at
least a 3-acre facility with a convenience store, that has separate diesel islands for
fueling commercial motor vehicles, that sells at retail more than 10,000 gallons of
diesel or biodiesel fuel per month, and that has parking spaces for commercial
motor vehicles. "Commercial motor vehicles" has the same meaning as defined
in Section 18b-101 of the Illinois Vehicle Code [625 ILCS 5/18b-101]. The
10,000 gallon requirement may be met by showing that estimated future sales or
past sales average at least 10,000 gallons per month.
"Licensed veterans establishment": The location licensed under the Act where a
qualified veterans organization that derives its charter from a national veterans
organization regularly meets.
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"Licensed video gaming location": A licensed establishment, licensed fraternal
establishment, licensed veterans establishment, or licensed truck stop
establishment, all as defined in Section 5 of the Act and this Part.
"Liquor license": A license issued by a governmental body authorizing the holder
to sell and offer for sale at retail alcoholic liquor for use or consumption.
"Major components or parts": Components or parts that comprise the inner
workings and peripherals of a video gaming terminal, including but not limited to
the device's hardware, software, human interface devices, interface ports, power
supply, ticket payout system, bill validator, printer and any component that affects
or could affect the result of a game played on the device.
"Manufacturer": An individual, partnership, corporation or limited liability
company that is licensed under the Act and that manufactures or assembles video
gaming terminals.
"Net terminal income": Money put into a video gaming terminal minus credits
paid out to players.
"Nominee": Any individual or business entity that holds as owner of record the
legal title to tangible or intangible personal or real property, including without
limitation any stock, bond, debenture, note, investment contract or real estate on
behalf of another individual or business entity, and as such is designated and
authorized to act on his, her or its behalf with respect to the property.
"Ownership interest": Includes, but is not limited to, direct, indirect, beneficial or
attributed interest, or holder of stock options, convertible debt, warrants or stock
appreciation rights, or holder of any beneficial ownership or leasehold interest in
a business entity.
"Payout device": A device, approved by the Board and provided by a supplier or
distributor, that redeems for cash tickets dispensed by a video gaming terminal in
exchange for credits accumulated on a video gaming terminal.
"Person": Includes both individuals and business entities.
"Person with significant interest or control": Any of the following:
ILLINOIS REGISTER 3142
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Each person in whose name the liquor license is maintained for each
licensed video gaming location;
Each person who, in the opinion of the Administrator, has the ability to
influence or control the activities of the applicant or licensee, or elect a
majority of its board of directors, other than a bank or licensed lending
institution that holds a mortgage or other lien, or any other source of
funds, acquired in the ordinary course of business;
Persons having the power to exercise significant influence or control over
decisions concerning any part of the applicant's or licensee's video gaming
operation;
Each person who receives any net terminal income pursuant to a
contractual agreement;
Any business entity that holds an option agreement to acquire an equity
stake in a terminal operator licensee.
"Place of worship under the Religious Corporation Act": A structure belonging
to, or operated by, a church, congregation or society formed for the purpose of
religious worship and eligible for incorporation under the Religious Corporation
Act [805 ILCS 110], provided that the structure is used primarily for purposes of
religious worship and related activities.
"Problem gambling": "A repetitive set of gaming behaviors that negatively
impacts someone's life.
"Redemption period": The one-year period, starting on the date of issuance,
during which a ticket dispensed by a video gaming terminal may be redeemed for
cash.
"Responsible gaming" means all of the following:
Policies for reducing harms related to gaming;
Providing a transparent and fair game;
ILLINOIS REGISTER 3143
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Playing within time and money limits; and
Gaming for entertainment and fun.
"Secured party": A person who is a lender, seller or other person who holds a
valid security interest.
"Security": An ownership right or creditor relationship.
"Security agreement": An agreement that creates or provides a security interest,
including but not limited to a use agreement.
"Security interest": An interest in property that secures the payment or
performance of an obligation or judgment.
"Sole proprietor": An individual who in his or her own name owns 100% of the
assets and who is solely liable for the debts of a business.
"Substantial interest": With respect to a partnership, a corporation, an
organization, an association, a business or a limited liability company means:
When, with respect to a sole proprietorship, an individual or his or her
spouse owns, operates, manages, or conducts, directly or indirectly, the
organization, association or business, or any part thereof; or
When, with respect to a partnership, the individual or his or her spouse
shares in any of the profits, or potential profits, of the partnership
activities; or
When, with respect to a corporation, an individual or his or her spouse is
an officer or director or the individual or his or her spouse is a holder,
directly or beneficially, of 5% or more of any class of stock of the
corporation; or
When, with respect to a limited liability company, an individual or his or
her spouse is a member, or the individual or his or her spouse is a holder,
directly or beneficially, of 5% or more of the membership interest of the
limited liability company; or
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When, with respect to any other organization not covered in the preceding
four paragraphs, an individual or his or her spouse is an officer or manages
the business affairs, or the individual or his or her spouse is the owner of,
or otherwise controls, 10% or more of the assets of the organization; or
When an individual or his or her spouse furnishes 5% or more of the
capital, whether in cash, goods or services, for the operation of any
business, association or organization during any calendar year.
For purposes of this definition, "individual" includes all individuals or their
spouses whose combined interest would qualify as a substantial interest under
this definition and whose activities with respect to an organization,
association, or business are so closely aligned or coordinated as to constitute
the activities of a single entity.
"Supplier": An individual, partnership, corporation or limited liability company
that is licensed under the Act to supply major components or parts to video
gaming terminals to licensed terminal operators.
"Terminal operator": An individual, partnership, corporation or limited liability
company that is licensed under the Act that owns, services, and maintains video
gaming terminals for placement in licensed establishments, licensed truck stop
establishments, licensed fraternal establishments or licensed veterans
establishments.
"Use agreement": A contractual agreement between a licensed terminal operator
and a licensed video gaming location establishing terms and conditions for
placement and operation of video gaming terminals by the licensed terminal
operator within the premises of the licensed video gaming location, and
complying with all of the minimum standards for use agreements contained in
Section 1800.320.
"Veterans organization": An organization or institution organized and conducted
on a not-for-profit basis with no personal profit inuring to anyone as a result of
the operation and that is exempt from federal income taxation under section
501(c)(19) of the Internal Revenue Code (26 USC 501(c)(19)).
"Video gaming equipment": Video gaming terminals, associated video gaming
equipment and major components or parts.
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"Video gaming manager": An employee or owner or designated representative of
a licensed video gaming location who manages, oversees or is responsible for
video gaming operations at the location, and coordinates the video gaming
operations with a terminal operator or the central communications system vendor.
"Video gaming operation": As the context requires, the conducting of video
gaming and all related activities.
"Video gaming terminal": Any electronic video game machine that, upon
insertion of cash, is available to play or simulate the play of a video game,
including but not limited to video poker, line up and blackjack, as authorized by
the Board utilizing a video display and microprocessors in which the player may
receive free games or credits that can be redeemed for cash. The term does not
include a machine that directly dispenses coins, cash, or tokens or is for
amusement purposes only.
(Source: Amended at 42 Ill. Reg. 3126, effective February 2, 2018)
SUBPART C: STANDARDS OF CONDUCT FOR LICENSEES
Section 1800.320 Minimum Standards for Use Agreements
a) In addition to the requirements set forth in the Act, a Use Agreement must satisfy
the following:
1) Only be between:
A) a licensed terminal operator that, beginning July 15, 2014, is
licensed by the Board at the time the Use Agreement is signed; and
B) a licensed establishment, licensed truck stop establishment,
licensed veterans establishment or licensed fraternal establishment;
2) Contain an affirmative statement that no inducement was offered or
accepted regarding the placement or operation of video gaming terminals
in a licensed establishment, licensed truck stop establishment, licensed
veterans establishment or licensed fraternal establishment;
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3) Contain an indemnity and hold harmless provision on behalf of the State,
the Board and its agents relative to any cause of action arising from a use
agreement;
4) Prohibit any assignment other than from a licensed terminal operator to
another licensed terminal operator;
5) Contain a provision that releases the video gaming location from any
continuing contractual obligation to the terminal operator in the event that
the terminal operator has its license revoked or denied, has its renewal
denied, or surrenders its license;.
6) State which sales agent, broker or other person, if any, procured the Use
Agreement on behalf of the terminal operator;
7) Not provide for automatic renewal in the absence of cancellation;
8) Not be for a length of time exceeding eight years.
b) Petitions
1) The Board shall decide a petition brought by a terminal operator or
licensed video gaming location alleging that a Use Agreement, or portion
of a Use Agreement, is invalid or unenforceable. Issues the Board has
authority to decide under this subsection (b) include, but are not limited to,
the following:
A) When two or more Use Agreements between a licensed video
gaming location and one or more terminal operators have
overlapping effective dates, which of the Use Agreements is valid
during the period of overlap.
B) Whether a Use Agreement, or portion of a Use Agreement,
complies with the requirements of the Act and this Part.
C) Whether a renewal provision in a Use Agreement poses such
obstacles against non-renewal, or confusion about the procedures
for non-renewal, as to constitute an undue burden on the licensed
video gaming location that has entered into the provision.
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D) Whether a terminal operator or anyone on its behalf has used
coercion, deception, or an inducement or incentive in violation of
Section 25(c) of the Act or this Part to persuade a licensed video
gaming location to enter into or renew a Use Agreement.
2) Petitions under this subsection (b) shall be in writing and shall include an
original and one copy. Any petitioner under this Section shall bear the
burden of proof by clear and convincing evidence. A petition shall
contain the following:
A) The name, current address and current telephone number of the
petitioner.
B) Detailed facts and reasons upon which the petitioner relies in
arguing that a Use Agreement, or portion of a Use Agreement, is
invalid or unenforceable. Petitions may include documentary
evidence and affidavits.
C) A signature of the petitioner.
D) A verification of the petition in the following form:
"The undersigned certifies that the statements set forth in this
petition are true and correct, except as to matters therein stated to
be on information and belief, and as to such matters the
undersigned certifies that he or she verily believes the same to be
true."
E) A notarization.
3) Following receipt of a petition meeting the requirements of subsection
(b)(2), the Administrator shall promptly send by certified mail to each
non-petitioning terminal operator or licensed video gaming location
named in the petition a complete copy of the petition, including all
submitted documents. Non-petitioning parties named in the petition must
file a response within 21 days after their receipt of the petition. All
responses shall be in writing and shall include an original and one copy. A
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response shall be deemed filed on the date on which it is postmarked. The
response shall contain the following:
A) The name, current address and current telephone number of the
licensee.
B) A clear and concise statement admitting or denying each of the
allegations set forth in the petition.
C) For all allegations that the licensee denies, detailed facts and
reasons upon which the non-petitioning party relies in arguing that
the Use Agreement, or portion of the Use Agreement, is valid or
enforceable. Responses may include documentary evidence and
affidavits.
D) A signature of the licensee.
E) A verification of the licensee in the following form:
"The undersigned certifies that the statements set forth in this
response are true and correct, except as to matters therein stated to
be on information and belief, and as to such matters the
undersigned certifies that he or she verily believes the same to be
true."
F) A notarization.
4) The Administrator shall promptly provide a petitioning party with
complete copies of all submitted responses meeting the requirements of
subsection (c)(2).
5) Before rendering a recommended decision, the Administrator may require
the parties to attend a conference to attempt to settle any dispute under this
subsection (b)(5).
6) Administrator's Recommended Decision
A) Following the expiration of the 21-day response period, the
Administrator shall issue a written recommended decision on the
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NOTICE OF ADOPTED AMENDMENTS
validity or enforceability of the contested Use Agreement, or
contested portions of the Use Agreement, based on the contents of
the petition and any responses.
B) The Administrator's recommended decision shall set forth the
reasons the Administrator is recommending the granting or denial
of the petition. When the petition asserts more than one claim as to
the validity or enforceability of the Use Agreement, or a portion of
the Use Agreement, the Administrator shall separately decide each
claim.
C) Copies of the Administrator's recommended decision shall be
served on each party by personal delivery, certified mail or
overnight express mail to the party's last known address.
7) A petitioning party or party named in a petition brought under this
subsection (b) may file exceptions to the recommended decision of the
Administrator. The exception shall be filed with the Board no later than
14 days after receipt of the recommended decision. Exceptions shall
specify each finding of fact and conclusion of law to which exception is
taken. There shall be no oral argument on exceptions.
8) Prior to the Board rendering a decision, the Administrator may require the
parties to attend a conference to attempt to settle any dispute under this
subsection (b).
9) Any relief given by the Board under this subsection (b) shall be limited to
deciding which Use Agreement, or portion of the Use Agreement, is valid
for the placement and operation of video gaming terminals in a licensed
video gaming location. The Board has the express authority to order a
licensed terminal operator to remove its Video Gaming Terminals from a
licensed establishment if a Use Agreement, or portion of the Use
Agreement, is invalidated. The Board shall not award monetary damages
of any kind. Any failure by a party to abide by the Board's decision shall
subject the licensee to discipline.
10) Final Board Order
ILLINOIS REGISTER 3150
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NOTICE OF ADOPTED AMENDMENTS
A) The Board shall review the entire record, including the petitions
filed, the Administrator's recommended decision, and any
exceptions filed, and shall render a written order including the
bases for its decision.
B) Copies of the final Board order shall be served on each licensee by
personal delivery, certified mail or overnight express mail to the
licensee's last known address.
C) A final Board order shall become effective upon personal delivery
to a party or upon posting by certified or overnight express mail to
the party's last known address.
c) The Board shall promulgate a standard form for Use Agreements and establish an
effective date for its implementation. All new and renewed Use Agreements
entered into on or after that effective date shall incorporate the language of the
standard form and shall be consistent with the standard form in all respects.
(Source: Amended at 42 Ill. Reg. 3126, effective February 2, 2018)
SUBPART Q: RESPONSIBLE GAMING
Section 1800.1710 Conversations About Responsible Gaming
Owners and persons with significant influence or control of a licensed video gaming location,
video gaming managers, and employees of a licensed video gaming location whose job duties
involve any aspect of video gaming operations, shall have a right, but not an obligation, to
conduct conversations about responsible gaming with video gaming players at the location. A
licensed video gaming location will not be liable if a person enrolled in the Board's self-
exclusion program established under 86 Ill. Adm. Code 3000.Subpart G or problem gambling
registry created by Section 1800.1730 of this Part plays a video gaming terminal on the premises
of the licensed video gaming location.
(Source: Added at 42 Ill. Reg. 3126, effective February 2, 2018)
Section 1800.1720 Responsible Gaming Education Programs
a) As a condition of initial licensure and license renewal of a licensed video gaming
location, all owners and persons with significant influence or control of the
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NOTICE OF ADOPTED AMENDMENTS
location, video gaming managers, and all employees of the location whose
employment duties relate to any aspect of video gaming operations, shall be
required to complete an on-line course of study on responsible gaming.
Completion of this course shall be a condition of license issuance and renewal.
Completion of the course shall be required within 30 days after the date the course
is made available to the public, or the person becomes an owner, person with
significant influence or control, video gaming manager, or employee of the
location. Enrollment in the course shall be free of charge to the enrollee. The
course of study shall define responsible gaming and provide instruction on
conversational techniques with customers whose behavior indicates they may
have a gambling problem. The recommended conversational techniques shall be
informative and non-judgmental, provide players with helpful information about
the random nature of video gaming play and long-term prospects of winning, and
recommend appropriate means of providing information to video gaming players
concerning problem gambling resources.
b) In implementing the responsible gaming education program, the Board may
contract for and use educational materials and programs offered by any public or
private entity, including but not limited to those prepared by other state
governments.
(Source: Added at 42 Ill. Reg. 3126, effective February 2, 2018)
Section 1800.1730 Problem Gambling Registry
The Board shall establish a voluntary, confidential problem gambling registry for video gaming.
Persons enrolled in the registry shall receive regular e-mails providing information on problem
gambling and containing links to problem gambling prevention and treatment resources available
in Illinois. Individuals enrolled in the problem gambling registry may cancel their enrollments at
any time. Both Illinois and out-of-state residents may enroll in the problem gambling registry.
(Source: Added at 42 Ill. Reg. 3126, effective February 2, 2018)
Section 1800.1740 Utilization of Technology to Prevent Problem Gambling
The Board may utilize technology to include a message on the interface of video gaming
terminals to assist players in responsible gaming and prevent problem gambling from occurring.
(Source: Added at 42 Ill. Reg. 3126, effective February 2, 2018)
ILLINOIS REGISTER 3152
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
1) Heading of the Part: Hospital Services
2) Code Citation: 89 Ill. Adm. Code 148
3) Section Numbers: Adopted Actions:
148.117 Amendment
148.140 Amendment
148.299 Amendment
4) Statutory Authority: Section 12-13 of the Illinois Public Aid Code [305 ILCS 5/12-13]
5) Effective Date of Rules: January 31, 2018
6) Does this rulemaking contain an automatic repeal date? No
7) Does this rulemaking contain incorporations by reference? No
8) A copy of the adopted rulemaking, including any materials incorporated by reference, is
on file in the Agency's principal office and is available for public inspection.
9) Notice of Proposal published in the Illinois Register: 41 Ill. Reg. 11508; September 15,
2017
10) Has JCAR issued a Statement of Objection to this rulemaking? No
11) Differences Between Proposal and Final Version: None
12) Have all the changes agreed upon by the Agency and JCAR been made as indicated in the
agreements issued by JCAR? No changes were requested and no agreements were
entered into.
13) Will this rulemaking replace any emergency rule currently in effect? No
14) Are there any other rulemakings pending on this Part? No
15) Summary and Purpose of Rulemaking: This rulemaking restores the $60 per treatment
day renal dialysis add-on payment hospitals and freestanding chronic dialysis centers
received for outpatient renal dialysis treatments or home dialysis treatments provided to
Medicaid recipients under Title XIX of the Social Security Act pursuant to the FY18
ILLINOIS REGISTER 3153
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
Budget Implementation Act (PA 100-23) and implements revisions to the Medicaid
Facilitation and Utilization Payments and the Outpatient Assistance Adjustment
Payments for FY17 and FY18.
16) Information and questions regarding these adopted rules shall be directed to:
Mollie Zito
General Counsel
Illinois Department of Healthcare and Family Services
201 South Grand Avenue East, 3rd Floor
Springfield IL 62763-0002
The full text of the Adopted Amendments begins on the next page:
ILLINOIS REGISTER 3154
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
TITLE 89: SOCIAL SERVICES
CHAPTER I: DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
SUBCHAPTER d: MEDICAL PROGRAMS
PART 148
HOSPITAL SERVICES
SUBPART A: GENERAL PROVISIONS
Section
148.10 Hospital Services
148.20 Participation
148.25 Definitions and Applicability
148.30 General Requirements
148.40 Special Requirements
148.50 Covered Hospital Services
148.60 Services Not Covered as Hospital Services
148.70 Limitation On Hospital Services
SUBPART B: REIMBURSEMENT AND RELATED PROVISIONS
Section
148.80 Organ Transplants Services Covered Under Medicaid (Repealed)
148.82 Organ Transplant Services
148.85 Supplemental Tertiary Care Adjustment Payments (Repealed)
148.90 Medicaid Inpatient Utilization Rate (MIUR) Adjustment Payments (Repealed)
148.95 Medicaid Outpatient Utilization Rate (MOUR) Adjustment Payments (Repealed)
148.100 County Trauma Center Adjustment Payments
148.103 Outpatient Service Adjustment Payments (Repealed)
148.105 Reimbursement Methodologies for Inpatient Rehabilitation Services
148.110 Reimbursement Methodologies for Inpatient Psychiatric Services
148.112 Medicaid High Volume Adjustment Payments
148.115 Reimbursement Methodologies for Long Term Acute Care Services
148.116 Reimbursement Methodologies for Children's Specialty Hospitals
148.117 Outpatient Assistance Adjustment Payments
148.120 Disproportionate Share Hospital (DSH) Adjustments
148.122 Medicaid Percentage Adjustments
148.126 Safety Net Adjustment Payments
148.130 Outlier Adjustments for Exceptionally Costly Stays
148.140 Hospital Outpatient and Clinic Services
ILLINOIS REGISTER 3155
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
148.150 Public Law 103-66 Requirements
148.160 Payment Methodology for County-Owned Large Public Hospitals
148.170 Payment Methodology for University-Owned Large Public Hospitals
148.175 Supplemental Disproportionate Share Payment Methodology for Hospitals
Organized Under the Town Hospital Act (Repealed)
148.180 Payment for Pre-operative Days and Patient Specific Orders
148.190 Copayments
148.200 Alternate Reimbursement Systems (Repealed)
148.210 Filing Cost Reports
148.220 Pre September 1, 1991, Admissions (Repealed)
148.230 Admissions Occurring on or after September 1, 1991 (Repealed)
148.240 Utilization Review and Furnishing of Inpatient Hospital Services Directly or
Under Arrangements
148.250 Determination of Alternate Payment Rates to Certain Exempt Hospitals
(Repealed)
148.260 Calculation and Definitions of Inpatient Per Diem Rates (Repealed)
148.270 Determination of Alternate Cost Per Diem Rates For All Hospitals; Payment
Rates for Certain Exempt Hospital Units; and Payment Rates for Certain Other
Hospitals (Repealed)
148.280 Reimbursement Methodologies for Children's Hospitals and Hospitals
Reimbursed Under Special Arrangements (Repealed)
148.285 Excellence in Academic Medicine Payments (Repealed)
148.290 Adjustments and Reductions to Total Payments
148.295 Critical Hospital Adjustment Payments
148.296 Transitional Supplemental Payments
148.297 Physician Development Incentive Payments
148.298 Pediatric Inpatient Adjustment Payments (Repealed)
148.299 Medicaid Facilitation and Utilization Payments
148.300 Payment
148.310 Review Procedure
148.320 Alternatives (Repealed)
148.330 Exemptions
148.340 Subacute Alcoholism and Substance Abuse Treatment Services
148.350 Definitions (Repealed)
148.360 Types of Subacute Alcoholism and Substance Abuse Treatment Services
(Repealed)
148.368 Volume Adjustment (Repealed)
148.370 Payment for Sub-acute Alcoholism and Substance Abuse Treatment Services
148.380 Rate Appeals for Subacute Alcoholism and Substance Abuse Treatment Services
ILLINOIS REGISTER 3156
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
(Repealed)
148.390 Hearings
148.400 Special Hospital Reporting Requirements
148.402 Medicaid Eligibility Payments (Repealed)
148.404 Medicaid High Volume Adjustment Payments (Repealed)
148.406 Intensive Care Adjustment Payments (Repealed)
148.408 Trauma Center Adjustment Payments (Repealed)
148.410 Psychiatric Rate Adjustment Payments (Repealed)
148.412 Rehabilitation Adjustment Payments (Repealed)
148.414 Supplemental Tertiary Care Adjustment Payments (Repealed)
148.416 Crossover Percentage Adjustment Payments (Repealed)
148.418 Long Term Acute Care Hospital Adjustment Payments (Repealed)
148.420 Obstetrical Care Adjustment Payments (Repealed)
148.422 Outpatient Access Payments (Repealed)
148.424 Outpatient Utilization Payments (Repealed)
148.426 Outpatient Complexity of Care Adjustment Payments (Repealed)
148.428 Rehabilitation Hospital Adjustment Payments (Repealed)
148.430 Perinatal Outpatient Adjustment Payments (Repealed)
148.432 Supplemental Psychiatric Adjustment Payments (Repealed)
148.434 Outpatient Community Access Adjustment Payments (Repealed)
148.436 Long Term Stay Hospital Per Diem Payments
148.440 High Volume Adjustment Payments
148.442 Inpatient Services Adjustment Payments
148.444 Capital Needs Payments
148.446 Obstetrical Care Payments
148.448 Trauma Care Payments
148.450 Supplemental Tertiary Care Payments
148.452 Crossover Care Payments
148.454 Magnet Hospital Payments
148.456 Ambulatory Procedure Listing Increase Payments
148.458 General Provisions
148.460 Catastrophic Relief Payments (Repealed)
148.462 Hospital Medicaid Stimulus Payments (Repealed)
148.464 General Provisions
148.466 Magnet and Perinatal Hospital Adjustment Payments
148.468 Trauma Level II Hospital Adjustment Payments
148.470 Dual Eligible Hospital Adjustment Payments
148.472 Medicaid Volume Hospital Adjustment Payments
148.474 Outpatient Service Adjustment Payments
ILLINOIS REGISTER 3157
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
148.476 Ambulatory Service Adjustment Payments
148.478 Specialty Hospital Adjustment Payments
148.480 ER Safety Net Payments
148.482 Physician Supplemental Adjustment Payments
148.484 Freestanding Children's Hospital Adjustment Payments
148.486 Freestanding Children's Hospital Outpatient Adjustment Payments
SUBPART C: SEXUAL ASSAULT EMERGENCY TREATMENT PROGRAM
Section
148.500 Definitions
148.510 Reimbursement
SUBPART D: STATE CHRONIC RENAL DISEASE PROGRAM
Section
148.600 Definitions
148.610 Scope of the Program
148.620 Assistance Level and Reimbursement
148.630 Criteria and Information Required to Establish Eligibility
148.640 Covered Services
SUBPART E: INSTITUTION FOR MENTAL DISEASES PROVISIONS FOR HOSPITALS
Section
148.700 General Provisions
SUBPART F: EMERGENCY PSYCHIATRIC DEMONSTRATION PROGRAM
Section
148.800 General Provisions
148.810 Definitions
148.820 Individual Eligibility for the Program
148.830 Providers Participating in the Program
148.840 Stabilization and Discharge Practices
148.850 Medication Management
148.860 Community Connect IMD Hospital Payment
148.870 Community Connect TCM Agency Payment
148.880 Program Reporting
ILLINOIS REGISTER 3158
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
148.TABLE A Renal Participation Fee Worksheet
148.TABLE B Bureau of Labor Statistics Equivalence
148.TABLE C List of Metropolitan Counties by SMSA Definition
AUTHORITY: Implementing and authorized by Articles III, IV, V and VI and Section 12-13 of
the Illinois Public Aid Code [305 ILCS 5/Arts. III, IV, V and VI and 12-13].
SOURCE: Sections 148.10 thru 148.390 recodified from 89 Ill. Adm. Code 140.94 thru 140.398
at 13 Ill. Reg. 9572; Section 148.120 recodified from 89 Ill. Adm. Code 140.110 at 13 Ill. Reg.
12118; amended at 14 Ill. Reg. 2553, effective February 9, 1990; emergency amendment at 14
Ill. Reg. 11392, effective July 1, 1990, for a maximum of 150 days; amended at 14 Ill. Reg.
15358, effective September 13, 1990; amended at 14 Ill. Reg. 16998, effective October 4, 1990;
amended at 14 Ill. Reg. 18293, effective October 30, 1990; amended at 14 Ill. Reg. 18499,
effective November 8, 1990; emergency amendment at 15 Ill. Reg. 10502, effective July 1, 1991,
for a maximum of 150 days; emergency expired October 29, 1991; emergency amendment at 15
Ill. Reg. 12005, effective August 9, 1991, for a maximum of 150 days; emergency expired
January 6, 1992; emergency amendment at 15 Ill. Reg. 16166, effective November 1, 1991, for a
maximum of 150 days; amended at 15 Ill. Reg. 18684, effective December 23, 1991; amended at
16 Ill. Reg. 6255, effective March 27, 1992; emergency amendment at 16 Ill. Reg. 11335,
effective June 30, 1992, for a maximum of 150 days; emergency expired November 27, 1992;
emergency amendment at 16 Ill. Reg. 11942, effective July 10, 1992, for a maximum of 150
days; emergency amendment at 16 Ill. Reg. 14778, effective October 1, 1992, for a maximum of
150 days; amended at 16 Ill. Reg. 19873, effective December 7, 1992; amended at 17 Ill. Reg.
131, effective December 21, 1992; amended at 17 Ill. Reg. 3296, effective March 1, 1993;
amended at 17 Ill. Reg. 6649, effective April 21, 1993; amended at 17 Ill. Reg. 14643, effective
August 30, 1993; emergency amendment at 17 Ill. Reg. 17323, effective October 1, 1993, for a
maximum of 150 days; amended at 18 Ill. Reg. 3450, effective February 28, 1994; emergency
amendment at 18 Ill. Reg. 12853, effective August 2, 1994, for a maximum of 150 days;
amended at 18 Ill. Reg. 14117, effective September 1, 1994; amended at 18 Ill. Reg. 17648,
effective November 29, 1994; amended at 19 Ill. Reg. 1067, effective January 20, 1995;
emergency amendment at 19 Ill. Reg. 3510, effective March 1, 1995, for a maximum of 150
days; emergency expired July 29, 1995; emergency amendment at 19 Ill. Reg. 6709, effective
May 12, 1995, for a maximum of 150 days; amended at 19 Ill. Reg. 10060, effective June 29,
1995; emergency amendment at 19 Ill. Reg. 10752, effective July 1, 1995, for a maximum of 150
days; amended at 19 Ill. Reg. 13009, effective September 5, 1995; amended at 19 Ill. Reg.
16630, effective November 28, 1995; amended at 20 Ill. Reg. 872, effective December 29, 1995;
amended at 20 Ill. Reg. 7912, effective May 31, 1996; emergency amendment at 20 Ill. Reg.
9281, effective July 1, 1996, for a maximum of 150 days; emergency amendment at 20 Ill. Reg.
12510, effective September 1, 1996, for a maximum of 150 days; amended at 20 Ill. Reg. 15722,
ILLINOIS REGISTER 3159
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
effective November 27, 1996; amended at 21 Ill. Reg. 607, effective January 2, 1997; amended
at 21 Ill. Reg. 8386, effective June 23, 1997; emergency amendment at 21 Ill. Reg. 9552,
effective July 1, 1997, for a maximum of 150 days; emergency amendment at 21 Ill. Reg. 9822,
effective July 2, 1997, for a maximum of 150 days; emergency amendment at 21 Ill. Reg. 10147,
effective August 1, 1997, for a maximum of 150 days; amended at 21 Ill. Reg. 13349, effective
September 23, 1997; emergency amendment at 21 Ill. Reg. 13675, effective September 27, 1997,
for a maximum of 150 days; amended at 21 Ill. Reg. 16161, effective November 26, 1997;
amended at 22 Ill. Reg. 1408, effective December 29, 1997; amended at 22 Ill. Reg. 3083,
effective January 26, 1998; amended at 22 Ill. Reg. 11514, effective June 22, 1998; emergency
amendment at 22 Ill. Reg. 13070, effective July 1, 1998, for a maximum of 150 days; emergency
amendment at 22 Ill. Reg. 15027, effective August 1, 1998, for a maximum of 150 days;
amended at 22 Ill. Reg. 16273, effective August 28, 1998; amended at 22 Ill. Reg. 21490,
effective November 25, 1998; amended at 23 Ill. Reg. 5784, effective April 30, 1999; amended
at 23 Ill. Reg. 7115, effective June 1, 1999; amended at 23 Ill. Reg. 7908, effective June 30,
1999; emergency amendment at 23 Ill. Reg. 8213, effective July 1, 1999, for a maximum of 150
days; emergency amendment at 23 Ill. Reg. 12772, effective October 1, 1999, for a maximum of
150 days; amended at 23 Ill. Reg. 13621, effective November 1, 1999; amended at 24 Ill. Reg.
2400, effective February 1, 2000; amended at 24 Ill. Reg. 3845, effective February 25, 2000;
emergency amendment at 24 Ill. Reg. 10386, effective July 1, 2000, for a maximum of 150 days;
amended at 24 Ill. Reg. 11846, effective August 1, 2000; amended at 24 Ill. Reg. 16067,
effective October 16, 2000; amended at 24 Ill. Reg. 17146, effective November 1, 2000;
amended at 24 Ill. Reg. 18293, effective December 1, 2000; amended at 25 Ill. Reg. 5359,
effective April 1, 2001; emergency amendment at 25 Ill. Reg. 5432, effective April 1, 2001, for a
maximum of 150 days; amended at 25 Ill. Reg. 6959, effective June 1, 2001; emergency
amendment at 25 Ill. Reg. 9974, effective July 23, 2001, for a maximum of 150 days; amended at
25 Ill. Reg. 10513, effective August 2, 2001; emergency amendment at 25 Ill. Reg. 12870,
effective October 1, 2001, for a maximum of 150 days; emergency expired February 27, 2002;
amended at 25 Ill. Reg. 16087, effective December 1, 2001; emergency amendment at 26 Ill.
Reg. 536, effective December 31, 2001, for a maximum of 150 days; emergency amendment at
26 Ill. Reg. 680, effective January 1, 2002, for a maximum of 150 days; amended at 26 Ill. Reg.
4825, effective March 15, 2002; emergency amendment at 26 Ill. Reg. 4953, effective March 18,
2002, for a maximum of 150 days; emergency amendment repealed at 26 Ill. Reg. 7786,
effective July 1, 2002; emergency amendment at 26 Ill. Reg. 7340, effective April 30, 2002, for a
maximum of 150 days; amended at 26 Ill. Reg. 8395, effective May 28, 2002; emergency
amendment at 26 Ill. Reg. 11040, effective July 1, 2002, for a maximum of 150 days; emergency
amendment repealed at 26 Ill. Reg. 16612, effective October 22, 2002; amended at 26 Ill. Reg.
12322, effective July 26, 2002; amended at 26 Ill. Reg. 13661, effective September 3, 2002;
amended at 26 Ill. Reg. 14808, effective September 26, 2002; emergency amendment at 26 Ill.
Reg. 14887, effective October 1, 2002, for a maximum of 150 days; amended at 26 Ill. Reg.
ILLINOIS REGISTER 3160
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
17775, effective November 27, 2002; emergency amendment at 27 Ill. Reg. 580, effective
January 1, 2003, for a maximum of 150 days; emergency amendment at 27 Ill. Reg. 866,
effective January 1, 2003, for a maximum of 150 days; amended at 27 Ill. Reg. 4386, effective
February 24, 2003; emergency amendment at 27 Ill. Reg. 8320, effective April 28, 2003, for a
maximum of 150 days; emergency amendment repealed at 27 Ill. Reg. 12121, effective July 10,
2003; amended at 27 Ill. Reg. 9178, effective May 28, 2003; emergency amendment at 27 Ill.
Reg. 11041, effective July 1, 2003, for a maximum of 150 days; emergency amendment at 27 Ill.
Reg. 16185, effective October 1, 2003, for a maximum of 150 days; emergency amendment at 27
Ill. Reg. 16268, effective October 1, 2003, for a maximum of 150 days; amended at 27 Ill. Reg.
18843, effective November 26, 2003; emergency amendment at 28 Ill. Reg. 1418, effective
January 8, 2004, for a maximum of 150 days; emergency amendment at 28 Ill. Reg. 1766,
effective January 10, 2004, for a maximum of 150 days; emergency expired June 7, 2004;
amended at 28 Ill. Reg. 2770, effective February 1, 2004; emergency amendment at 28 Ill. Reg.
5902, effective April 1, 2004, for a maximum of 150 days; amended at 28 Ill. Reg. 7101,
effective May 3, 2004; amended at 28 Ill. Reg. 8072, effective June 1, 2004; emergency
amendment at 28 Ill. Reg. 8167, effective June 1, 2004, for a maximum of 150 days; amended at
28 Ill. Reg. 9661, effective July 1, 2004; emergency amendment at 28 Ill. Reg. 10157, effective
July 1, 2004, for a maximum of 150 days; emergency amendment at 28 Ill. Reg. 12036, effective
August 3, 2004, for a maximum of 150 days; emergency expired December 30, 2004; emergency
amendment at 28 Ill. Reg. 12227, effective August 6, 2004, for a maximum of 150 days;
emergency expired January 2, 2005; amended at 28 Ill. Reg. 14557, effective October 27, 2004;
amended at 28 Ill. Reg. 15536, effective November 24, 2004; amended at 29 Ill. Reg. 861,
effective January 1, 2005; emergency amendment at 29 Ill. Reg. 2026, effective January 21,
2005, for a maximum of 150 days; amended at 29 Ill. Reg. 5514, effective April 1, 2005;
emergency amendment at 29 Ill. Reg. 5756, effective April 8, 2005, for a maximum of 150 days;
emergency amendment repealed by emergency rulemaking at 29 Ill. Reg. 11622, effective July
5, 2005, for the remainder of the 150 days; amended at 29 Ill. Reg. 8363, effective June 1, 2005;
emergency amendment at 29 Ill. Reg. 10275, effective July 1, 2005, for a maximum of 150 days;
emergency amendment at 29 Ill. Reg. 12568, effective August 1, 2005, for a maximum of 150
days; emergency amendment at 29 Ill. Reg. 15629, effective October 1, 2005, for a maximum of
150 days; amended at 29 Ill. Reg. 19973, effective November 23, 2005; amended at 30 Ill. Reg.
383, effective December 28, 2005; emergency amendment at 30 Ill. Reg. 596, effective January
1, 2006, for a maximum of 150 days; emergency amendment at 30 Ill. Reg. 955, effective
January 9, 2006, for a maximum of 150 days; amended at 30 Ill. Reg. 2827, effective February
24, 2006; emergency amendment at 30 Ill. Reg. 7786, effective April 10, 2006, for a maximum
of 150 days; emergency amendment repealed by emergency rulemaking at 30 Ill. Reg. 12400,
effective July 1, 2006, for the remainder of the 150 days; emergency expired September 6, 2006;
amended at 30 Ill. Reg. 8877, effective May 1, 2006; amended at 30 Ill. Reg. 10393, effective
May 26, 2006; emergency amendment at 30 Ill. Reg. 11815, effective July 1, 2006, for a
ILLINOIS REGISTER 3161
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
maximum of 150 days; amended at 30 Ill. Reg. 18672, effective November 27, 2006; emergency
amendment at 31 Ill. Reg. 1602, effective January 1, 2007, for a maximum of 150 days;
emergency amendment at 31 Ill. Reg. 1997, effective January 15, 2007, for a maximum of 150
days; amended at 31 Ill. Reg. 5596, effective April 1, 2007; amended at 31 Ill. Reg. 8123,
effective May 30, 2007; amended at 31 Ill. Reg. 8508, effective June 1, 2007; emergency
amendment at 31 Ill. Reg. 10137, effective July 1, 2007, for a maximum of 150 days; amended at
31 Ill. Reg. 11688, effective August 1, 2007; amended at 31 Ill. Reg. 14792, effective October
22, 2007; amended at 32 Ill. Reg. 312, effective January 1, 2008; emergency amendment at 32
Ill. Reg. 518, effective January 1, 2008, for a maximum of 150 days; emergency amendment at
32 Ill. Reg. 2993, effective February 16, 2008, for a maximum of 150 days; amended at 32 Ill.
Reg. 8718, effective May 29, 2008; amended at 32 Ill. Reg. 9945, effective June 26, 2008;
emergency amendment at 32 Ill. Reg. 10517, effective July 1, 2008, for a maximum of 150 days;
emergency expired November 27, 2008; amended at 33 Ill. Reg. 501, effective December 30,
2008; peremptory amendment at 33 Ill. Reg. 1538, effective December 30, 2008; emergency
amendment at 33 Ill. Reg. 5821, effective April 1, 2009, for a maximum of 150 days; emergency
expired August 28, 2009; amended at 33 Ill. Reg. 13246, effective September 8, 2009;
emergency amendment at 34 Ill. Reg. 15856, effective October 1, 2010, for a maximum of 150
days; emergency expired February 27, 2011; amended at 34 Ill. Reg. 17737, effective November
8, 2010; amended at 35 Ill. Reg. 420, effective December 27, 2010; expedited correction at 38
Ill. Reg. 12618, effective December 27, 2010; amended at 35 Ill. Reg. 10033, effective June 15,
2011; amended at 35 Ill. Reg. 16572, effective October 1, 2011; emergency amendment at 36 Ill.
Reg. 10326, effective July 1, 2012 through June 30, 2013; emergency amendment to Section
148.70(g) suspended at 36 Ill. Reg. 13737, effective August 15, 2012; suspension withdrawn
from Section 148.70(g) at 36 Ill. Reg. 18989, December 11, 2012; emergency amendment in
response to Joint Committee on Administrative Rules action on Section 148.70(g) at 36 Ill. Reg.
18976, effective December 12, 2012 through June 30, 2013; emergency amendment to Section
148.140(b)(1)(F) suspended at 36 Ill. Reg. 13739, effective August 15, 2012; suspension
withdrawn from Section 148.140(b)(1)(F) at 36 Ill. Reg. 14530, September 11, 2012; emergency
amendment to Sections 148.140(b) and 148.190(a)(2) in response to Joint Committee on
Administrative Rules action at 36 Ill. Reg. 14851, effective September 21, 2012 through June 30,
2013; amended at 37 Ill. Reg. 402, effective December 27, 2012; emergency rulemaking at 37
Ill. Reg. 5082, effective April 1, 2013 through June 30, 2013; amended at 37 Ill. Reg. 10432,
effective June 27, 2013; amended at 37 Ill. Reg. 17631, effective October 23, 2013; amended at
38 Ill. Reg. 4363, effective January 29, 2014; amended at 38 Ill. Reg. 11557, effective May 13,
2014; amended at 38 Ill. Reg. 13263, effective June 11, 2014; amended at 38 Ill. Reg. 15165,
effective July 2, 2014; emergency amendment at 39 Ill. Reg. 10453, effective July 10, 2015, for a
maximum of 150 days; emergency expired December 6, 2015; amended at 39 Ill. Reg. 10824,
effective July 27, 2015; amended at 39 Ill. Reg. 16394, effective December 14, 2015; amended at
ILLINOIS REGISTER 3162
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
41 Ill. Reg. 1041, effective January 19, 2017; amended at 42 Ill. Reg. 3152, effective January 31,
2018.
SUBPART B: REIMBURSEMENT AND RELATED PROVISIONS
Section 148.117 Outpatient Assistance Adjustment Payments
Effective for dates of service on or after July 1, 2014, except when specifically designated
otherwise in this Section:
a) Qualifying Criteria. Outpatient Assistance Adjustment Payments, as described in
subsection (b) of this Section, shall be made to Illinois hospitals meeting one of
the criteria identified in this subsection (a):
1) A general acute care hospital that qualifies for Disproportionate Share
Adjustment Payments for rate year 2007, as defined in Section 148.120,
has an emergency care percentage greater than 85%.
2) A general acute care hospital located outside of Cook County that
qualifies for Medicaid Percentage Adjustment Payments for rate year 2007
as defined in Section 148.122, is a trauma center recognized by the Illinois
Department of Public Health (DPH) as of July 1, 2006, has an emergency
care percentage greater than 58%, and has provided more than 1,000
Medicaid Non-emergency/Screening outpatient ambulatory procedure
listing services in the outpatient assistance base year.
3) A hospital that has an MIUR of greater than 50% and an emergency care
percentage greater than 80%, and that provided more than 6,000 Medicaid
outpatient ambulatory procedure listing services in the outpatient
assistance base year.
4) A hospital that has an MIUR of greater than 70% and an emergency care
percentage greater than 90%.
5) A general acute care hospital, not located in Cook County, that is not a
trauma center recognized by DPH as of July 1, 2006 and did not qualify
for Medicaid Percentage Adjustment payments for rate year 2007, as
defined in Section 148.122, has an MIUR of greater than 25% and an
emergency care percentage greater than 50%, and that provided more than
ILLINOIS REGISTER 3163
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
8,500 Medicaid outpatient ambulatory procedure listing services in the
outpatient assistance base year.
6) A general acute care hospital, not located in Cook County, that is a Level I
trauma center recognized by DPH as of July 1, 2006, has an emergency
care percentage greater than 50%, and provided more than 16,000
Medicaid outpatient ambulatory procedure listing services, including more
than 1,000 non-emergency screening outpatient ambulatory procedure
listing services, in the outpatient assistance base year.
7) A general acute care hospital, not located in Cook County, that qualified
for Medicaid Percentage Adjustment payments for rate year 2007, as
defined in Section 148.122, has an emergency care percentage greater than
55%, and provided more than 12,000 Medicaid outpatient ambulatory
procedure listing services, including more than 600 surgical group
outpatient ambulatory procedure listing services and 7,000 emergency
services in the outpatient assistance base year.
8) A general acute care hospital that has an emergency care percentage
greater than 75% and provided more than 15,000 Medicaid outpatient
ambulatory procedure listing services in the outpatient assistance base
year.
9) A rural hospital that has an MIUR of greater than 40% and provided more
than 16,000 Medicaid outpatient ambulatory procedure listing services in
the outpatient assistance base year.
10) A general acute care hospital, not located in Cook County, that is a trauma
center recognized by DPH as of July 1, 2006, had more than 500 licensed
beds in calendar year 2005, and provided more than 11,000 Medicaid
outpatient ambulatory procedure listing services, including more than 950
surgical group outpatient ambulatory procedure listing services, in the
outpatient assistance base year.
11) A general acute care hospital is recognized as a Level I trauma center by
DPH on the first day of the OAAP rate period, has Emergency Level I
services greater than 2,000, Emergency Level II services greater than
8,000, and greater than 19,000 Medicaid outpatient ambulatory procedure
listing services in the outpatient assistance base year.
ILLINOIS REGISTER 3164
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
b) Outpatient Assistance Adjustment Payments
1) For hospitals qualifying under subsection (a)(1), the rate is $850.00 for
dates of service through February 28, 2014. For dates of service on March
1, 2014 through June 30, 2014, the rate is $1,523.00. For dates of service
on or after July 1, 2014, the rate is $0.00.
2) For hospitals qualifying under subsection (a)(2), the rate is $290.00 for
dates of service on or after July 1, 2014.
3) For hospitals qualifying under subsection (a)(3), the rate is $250.00 for
dates of service on or after July 1, 2014.
4) For hospitals qualifying under subsection (a)(4), the rate is $336.25 for
dates of service on or after July 1, 2014.
5) For hospitals qualifying under subsection (a)(5), the rate is $110.00 for
dates of service on or after July 1, 2014.
6) For hospitals qualifying under subsection (a)(6), the rate is $200.00 for
dates of service on or after July 1, 2014.
7) For hospitals qualifying under subsection (a)(7), the rate is $247.50 for
dates of service on or after July 1, 2014 through March 31, 2017. For dates
of service on April 1, 2017 through June 30, 2018, the rate is $610.20. For
dates of service on or after July 1, 2018, the rate is $0.00.
8) For hospitals qualifying under subsection (a)(8), the rate is $205.00 for
dates of service on or after July 1, 2014.
9) For hospitals qualifying under subsection (a)(9), the rate is $65.00 for
dates of service on or after July 1, 2014.
10) For hospitals qualifying under subsection (a)(10), the rate is $90.00 for
dates of service on or after July 1, 2014.
11) For hospitals qualifying under subsection (a)(11), the rate is $47.00 for
dates of service on or after July 1, 2010.
ILLINOIS REGISTER 3165
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
c) Payment to a Qualifying Hospital
1) The total annual payments to a qualifying hospital shall be the product of
the hospital's rate multiplied by the Medicaid outpatient ambulatory
procedure listing services in the outpatient assistance adjustment base
year.
2) For the outpatient assistance adjustment period for fiscal year 2010 and
after, total payments will equal the amount determined using the
methodologies described in subsection (c)(1) and shall be paid to the
hospital, at least, on a quarterly basis.
3) Payments described in this Section are subject to federal approval.
d) Definitions
1) "Emergency care percentage" means a fraction, the numerator of which is
the total Group 3 ambulatory procedure listing services as described in
Section 148.140(b)(1)(C), excluding services for individuals eligible for
Medicare, provided by the hospital in State fiscal year 2005 contained in
the Department's data base adjudicated through June 30, 2006, and the
denominator of which is the total ambulatory procedure listing services as
described in Section 148.140(b)(1), excluding services for individuals
eligible for Medicare, provided by the hospital in State fiscal year 2005
contained in the Department's data base adjudicated through June 30,
2006.
2) "General acute care hospital" is a hospital that does not meet the definition
of a hospital contained in Section 148.25(a) and (d).
3) "Outpatient Ambulatory Procedure Listing Payments" means, for a given
hospital, the sum of payments for ambulatory procedure listing services as
described in Section 148.140(b)(1), excluding payments for individuals
eligible for Medicare under Title XVIII of the Act (Medicaid/Medicare
crossover days), as tabulated from the Department's paid claims data for
admissions occurring in the outpatient assistance base period that were
adjudicated by the Department through June 30, 2006.
ILLINOIS REGISTER 3166
18
DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
4) "Outpatient assistance year" means, beginning January 1, 2007, the
6-month period beginning on January 1, 2007 and ending June 30, 2007,
and beginning July 1, 2007, the 12-month period beginning July 1 of the
year and ending June 30 of the following year.
5) "Outpatient assistance base period" means the 12-month period beginning
on July 1, 2004 and ending June 30, 2005.
6) "Surgical group outpatient ambulatory procedure listing services" means,
for a given hospital, the sum of ambulatory procedure listing services as
described in Section 148.140(b)(1)(A), excluding services for individuals
eligible for Medicare under Title XVIII of the Act (Medicaid/Medicare
crossover days), as tabulated from the Department's paid claims data for
admissions occurring in the outpatient assistance base period that were
adjudicated by the Department through June 30, 2006.
7) "Non-emergency/screening outpatient ambulatory procedure listing
services" means, for a given hospital, the sum of ambulatory procedure
listing services as described in Section 148.140(b)(1)(C)(iii), excluding
services for individuals eligible for Medicare under Title XVIII of the Act
(Medicaid/Medicare crossover days), as tabulated from the Department's
paid claims data for admissions occurring in the outpatient assistance base
period that were adjudicated by the Department through June 30, 2006.
8) "High tech diagnostic Medicaid outpatient ambulatory procedure listing
services" means, for a given hospital, the sum of ambulatory procedure
listing services described in Section 148.140(b)(1)(B)(ii), excluding
services for individuals eligible for Medicare under Title XVIII of the Act
(Medicaid/Medicare crossover days), as tabulated from the Department's
paid claims data for admissions occurring in the outpatient assistance base
period that were adjudicated by the Department through June 30, 2006.
e) Payment Limitations: In order to be eligible for any new payment or rate increase
under this Section that would otherwise become effective for dates of service on
or after July 1, 2010, a hospital located in a geographic area of the State in which
the Department mandates some or all of the beneficiaries of the Medical
Assistance Program residing in the area to enroll in a Care Coordination program
as defined in 305 ILCS 5/5-30 must be a Coordinated Care Participating Hospital
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as defined in Section 148.295(g)(5). This payment limitation takes effect six
months after the Department begins mandatory enrollment in the geographic area.
(Source: Amended at 42 Ill. Reg. 3152, effective January 31, 2018)
Section 148.140 Hospital Outpatient and Clinic Services
Effective for dates of service on or after July 1, 2014:
a) Fee-For-Service Reimbursement
1) Reimbursement for hospital outpatient services shall be made on a
fee-for-service basis, except for:
A) Services described in subsection (b)(1).
B) End stage renal disease treatment (ESRDT) services, as described
in subsection (g).
2) Except for the services reimbursed under the EAPG PPS, described in
subsection (b)(1), fee-for-service reimbursement levels shall be at the
lower of the hospital's usual and customary charge to the public or the
Department's statewide maximum reimbursement screens. Hospitals will
be required to bill the Department utilizing specific service codes.
However, all specific client coverage policies (relating to client eligibility
and scope of services available to those clients) that pertain to the service
billed are applicable to hospitals in the same manner as to non-hospital
providers who bill fee for service.
3) Hospitals are required to bill the Department utilizing specific service
codes. All specific client coverage policies (relating to client eligibility
and scope of services available to those clients) that pertain to the service
billed are applicable to hospitals in the same manner as to non-hospital
providers who bill fee-for-service.
4) Payments under Section 148.140(a)(4) shall cease as of June 30, 2014 for
Maternal and Child Health Program Clinics.
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
b) EAPG PPS Reimbursement. Reimbursement under EAPG PPS, described in
subsection (c), shall be all-inclusive for all services provided by the hospital,
without regard to the amount charged by a hospital. Except as provided in
subsection (b)(3), no separate reimbursement will be made for ancillary services
or the services of hospital personnel.
1) Outpatient hospital services reimbursed through the EAPG PPS shall
include:
A) Surgical services.
B) Diagnostic and therapeutic services.
C) Emergency department services.
D) Observation services.
E) Psychiatric treatment services.
2) Excluded from reimbursement under the EAPG PPS are outpatient
hospital services reimbursed pursuant to 59 Ill. Adm. Code 131 and 132,
77 Ill. Adm. Code 2090, and Section 148.330 of this Part.
3) Exceptions to All-inclusive EAPG PPS Rate
A) A hospital may bill separately for:
i) Professional services of a physician who provided direct
patient care.
ii) Chemotherapy services provided in conjunction with
radiation therapy services.
iii) Physical rehabilitation, occupational or speech therapy
services provided in conjunction with an APG PPS
reimbursed service.
B) For the purposes of subsection (b)(3)(A), a physician means:
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
i) A physician salaried by the hospital. Physicians salaried by
the hospital do not include radiologists, pathologists, nurse
practitioners, or certified registered nurse anesthetists; no
separate reimbursement will be allowed for those providers.
ii) A physician who is reimbursed by the hospital through a
contractual arrangement to provide direct patient care.
iii) A group of physicians with a financial contract to provide
emergency department care.
c) EAPG PPS Payment. The reimbursement to hospitals for outpatient services
provided on the same day shall be the product, rounded to the nearest hundredth,
of the following:
1) The EAPG weighting factor of the EAPG to which the service was
assigned by the EAPG grouper.
2) The EAPG conversion factor, based on the sum of:
A) The product, rounded to the nearest hundredth, of:
i) the labor-related share;
ii) the Medicare IPPS wage index; and
iii) the applicable EAPG standardized amount.
B) The product, rounded to the nearest hundredth, of:
i) non-labor share; and
ii) the applicable EAPG standardized amount.
3) The applicable consolidation factor.
4) The applicable packaging factor.
5) The applicable discounting factor.
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
6) The applicable policy adjustment factors, as defined in subsection (f), for
which the service qualifies.
d) EAPG Standardized Amount. The standardized amount established by the
Department as the basis for EAPG conversion factor differs based on the provider
type:
1) County-operated Large Public Hospital EAPG Standardized Amount. For
a large public hospital, as defined in Section 148.25(a)(1), the EAPG
standardized amount is determined in Section 148.160.
2) University-operated Large Public Hospital EAPG Standardized Amount.
For a large public hospital, as defined in Section 148.25(a)(2), the EAPG
standardized amount is determined in Section 148.170.
3) Critical Access Hospital EAPG Standardized Amount. For critical access
hospitals, as defined in Section 148.25(g), the EAPG standardized
amounts are determined separately for each critical access hospital such
that simulated EAPG payments using outpatient base period paid claim
data plus payments as defined in Section 148.456 net of tax costs are equal
to the estimated costs of outpatient base period claims data with a rate year
cost inflation factor applied.
4) Acute EAPG Standardized Amount
A) Qualifying Criteria. General acute hospitals and freestanding
emergency centers as defined in 148.25(e) excluding providers in
subsections (d)(1) through (d)(3), freestanding psychiatric
hospitals, psychiatric distinct part units, freestanding rehabilitation
hospitals, and rehabilitation distinct part units.
B) The acute EAPG standardized amount is based on a single
statewide amount determined such that:
i) Simulated EAPG payments, without SMART Act
reductions or policy adjustments defined in subsection (f),
using general acute hospital outpatient base period paid
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
claims data, result in approximately a $75 million increase
compared to the amount derived in subsection (d)(4)(B)(ii).
ii) The sum of general acute hospital base period paid claims
data reported payments and allocated outpatient static
payments.
5) Psychiatric EAPG Standardized Amount
A) Qualifying Criteria. Freestanding psychiatric hospitals and
psychiatric distinct part units.
B) The psychiatric EAPG standardized amount is based on a single
statewide amount, determined such that:
i) Simulated EAPG payments, without policy adjustments
defined in subsection (f), using freestanding psychiatric
hospitals and psychiatric distinct part units outpatient base
period paid claims data, results in payments approximately
equal to the amount derived in subsection (d)(5)(B)(ii).
ii) The sum of freestanding psychiatric hospitals and
psychiatric distinct part units outpatient base period paid
claims data reported payments and allocated outpatient
static payments.
6) Rehabilitation EAPG Standardized Amount
A) Qualifying Criteria. Freestanding rehabilitation hospitals and
rehabilitation distinct part units.
B) The rehabilitation EAPG standardized amount is based on a single
statewide amount, determined such that:
i) Simulated EAPG payments, without SMART Act
reductions or policy adjustments defined in subsection (f),
using freestanding rehabilitation hospitals and
rehabilitation distinct part units outpatient base period paid
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
claims data, results in payments approximately equal to the
annual derived in subsection (d)(6)(B)(ii).
ii) The sum of freestanding rehabilitation hospitals and
rehabilitation distinct part units outpatient base period paid
claims data reported payments and allocated outpatient
static payments.
7) Ambulatory Surgical Treatment Center (ASTC) EAPG Standardized
Amount. For ASTC's, as defined in 89 Ill. Adm. Code 146.105, the EAPG
standardized amount is determined such that simulated EAPG payments
using outpatient base period paid claims data are equal to reported
payments of outpatient base period paid claims data as contained in the
Department's claims data warehouse.
8) Out-of-state non-cost reporting hospital EAPG standardized amount. For
non-cost reporting hospitals, the EAPG standardized amount is $362.32.
e) Discounting factor. The applicable discounting factor is based on the discounting
flags designated by the EAPG grouper under default EAPG settings:
1) The discounting factor will be 1.0000, if the following criteria are met:
A) The service has not been designated with a Bilateral Procedure
Discounting flag, Multiple Procedure Discounting flag, Repeat
Ancillary Discounting flag or Terminated Procedure Discounting
flag by the EAPG grouper under default EAPG settings; or
B) The service has not been designated with a Bilateral Procedure
Discounting flag and has been designated with a Multiple
Procedure Discounting flag by the EAPG grouper under default
EAPG settings and the service has the highest EAPG weighting
factor among other services with a Multiple Procedure Discounting
flag provided on the same day.
2) The discounting factor will be 0.5000 if the following criteria are met:
A) The service has been designated with a Multiple Procedure
Discounting flag, Repeat Ancillary Discounting flag or Terminated
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NOTICE OF ADOPTED AMENDMENTS
Procedure Discounting flag by the EAPG grouper under default
EAPG settings; and if the Multiple Procedure Discounting flag is
present, the service does not have the highest EAPG weighting
factor among other services with a Multiple Procedure Discounting
flag provided on the same day; and
B) The service has not been designated with a Bilateral Procedure
Discounting flag by the EAPG grouper under default EAPG
settings.
3) The discounting factor will be 0.7500 if the following criteria are met:
A) The service has been designated with a Bilateral Procedure
Discounting flag by the EAPG grouper under default EAPG
settings; and
B) The service has been designated with a Multiple Procedure
Discounting flag, the Repeat Ancillary Discounting flag or
Terminated Procedure Discounting flag by the EAPG grouper
under default EAPG settings; and if the Multiple Procedure
Discounting flag is present, the service does not have the highest
EAPG weighting factor among other services with a Multiple
Procedure Discounting flag provided on the same day.
4) The discounting factor will be 1.5000 if the following criteria are met:
A) The service has been designated with a Bilateral Procedure
Discounting flag by the EAPG grouper under default EAPG
settings; and
B) The service has not been designated with a Multiple Procedure
Discounting flag, the Repeat Ancillary Discounting flag or
Terminated Procedure Discounting flag by the EAPG grouper
under default EAPG settings; or if the Multiple Procedure
Discounting flag is present, the service has the highest EAPG
weighting factor among other services with a Multiple Procedure
Discounting flag provided on the same day.
ILLINOIS REGISTER 3174
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
f) Policy Adjustments. Claims for services by providers that meet certain criteria
shall qualify for further adjustments to payment. If a claim qualifies for more
than one policy adjustment, then the EAPG PPS payment will be multiplied by
both factors.
1) Safety Net Hospital Qualifying Criteria
A) The service is described in subsection (b)(1), excluding Medicare
crossover claims.
B) The hospital is a Safety Net hospital, as defined in Section 5-5e.1
of the Illinois Public Aid Code that is not:
i) A critical access hospital, as defined in Section 148.25(g).
ii) A large public hospital, as defined in Section 148.25(a).
C) Policy adjustment factor effective SFY 2015 and 2016 is 1.3218.
2) High Outpatient Volume Hospital Qualifying Criteria
A) The service is described in subsection (b)(1), excluding Medicare
crossover claims.
B) The hospital is a High Outpatient Volume hospital, as defined in
subsection (f)(2)(C) that is not:
i) A critical access hospital, as defined in Section 148.25(g).
ii) A large public hospital, as defined in Section 148.25(a).
iii) A Safety Net hospital, as defined in Section 5-5e.1 of the
Illinois Public Aid Code.
C) A High Outpatient Volume hospital for which the high outpatient
volume is at least:
i) 1.5 standard deviations above the mean regional high
outpatient volume; or
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NOTICE OF ADOPTED AMENDMENTS
ii) 1.5 standard deviations above the mean statewide high
outpatient volume.
D) Policy adjustment factor effective SFY 2015 and 2016 is 1.3218.
3) Crossover Adjustment Factor
A) Acute EAPG standardized amounts, as defined in subsection
(d)(4), shall be reduced by a Crossover Adjustment factor such
that:
i) The absolute value of the total simulated payment reduction
that occurs when applying the Crossover Adjustment
Factor to simulated EAPG payments, including Policy
Adjustments, using general acute hospital outpatient base
period paid claims data, is equal to the amount derived in
subsection (f)(3)(A)(ii):
ii) The difference of total simulated EAPG payments using
general acute hospital outpatient crossover paid claims
data, and general acute hospital outpatient crossover paid
claims data total reported Medicaid net liability.
B) Crossover Adjustment Factor effective SFY 2015 and 2016 is
0.98912.
4) If a claim does not qualify for a Policy Adjustment described in
subsections (f)(1) through (f)(3), the policy adjustment factor is 1.0.
g) Payment for outpatient end-stage renal disease treatment (ESRDT) services
provided pursuant to Section 148.40(b) shall be made at the Department's
payment rates, as follows:
1) For outpatient services or home dialysis treatments provided pursuant to
Section 148.40(c)(2) or (c)(3), the Department will reimburse hospitals
and clinics for ESRDT services at a rate that will reimburse the provider
for the dialysis treatment and all related supplies and equipment, as
defined in 42 CFR 405.2124 and 413.170 (2010). This rate will be the
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NOTICE OF ADOPTED AMENDMENTS
rate established by Medicare pursuant to 42 CFR 405.2124 and 413.170
(2010).
2) Payment for Non-routine Services. For services that are provided during
outpatient or home dialysis treatment pursuant to Section 148.40(c)(2) or
(c)(3), but are not defined as a routine service under 42 CFR 405.2163
(1994), separate payment will be made to independent laboratories,
pharmacies, and medical supply providers pursuant to 89 Ill. Adm. Code
140.430 through 140.434, 140.440 through 140.50, and 140.75 through
140.481, respectively.
3) Payment for physician services relating to ESRDT will be made separately
to physicians, pursuant to 89 Ill. Adm. Code 140.400.
4) Effective with dates of service July 1, 2013 through June 30, 2015,
hospital and freestanding chronic dialysis centers will receive an add-on
payment of $60 per treatment day to the rate described in subsection (g)(1)
for outpatient renal dialysis treatments or home dialysis treatments
provided to MedicaidMedicare recipients under Title XIX of the Social
Security Act, excluding services for individuals eligible for Medicare
under Title XVIIIXVII of that Act (Medicaid/Medicare crossovers) and
excluding services provided under Subpart D: State Chronic Renal
Disease Program, as defined in Sections 148.600 through 148.640.
h) Updates to EAPG PPS Reimbursement. The Department may annually review
the components listed in subsection (c) and make adjustments as needed. Grouper
shall be updated at least triennially and no more frequently than annually.
i) Definitions
"Aggregate ancillary cost-to-charge ratio" means the ratio of each hospital's total
ancillary costs and charges reported in the Medicare cost report, excluding special
purpose cost centers and the ambulance cost center, for the cost reporting period
matching the outpatient base period claims data. Aggregate ancillary cost-to-
charge ratios applied to SFY 2011 outpatient base period claims data will be
based on fiscal year ending 2011 Medicare cost report data.
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
"Consolidation factor" means a factor of 0 percent applicable for services
designated with a Same Procedure Consolidation flag or Clinical Procedure
Consolidation flag by the EAPG grouper under default EAPG settings.
"Default EAPG settings" means the default EAPG grouper options in 3M's Core
Grouping Software for each EAPG grouper version.
"EAPG" means Enhanced Ambulatory Patient Groups, as defined in the EAPG
grouper, which is a patient classification system designed to explain the amount
and type of resources used in an ambulatory visit. Services provided in each
EAPG have similar clinical characteristics and similar resource use and cost.
"EAPG grouper" means the most recently released version of the EAPG software,
distributed by 3M Health Information Systems, available to the Department as of
January 1 of the calendar year during with the discharge occurred; except, for the
calendar year beginning January 1, 2014, EAPG grouper means version 3.7 of the
EAPG software.
"EAPG PPS" means the EAPG prospective payment system as described in this
Section.
"EAPG weighting factor" means, for each EAPG, the product, rounded to the
nearest ten-thousandth, of:
the national weighting factor, as published by 3M Health Information
Systems for the EAPG grouper; and
the Illinois experience adjustment.
"Estimated cost of outpatient base period claims data" means the product of:
outpatient base period paid claims data total covered charges;
the critical access hospital's aggregate ancillary cost-to-charge ratio; and
a rate year cost inflation factor.
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
"High outpatient volume" means the number paid outpatient claims described in
subsection (b)(1) provided during the high volume outpatient base period paid
claims data.
"High volume outpatient base period paid claims data" means SFY 2011
outpatient Medicaid fee-for-service paid claims data, excluding Medicare dual
eligible claims, renal dialysis claims, and therapy claims, for EAPG PPS payment
for services provided in SFY 2015 and 2016. For subsequent dates of service, the
term means the SFY ending 30 months prior to the beginning of the calendar year
during which the service is provided.
"Illinois experience adjustment" means, for the calendar year beginning January
1, 2014, a factor of 1.0; for subsequent calendar years, means the factor applied to
3M EAPG national weighting factors when updating EAPG grouper versions
determined such that the arithmetic mean EAPG weighting factor under the new
EAPG grouper version is equal to the arithmetic mean EAPG weighting factor
under the prior EAPG grouper version using outpatient base period claims data.
"Labor-related share" means that portion of the statewide standardized amount
that is allocated in the EAPG PPS methodology to reimburse the costs associated
with personnel. The labor-related share for a hospital is 0.60.
"Mean regional high outpatient volume" means the quotient, rounded to the
nearest tenth, resulting from the number of paid outpatient services described in
subsections (b)(1)(A) through (D), provided by hospitals within a region, based
on outpatient base period paid claims data.
"Mean statewide high outpatient volume" means the quotient, rounded to the
nearest tenth, resulting from the number of paid outpatient services described in
subsections (b)(1)(A) through (D), provided by hospitals within the state, based
on outpatient base period paid claims data.
"Medicare IPPS wage index" means for in-state providers and out-of-state Illinois
Medicaid cost reporting providers, the wage index used for inpatient
reimbursement as described in 89 Ill. Adm. Code 149.100. For out-of-state
non-cost reporting providers, the wage index used to adjust the EAPG
standardized amount shall be a factor of 1.0.
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
"Non-labor share" means the difference resulting from the labor-related share
being subtracted from 1.0.
"Outpatient base period paid claims data" means SFY 2011 outpatient Medicaid
fee-for-service paid claims data, excluding Medicare dual eligible claims, renal
dialysis claims, and therapy claims, for EAPG PPS payment for services provided
in SFY 2015, 2016 and 2017; for subsequent dates of service, the term means the
most recently available adjudicated 12 months of outpatient paid claims data to be
identified by the Department.
"Outpatient crossover paid claims data" means SFY 2011 outpatient
Medicaid/Medicare dual eligible fee-for-service paid claims data, excluding renal
dialysis claims and therapy claims, for EAPG PPS payment for services provided
in SFY 2015, 2016 and 2017; for subsequent dates of service, the term means
most recently available adjudicated 12-months of outpatient paid claims data to be
identified by the Department.
"Packaging factor" means a factor of 0 percent applicable for services designated
with a Packaging flag by the EAPG grouper under default EAPG settings plus
EAPG 430 (CLASS I CHEMOTHERAPY DRUGS), EAPG 435 (CLASS I
PHARMACOTHERAPY), EAPG 495 (MINOR CHEMOTHERAPY DRUGS),
EAPG 496 (MINOR PHARMACOTHERAPY), and EAPGs 1001-1020
(DURABLE MEDICAL EQUIPMENT LEVEL 1-20), and non-covered revenue
codes defined in the Handbook for Hospital Services.
"Rate year cost inflation factor" means the cost inflation from the midpoint of the
outpatient base period paid claims data to the midpoint of the rate year based on
changes in Centers for Medicare and Medicaid Services (CMMS) input price
index levels. For critical access hospital rates effective SFY 2015, the rate year
cost inflation factor will be based on changes in CMMS input price index levels
from the midpoint of SFY 2011 to SFY 2015.
"Region" means, for a given hospital, the rate region, as defined in 89 Ill. Adm.
Code 140.Table J, within which the hospital is located.
"Total covered charges" means the amount entered for revenue code 001 in
column 53 (Total Charges) on the Uniform Billing Form (form CMMS 1450), or
one of its electronic transaction equivalents.
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NOTICE OF ADOPTED AMENDMENTS
(Source: Amended at 42 Ill. Reg. 3152, effective January 31, 2018)
Section 148.299 Medicaid Facilitation and Utilization Payments
Medicaid Facilitation and Utilization Payments shall be made on a monthly basis as follows:
a) Qualifying Hospitals. Hospitals may qualify for the Medicaid Facilitation and
Utilization Payments if they meet any of the following criteria:
1) The hospital must be an Illinois general acute care hospital that had an
increase over 35% of the total Medicaid days, excluding Medicare
crossover days, from State fiscal year 2009 to State fiscal year 2013 as
recorded in the Department's paid claims data, had more than 50 routine
beds as included in the 2012 cost report filed with the Department, and,
for State fiscal year 2013, the average length of stay was less than 4.5
days.
2) The hospital must be an Illinois general acute care hospital that had a
Medicaid Inpatient Utilization Rate (MIUR), as defined in Section
148.120(i)(4), between 50 and 80 percent, is designated a Perinatal Level
II facility, and had less than 110 routine beds as included in the 2012 Cost
Report on file with the Department, and, for State fiscal year 2013,
provided greater than 6,000 Medicaid days, excluding Medicare crossover
days, as recorded in the Department's paid claims database.
3) The hospital must be an Illinois children's hospital, as defined in Section
148.25(d)(3)(B), had greater than 10 routine beds as included in the 2012
cost report on file with the Department, and for State fiscal year 2013, the
average length of stay was less than 4.5 days.
b) Rates
1) Hospitals qualifying under subsection (a)(1) will receive the following:
A) If the hospital provided more than 4,000 covered Medicaid days,
excluding Medicare crossover days in State fiscal year 2013, as
recoded in the Department's paid claims database, the rate is
$947.00 for dates of service on July 1, 2014 through June 30, 2015.
For dates of service on or after July 1, 2015 through March 31,
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DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
2017, the rate is $0.00. For dates of service on or after April 1,
2017 through June 30, 2018, the rate is $738.00. For dates of
service on or after July 1, 2018, the rate is $0.00.
B) If the hospital provided less than 4,000 covered Medicaid days,
excluding Medicare crossover days, in State fiscal year 2013, as
recoded in the Department's paid claims database, the rate is
$76.00 for dates of service on July 1, 2014 through June 30, 2015.
For dates of service on or after July 1, 2015, the rate is $0.00.
2) Hospitals qualifying under subsection (a)(2) will receive the following:
A) If the hospital had greater than 100 routine beds, as included in the
2012 cost report on file with the Department, the rate is $205.00
for dates of service on July 1, 2014 through June 30, 2015. For
dates of service on or after July 1, 2015, the rate is $0.00.
B) If the hospital had less than 100 routine beds, as included in the
2012 cost report on file with the Department, the rate is $59.00 for
dates of service on July 1, 2014 through June 30, 2015. For dates
of service on or after July 1, 2015, the rate is $0.00.
3) Hospitals qualifying under subsection (a)(3) will receive a rate of $390.00
for dates of service on July 1, 2014 through June 30, 2015. For dates of
service on or after July 1, 2015, the rate is $0.00.
c) Payment for a qualifying hospital shall be the product of the rate as defined in
subsection (b), multiplied by the hospital's SFY 2013 covered days less Medicare
crossover days as recorded in the Department's paid claims data (adjudicated
through February 21, 2014).
(Source: Amended at 42 Ill. Reg. 3152, effective January 31, 2018)
ILLINOIS REGISTER 3182
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STATE BOARD OF EDUCATION
NOTICE OF ADOPTED AMENDMENTS
1) Heading of the Part: Charter Schools
2) Code Citation: 23 Ill. Adm. Code 650
3) Section Numbers: Adopted Actions:
650.200 New Section
650.210 New Section
650.220 New Section
650.230 New Section
650.240 New Section
650.250 New Section
650.260 New Section
4) Statutory Authority: 105 ILCS 5/27A-11.5(3)
5) Effective Date of Rules: January 31, 2018
6) Does this rulemaking contain an automatic repeal date? No
7) Does this rulemaking contain incorporations by reference? No
8) A statement that a copy of the adopted rules, including any material incorporated by
reference, is on file in the Agency's principal office and is available for public inspection.
9) Notice of Proposal published in the Illinois Register: 41 Ill. Reg. 11010; September 1,
2017
10) Has JCAR issued a Statement of Objection to this rulemaking? No
11) Differences between Proposal and Final Version: Section 650.210: Clarified funds can
be used only during the initial contract term of the charter school.
Section 650.220: Removed limitation on per pupil amount for eligible grade levels.
Added loans for new charter schools will be calculated using the projected enrollment
during the initial charter term.
Section 650.230: Clarified charter schools must include assurances that the loan proceeds
will be used for the items specified in Section 27-11.5(3) of the School Code [105 ILCS
5] or for building wide facility needs.
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STATE BOARD OF EDUCATION
NOTICE OF ADOPTED AMENDMENTS
Section 650.250: Clarified charter schools may make payments on the loan early but the
loan must be paid in full by December 15 of the final year of the initial contract term.
All technical changes requested by JCAR have been made.
12) Have all the changes agreed upon by the Agency and JCAR been made as indicated in the
agreements issued by JCAR? Yes
13) Will this rulemaking replace an emergency rule currently in effect? No
14) Are there any rulemakings pending on this Part? No
15) Summary and Purpose of Rulemaking: The Charter School Revolving Loan Fund (105
ILCS 5/27A - 11.5) provides non-competitive, interest-free loans for certified charter
schools in their initial contract term. Loans are limited to one per charter school and
cannot exceed $750 per student enrolled in the charter school. Loan repayments from the
awarded charter schools are deposited back into this fund for future use by other initial
charter schools. The Charter School Revolving Loan Fund is not a new provision in the
School Code; however, administrative rules have not been promulgated to oversee its
implementation. Rulemaking will ensure the correct procedures for the following:
accepting applications, ensuring charter schools are paid on time, charter schools are held
accountable if they cannot pay the loan back in full, and that the overall fund is managed
in accordance with the law.
These funds are to be used to pay for start-up costs of acquiring educational materials and
supplies, textbooks, electronic textbooks, furniture, technological equipment, and other
materials required to make the school building a suitable learning environment. A charter
school may apply for a loan from the Revolving Loan Fund after its initial charter
application is approved by its school district or the State Charter School Commission and
is certified by ISBE.
This rulemaking calculates the maximum loan amount on a per-pupil basis, based upon
the expected total enrollment for new charter schools or for certified charter schools
already in their initial contract term the enrollment on March 1 of the current school year.
Each application must include the following:
• A list of all applicable expenditure areas;
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NOTICE OF ADOPTED AMENDMENTS
• The amount of the loan requested;
• A description of the proposed uses for the funds; and
• Assurances and certifications that include;
• Funds will be used only for the items specified in Section 27-11.3 of the
School Code or for building-wide facility needs;
• The charter school governing board has approved a resolution authorizing
the application for funds; and
• The charter school will comply with the Section of the School Code
creating the Charter School Revolving Loan Fund, these rules, and the
loan agreement.
All applications must be signed by the charter school's chief administrative officer and
the president of the governing board. Applications must be postmarked no later than 30
calendar days after the governing board's approval. Incomplete applications will be
returned as ineligible; an applicant can reapply during that funding cycle, provided the
application is cured of the deficiencies.
Applications are due no later than March 15 in the previous fiscal year for which the loan
will be made. Applications received after March 15 will not be processed unless there are
remaining funds.
Funds will be distributed on a first-come, first-served basis on the receipt of application.
SBE will notify the charter schools of the total approved loan amount no later than 15
days after the award determination date. Charter schools that were eligible but did not
receive a loan due to insufficient funds are eligible to reapply.
All loans are interest free and must be paid back by the end of the initial charter contract.
ISBE may deduct the amounts from other funds due to the charter school to repay the
loan or require the charter school authorizer to deduct the amount from funds due to the
charter school and remit to ISBE. Additionally, payments on the loan must be made by
December 15 of each year. A charter school can prepay the balance on the loan at any
time by contacting ISBE.
All loans must meet the following terms and conditions:
• Loans must be repaid by the end of the initial charter term;
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• Loan proceeds must be accounted for using generally accepted standards
of governmental accounting principles;
• Charter schools must send a report to ISBE detailing how the funds were
used no later than nine months after the receipt of the loan;
• Loans must be repaid in accordance with the administrative rules in the
event of a default;
The contents of the application as well as the terms of conditions of the loan will be
memorialized in a promissory note.
In addition, during the public comment period, ISBE staff reviewed the rulemaking and
made technical changes for consistency throughout out the Part and for clarity.
16) Information and questions regarding these adopted rules shall be directed to:
Lindsay M. Bentivegna
Agency Rules Coordinator
Illinois State Board of Education
100 North First Street, S-493
Springfield IL 62777-0001
217/782-5270
The full text of the Adopted Amendments begin on the next page:
ILLINOIS REGISTER 3186
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NOTICE OF ADOPTED AMENDMENTS
TITLE 23: EDUCATION AND CULTURAL RESOURCES
SUBTITLE A: EDUCATION
CHAPTER I: STATE BOARD OF EDUCATION
PART 650
CHARTER SCHOOLS
SUBPART A: GENERAL PROVISIONS
Section
650.10 Definitions
650.20 Purpose
SUBPART B: ACTIONS OF THE STATE BOARD OF EDUCATION
Section
650.30 Submission to the State Board of Education: Local Boards of Education
650.35 Submission to the State Board of Education: Commission
650.40 Review by the State Superintendent of Education of Local or Commission
Approvals
650.50 Revision of Certified Charters
650.55 Biennial Reporting Requirements
650.60 Appeal of Local School Board Decisions (Repealed)
650.65 Monitoring of Charter Authorizers by the State Board of Education; Corrective
Action
650.70 Procedures for Closing a Charter School
SUBPART C: ACTIONS OF THE STATE CHARTER SCHOOL COMMISSION
Section
650.100 Appeals to, and Requests for Consideration by, the Commission
650.110 Review of Appeals and Requests for Consideration; Decision
SUBPART D: CHARTER SCHOOL REVOLVING LOAN PROGRAM
Section
650.200 Purpose
650.210 Use of Funds
650.220 Maximum Amount of Loan
650.230 Application Procedures
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NOTICE OF ADOPTED AMENDMENTS
650.240 Review of Application and Notification of Loan Award
650.250 Repayment Procedures
650.260 Terms and Conditions of Loan Agreement
650.APPENDIX A Principles and Standards for Authorizing Charter Schools
AUTHORITY: Implementing and authorized by Article 27A of the School Code [105 ILCS
5/Art. 27A].
SOURCE: Emergency rules adopted at 20 Ill. Reg. 6329, effective April 23, 1996, for a
maximum of 150 days; emergency expired; emergency amendment at 20 Ill. Reg. 8677, effective
June 25, 1996, for a maximum of 150 days; new Part adopted at 20 Ill. Reg. 15284, effective
November 15, 1996; emergency amendments at 22 Ill. Reg. 1479, effective January 1, 1998, for
a maximum of 150 days; emergency expired; emergency amendment at 22 Ill. Reg. 5104,
effective February 27, 1998, for a maximum of 150 days; emergency expired; amended at 22 Ill.
Reg. 16455, effective September 3, 1998; amended at 36 Ill. Reg. 14801, effective September
20, 2012; amended at 38 Ill. Reg. 21916, effective November 3, 2014; amended at 39 Ill. Reg.
8298, effective May 26, 2015; amended at 41 Ill. Reg. 136, effective December 27, 2016;
amended at 42 Ill. Reg. 3182, effective January 31, 2018.
SUBPART D: CHARTER SCHOOL REVOLVING LOAN PROGRAM
Section 650.200 Purpose
This Subpart D establishes the procedures and criteria for applications submitted by eligible
applicants pursuant to the Charter School Revolving Loan Program established by Section 27A-
11.5(3) of the School Code [105 ILCS 5].
a) For the purpose of the Charter School Revolving Loan Program, eligible
applicants are only charter schools defined in Section 27A-5 of the School Code.
b) A charter school is eligible to apply for a loan when it has been certified by the
State Board of Education and at any time during its initial contract term of 5
years.
(Source: Added at 42 Ill. Reg. 3182, effective January 31, 2018)
Section 650.210 Use of Funds
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Funding is available under the Charter School Revolving Loan Fund for start-up costs to acquire
educational materials and supplies. These items include, but are not limited to: textbooks,
electronic textbooks and the technological equipment necessary to gain access to and use
electronic textbooks; furniture and other equipment or materials needed in the initial contract
term of the charter school; and acquiring and remodeling a suitable physical plant. [105 ILCS
5/27A-11.5(3)]
(Source: Added at 42 Ill. Reg. 3182, effective January 31, 2018)
Section 650.220 Maximum Amount of Loan
The maximum loan amount shall be calculated on a per-pupil basis, based upon the total
enrollment. An applicant may request a loan amount that does not exceed $750 per pupil. For
approved charter schools already in their initial contract term, the maximum loan amount shall
be calculated using the enrollment as reported to the State Board of Education as of March 1 of
the current school year. Loan amounts for new charter schools will be calculated using the
projected enrollment during the first year of the initial contract term.
(Source: Added at 42 Ill. Reg. 3182, effective January 31, 2018)
Section 650.230 Application Procedures
a) The State Board of Education shall distribute application forms to all eligible
applicants by the first business day of January for the following fiscal year.
Applications will be due to the State Board no later than March 15 of the fiscal
year preceding the fiscal year in which loans will be made.
b) Each application for a loan shall include the following information:
1) A list of all applicable expenditure categories, as described in Section
650.210(a), for which loan proceeds will be used;
2) The amount of the loan requested, which shall not exceed the amount
calculated pursuant to Section 650.220;
3) A description of the proposed uses of the loan funds, as specified in the
resolution adopted by the applicant's governing board authorizing
submission of the loan application;
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NOTICE OF ADOPTED AMENDMENTS
4) Assurances and certifications as the State Board may require, to include at
least the following:
A) the loan proceeds shall be used for the items specified in Section
27-11.5(3) of the School Code or for building-wide facility needs
specified on the application;
B) the governing board approved a resolution authorizing submission
of the loan application, specifying the date of that approval; and
C) the participant shall comply with Section 27A-11.5(3) of the
School Code, this Subpart and the loan agreement (see Section
650.260).
c) Each loan application shall bear original signatures of the chief administrative
officer and of the president of the governing board and shall be sent to the State
Board as specified in the application. Applications must be postmarked no later
than 30 calendar days after the governing board's approval. Applications
postmarked later than 30 days after governing board's approval will be returned to
the applicant as ineligible for consideration. An applicant whose request has been
returned as ineligible may reapply during the funding cycle, provided it has met
all of the requirements of subsection (b) of this Section and Section 650.240.
d) Applications received after March 15 of the fiscal year preceding the fiscal year in
which a loan is requested shall not be processed unless there are remaining funds.
Any remaining funds will be distributed pursuant to Section 650.240(b).
e) Applicants are limited to one loan per charter school. For charter schools with
multiple campuses, one loan per charter school campus will be permitted.
(Source: Added at 42 Ill. Reg. 3182, effective January 31, 2018)
Section 650.240 Review of Application and Notification of Loan Award
a) Applications shall be reviewed for completeness. If an application is incomplete,
State Board of Education staff shall request the missing information from the
applicant no later than 5 calendar days after receipt of the application.
Applications will not be processed until all requested information is received.
Applicants will have 5 calendar days to provide missing information to the State
ILLINOIS REGISTER 3190
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NOTICE OF ADOPTED AMENDMENTS
Board of Education staff. Resubmitted applications shall receive the new
submission date and time. This new submission date and time will reposition the
application on the first-come, first-served list of applicants and may result in the
application not being funded if appropriations are insufficient.
b) All complete applications that demonstrate compliance with Section 27A-11.5(3)
of the School Code and this Subpart shall be eligible for funding. Eligible
applications received on or before March 15 of each fiscal year shall receive a
loan on a first-come, first-served basis, as long as funds appropriated for a given
fiscal year remain available.
c) Notification of a loan award shall be made no later than 15 calendar days after the
application due date established in subsection (b).
d) Charter schools otherwise eligible but not receiving loans due to insufficiency of
the appropriation shall receive first consideration in the next fiscal year using the
enrollment specified on the application for funding. Applicants may request to
withdraw their initial application in order to submit a new application during the
next application period to reflect increased enrollment. The new application will
be subject to the normal review process with all other applications received,
without any special priority.
(Source: Added at 42 Ill. Reg. 3182, effective January 31, 2018)
Section 650.250 Repayment Procedures
Loans shall be repaid by the end of the initial contract term of the charter school. (See Section
27A-11.5 of the School Code.)
a) No interest will be charged on these loans. The State Board of Education may
deduct amounts necessary to repay the loan from funds due to the charter school
or may require that the local school board that authorized the charter school
deduct those amounts from funds due to the charter school and remit these
amounts to the State Board, provided that the local school board shall not be
responsible for repayment of the loan.
b) Repayment
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NOTICE OF ADOPTED AMENDMENTS
1) The loan must be paid in full by December 15 of the final year of the
initial contract term.
2) Checks shall be made payable to "ISBE – Charter School Revolving Loan
Fund" and mailed to the Fiscal and Procurement Division, Illinois State
Board of Education, 100 North First Street, W-380, Springfield, Illinois
62777-0001.
3) A recipient may prepay the loan amount in its entirety at any time before
December 15 of the final year of the initial contract term, provided that the
recipient first contacts the State Superintendent's designee to obtain
information on how to remit the payment and the total amount to be paid.
(Source: Added at 42 Ill. Reg. 3182, effective January 31, 2018) Section 650.260 Terms and Conditions of Loan Agreement
a) Loan proceeds under this program shall be used exclusively for the purposes
listed in Section 650.210 and shall be expended in accordance with the approved
application and the recipient's policies and procedures related to those
expenditures. In the event the loan proceeds are not expended in the manner
approved, the recipient, upon written notification from the State Board of
Education, shall be required to submit, by the next payment due date, payment of
the outstanding loan.
b) Loan proceeds shall be obligated no later than six months following receipt of the
loan.
c) Use of the loan proceeds shall be accounted for in accordance with generally
accepted standards of governmental accounting principles.
d) Recipients shall submit a report to the State Board of Education detailing how the
loan proceeds were used no later than nine months after the receipt of the loan.
f) In the event of default that is not cured within 90 calendar days, the State
Superintendent or his or her designee shall take the action specified either in
subsection (f)(1) or (f)(2). The recipient shall be ineligible for additional loans
until good standing has been restored.
ILLINOIS REGISTER 3192
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NOTICE OF ADOPTED AMENDMENTS
1) In the event of default that is not cured within 90 calendar days, the State
Superintendent or his or her designee shall notify the recipient in writing
by certified mail, return receipt requested, that payment of the outstanding
loans on the date of the notification is due immediately. The recipient
shall have 30 days from the date the notification is received to submit its
payment.
2) The State Board may deduct amounts necessary to repay the loan from
funds due to the recipient or may require that the local school board that
authorized the charter school deduct those amounts from funds due to the
recipient and remit these amounts to the State Board, provided that the
local school board shall not be responsible for repayment of the loan.
g) The contents of the approved application and terms and conditions of the loan
shall be incorporated into a promissory note. Should the indebtedness represented
by the promissory note or any part of that note be collected at law or in equity or
in bankruptcy, receivership or other court proceedings or, if the promissory note is
placed in the hands of attorneys for collection after default, the participant agrees
to pay reasonable attorneys' fees and costs of collection.
(Source: Added at 42 Ill. Reg. 3182, effective January 31, 2018)
ILLINOIS REGISTER 3193
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NOTICE OF ADOPTED AMENDMENTS
1) Heading of the Part: Purchases and Contracts
2) Code Citation: 44 Ill. Adm. Code 500
3) Section Numbers: Adopted Actions:
500.40 Amendment
500.60 Amendment
500.320 Amendment
500.330 Amendment
500.350 Amendment
500.400 Amendment
500.430 Amendment
500.600 Amendment
500.910 Amendment
500.1120 Amendment
500.1130 Amendment
500.1160 Amendment
500.1190 Amendment
500.1260 Amendment
500.1270 Amendment
500.1275 Amendment
500.1285 Amendment
4) Statutory Authority: Implementing and authorized by Section 1-30(b) of the Illinois
Procurement Code [30 ILCS 500/1-30(b)] and Section 2-12 of the Illinois State Auditing
Act [30 ILCS 5/2-12].
5) Effective Date of Rules: February 16, 2018
6) Does this rulemaking contain an automatic repeal date? No
7) Does this rulemaking contain incorporations by reference? No
8) The adopted rules, including any material incorported by reference, are on file at the
Auditor Generals Springfield Office and are available for public inspection.
9) Notice of Proposal published in the Illinois Register: 41 Ill. Reg. 13137; October 27,
2017
ILLINOIS REGISTER 3194
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NOTICE OF ADOPTED AMENDMENTS
10) Has JCAR issued a Statement of Objection to this rulemaking? No
11) Differences between Proposal and Final Version: Non-substantive technical changes
were made at the request of JCAR.
12) Have all the changes agreed upon by the Agency and JCAR been made as indicated in the
agreements issued by JCAR? Yes, see answer to question 11.
13) Will this rulemaking replace an emergency rule currently in effect? No
14) Are there any rulemakings pending on this Part? No
15) Summary and Purpose of Rulemaking: The Auditor General's purchasing rules were last
updated effective March 1, 2015 and need to be updated to reflect recent changes in laws,
including PA 100-43 (effective August 9, 2017), PA 100-203 (effective August 18,
2017), and PA 100-391 (effective August 25, 2017). Changes include updating
terminology, responsibility, emergency purchase, communications reporting, and
continuing disclosure requirements and increasing the small purchase threshold.
16) Information and questions regarding these adopted rules shall be directed to:
Rebecca Patton
Office of the Auditor General
740 E. Ash St.
Springfield IL 62703
217/782-6046
888/261-2887 (TTY)
The full text of the Adopted Amendments begins on the next page:
ILLINOIS REGISTER 3195
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NOTICE OF ADOPTED AMENDMENTS
TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,
PROCUREMENT AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER I: AUDITOR GENERAL
PART 500
PURCHASES AND CONTRACTS
SUBPART A: GENERAL
Section
500.10 Title
500.20 Policy
500.30 Application
500.40 Definition of Terms Used in This Part
500.50 Property Rights
500.60 Department of Central Management Services
500.70 Capital Development Board
SUBPART B: PROCUREMENT AUTHORITY
Section
500.100 Conduct of Procurements
500.110 Small Business Specialist
SUBPART C: PUBLICIZING PROCUREMENT ACTIONS
Section
500.200 Auditor General Volume of Illinois Procurement Bulletin
500.210 Publication of Auditor General Bulletin
500.220 Required Use of Auditor General Bulletin
500.230 Supplemental Notice
500.240 Error in Notice
500.250 Direct Solicitation
500.260 Retention of Bulletin Information
SUBPART D: SOURCE SELECTION AND CONTRACT FORMATION
Section
ILLINOIS REGISTER 3196
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AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
500.300 General Provisions
500.310 Competitive Sealed Bidding
500.315 Multi-Step Sealed Bidding
500.320 Competitive Sealed Proposals
500.330 Small Purchases
500.340 Sole Economically Feasible Source Procurement
500.350 Emergency Procurements
500.360 Other Methods of Source Selection
500.370 Tie Bids and Proposals
500.380 Modification, Correction or Withdrawal of Offers
500.390 Cancellation of Solicitations; Rejection of Offers
500.395 Public Procurement File
SUBPART E: SUPPLIERS, PREQUALIFICATION AND RESPONSIBILITY
Section
500.400 Suppliers
500.410 Vendor List/Required Use
500.420 Prequalification
500.430 Responsibility
SUBPART F: BID, PROPOSAL AND PERFORMANCE SECURITY
Section
500.500 Security Requirements
SUBPART G: SPECIFICATIONS
Section
500.600 Specifications
SUBPART H: CONTRACT TYPE
Section
500.700 Types of Contracts
SUBPART I: DURATION OF CONTRACTS
Section
ILLINOIS REGISTER 3197
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AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
500.800 Duration of Contracts
SUBPART J: CONTRACT MATTERS
Section
500.900 Prevailing Wage
500.910 Filing with Comptroller
500.920 Equal Employment Opportunity; Affirmative Action
SUBPART K: REAL PROPERTY LEASES AND CAPITAL IMPROVEMENT LEASES
Section
500.1000 Applicability
500.1010 Method of Source Selection
500.1015 Historic Area Preference
500.1020 Request for Information
500.1030 Lease Requirements
500.1040 Purchase Option
500.1050 Rent Without Occupancy
500.1060 Local Site Preferences
SUBPART L: PREFERENCES
Section
500.1110 Resident Vendor Preference
500.1120 Soybean Oil-based Ink and Vegetable Oil-based Ink
500.1130 Recycled Supplies
500.1140 Recyclable Supplies
500.1145 Environmentally Preferable Procurement
500.1148 Biobased Products
500.1150 Correctional Industries
500.1160 Qualified Not-for-Profit Agencies for Persons with SignificantSevere Disabilities
500.1170 Gas Mileage
500.1180 Small Business
500.1190 Contracting with Businesses Owned and Controlled by Minorities,
WomenFemales and Persons with Disabilities
500.1195 Illinois Agricultural Products
500.1197 Corn-based Plastics
500.1199 Disabled Veterans
ILLINOIS REGISTER 3198
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AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
SUBPART M: ETHICS
Section
500.1200 Bribery
500.1210 Felons
500.1215 Prohibited Bidders and Contractors
500.1217 Debt Delinquency
500.1218 Collection and Remittance of Illinois Use Tax
500.1220 Conflicts of Interest
500.1230 Negotiations for Future Employment
500.1235 Environmental Protection Act Violations
500.1238 Lead Poisoning Prevention Act Violations
500.1240 Revolving Door Prohibition
500.1250 Disclosure of Financial Interests and Potential Conflicts of Interest
500.1260 Reporting Anticompetitive Practices
500.1265 Disclosure of Business in Iran
500.1267 Lobbying Restrictions
500.1270 Confidentiality
500.1275 Procurement Communications Reporting Requirement
500.1280 Insider Information
500.1285 Continuing Disclosure; False Certification
500.1290 Other Violations
SUBPART N: PROTESTS AND REMEDIES
Section
500.1300 Suspension and Debarment
500.1310 Resolution of Contract Controversies (Repealed)
500.1320 Violation of Law or Rule
500.1330 Protests
500.1340 Hearing Procedures
SUBPART O: GOVERNMENTAL JOINT PURCHASING
Section
500.1400 General
500.1410 No Agency Relationship
ILLINOIS REGISTER 3199
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AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
SUBPART P: MISCELLANEOUS PROVISIONS OF GENERAL APPLICABILITY
Section
500.1500 Severability
500.1510 Finality of Determinations
500.1520 Government Furnished Property
500.1530 Inspections
500.1540 Records and Audits
500.1545 Taxes, Licenses, Assessments and Royalties
500.1550 No Waiver of Sovereign Immunity
AUTHORITY: Implementing and authorized by Section 1-30(b) of the Illinois Procurement
Code [30 ILCS 500/1-30(b)] and Section 2-12 of the Illinois State Auditing Act [30 ILCS 5/2-
12].
SOURCE: Old Part repealed and new Part adopted at 24 Ill. Reg. 1836, effective February 7,
2000; amended at 35 Ill. Reg. 5307, effective April 1, 2011; amended at 37 Ill. Reg. 3741,
effective April 1, 2013; amended at 39 Ill. Reg. 3561, effective March 1, 2015; recodified Title
of the Part at 39 Ill. Reg. 5903; amended at 42 Ill. Reg. 3193, effective February 16, 2018.
SUBPART A: GENERAL
Section 500.40 Definition of Terms Used in This Part
As used throughout this Part, each term listed in this Section shall have the meaning set forth
below unless its use clearly requires a different meaning. Terms may be defined in particular
Sections for use in that Section.
"Amendment" − A written modification to a contract provision, as permitted by
the original contract.
"Award" − The determination that a particular vendor has been selected from
among other potential vendors to enter into negotiations for the purpose of
finalizing a contract.
"Bid" − The response to an Invitation for Bids.
"Bidder" − The person or entity submitting a bid.
ILLINOIS REGISTER 3200
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AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
"Brand Name or Equal Specification" − A specification that uses one or more
manufacturer's names or catalog numbers to describe the standard of quality,
performance, and other characteristics needed to meet OAG requirements, and
that allows the submission of equivalent products.
"Brand Name Specification" − A specification limited to one or more items by
manufacturers' names or catalog numbers.
"CMS" − The Department of Central Management Services.
"Code" − The Illinois Procurement Code [30 ILCS 500].
"Consulting Services" − Services provided by a business or person as an
independent contractor to advise and assist the OAG in solving specific
management or programmatic problems involving the organization, planning,
direction, control or operations of a State agency. The services may or may not
rise to the level of professional and artistic as defined in this Part.
"Contract" − All types of State agreements, regardless of what they may be called,
for the procurement, use, or disposal of supplies, services, professional or artistic
services, or construction or for leases of real property where the State is the
lessee, or capital improvements, and including renewals, master contracts,
contracts for financing through use of installment or lease-purchase
arrangements, renegotiated contracts, amendments to contracts, and change
orders. [30 ILCS 500/1-15.30] The term contract as used in this Part does not
include supplies or services the terms governing which are established by tariff of
the Illinois Commerce Commission or the Federal Communications Commission
and for which there is no authorized competition.
"Contractor" or "Vendor" − The terms contractor and vendor are used
interchangeably for purposes of this Part. When appropriate, the term "vendor"
shall also include subcontractors.
"Day" − Calendar day. In computing any period of time, the day of the event
from which the designated period of time begins to run shall not be included, but
the last day of the period shall be included unless it is a Saturday, Sunday, or a
State holiday, in which event the period shall run to the end of the next business
day.
ILLINOIS REGISTER 3201
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AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
"Invitation for Bids" or "IFB" − The process by which the OAG requests
information from bidders, including all documents, whether attached or
incorporated by reference, used for soliciting bids.
"Items" − Anything that may be procured under this Part.
"OAG" − The Office of the Auditor General.
"Offer" − A bid, proposal or response solicited by the OAG.
"Offeror" − The person or entity submitting a bid, proposal or response solicited
by the OAG. A person or entity (other than an individual acting as a sole
proprietor) may qualify as a bidder or offeror only if the person or entity is a legal
entity authorized to do business in Illinois prior to submitting the bid, offer or
proposal.
"Procurement Officer" − One or more OAG employees who serve at the direction
of the Chief Procurement Officer of the OAG (CPO) and are responsible for
conducting OAG procurement activity.
"Proposal" − The response to a Request for Proposals.
"Proposer" − The person or entity submitting a proposal.
"Qualified Products List" − An approved list of supplies described by model or
catalog numbers that, prior to competitive solicitation, the OAG has determined
will meet the applicable specification requirements.
"Request for Information" or "RFI" − The process by which the OAG requests
information from offerors for OAG contracts for leases of real property or capital
improvements.
"Request for Proposals" or "RFP" − The process by which the OAG requests
information from offerors, including all documents, whether attached or
incorporated by reference, used for soliciting proposals.
"Respondent" − The person or entity submitting a response to a Request for
Information from the OAG.
ILLINOIS REGISTER 3202
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AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
"Response" − A response to a Request for Information.
"Responsible Offeror" − A person or entity that is capable in all respects of
performing fully the contract requirements and has the integrity and reliability
that will assure good faith performance. A responsible bidder or offeror shall not
include a business or other entity that does not exist as a legal entity at the time a
bid, proposal or offer is submitted for a State contract.
"Responsive Offeror" − A person or entity that has submitted an offer conforming
in all material respects to the solicitation.
"Service" − The furnishing of labor, time, or effort by a contractor, not involving
the delivery of a specific end product other than reports or supplies that are
incidental to the required performance and the financing thereof.
"Solicitation" − An Invitation for Bids, Request for Proposals or Request for
Information.
"Specification for a Common or General Use Item" − A specification that has
been developed and approved for repeated use in procurements.
"Specifications" − Any description, provision, or requirement pertaining to the
physical or functional characteristics or of the nature of a supply, service, or
other item to be procured under a contract. Specifications may include a
description of any requirement for inspecting, testing, or preparing a supply,
service, professional or artistic service, construction, or other item for delivery.
[30 ILCS 500/1-15.95]
"Subcontract" – A contract with a total value of more than $50,000 between a
person or entity and another person or entity who has a State contract, pursuant to
which the subcontractor provides to the contractor, or, if the subcontract price is
more than $50,000, another subcontractor some or all of the suppliesgoods,
services, real property, remuneration or other monetary forms of consideration
that are the subject of the primary contract and includes, among other things,
subleases from a lessee of a State agency. For purposes of this Part, a
"subcontract" does not include purchases of goods or supplies that are incidental
to the performance of a contract by a person who has a contract subject to this
Part.
ILLINOIS REGISTER 3203
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AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
"Subcontractor" – A person or entity that enters into a contractual agreement with
a total value of more than $50,000 with a person or entity who has a contract with
the OAG pursuant to which the person or entity provides some or all of the
suppliesgoods, services, real property, remuneration or other monetary forms of
consideration that are the subject of the primary OAG contract, including
subleases from a lessee of a State contract. For purposes of this Part, a person or
entity is not a "subcontractor" if that person only provides goods or supplies that
are incidental to the performance of a contract by a person who has a contract
subject to this Part.
"Supplier" – Any person or entity providing supplies, including, but not limited
to, equipment, materials, printing, and insurance, and the financing of those
supplies that can be procured regularly or are available on the commercial market.
"Supplies" − All personal property, including but not limited to equipment,
materials, printing, and insurance, and the financing of those supplies that can be
procured regularly or are available on the commercial market.
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
Section 500.60 Department of Central Management Services
a) To the extent practicable and available, the OAG may obtain the following
suppliesgoods and services from or through CMS or another State agency with
appropriate procurement authority without soliciting independent bids, proposals
or responses:
1) employee benefits authorized under the State Employees Group Insurance
Act or other law;
2) financing of any procurement;
3) paper, stationery and envelopes, and any other suppliesgoods or services
available from the Paper and Printing Warehouse;
4) postage stamps;
5) property, casualty, liability and other insurance and bonds;
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6) telecommunications equipment, services and software;
7) utilities;
8) vehicles and vehicle services, including fleet management and repairs;
9) electronic data processing services, including Central Computing Facility
services;
10) leases of real estate and any capital improvements to leased real estate for
OAG use; and
11) any other supplies and services, including those available through master,
scheduled or open-ended contracts established by CMS or another State
agency with appropriate procurement authority.
b) The CPO may submit purchase requests to CMS or another State agency with
appropriate procurement authority in accordance with applicable rules.
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
SUBPART D: SOURCE SELECTION AND CONTRACT FORMATION
Section 500.320 Competitive Sealed Proposals
a) The Competitive Sealed Proposal method of source selection shall be used to
procure professional and artistic services, except as otherwise provided in
subsection (b) of this Section. Other supplies and services may be procured
through the Competitive Sealed Proposal method of source selection, on a case-
by-case basis, when it is determined by the Procurement Officer that competitive
sealed bidding is either not practicable or advantageous.
1) "Professional and artistic services" means those services provided under
contract to a State agency by a person or business, acting as an
independent contractor, qualified by education, experience, and technical
ability [30 ILCS 500/1-15.60].
2) "Practicable" Distinguished from "Advantageous". As used in this
Section, "practicable" denotes what may be accomplished or put into
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practical application, and "advantageous" connotes a judgmental
assessment of what is in the State's best interest. Competitive sealed
bidding may be practicable, that is, reasonably possible, but not
necessarily advantageous, that is, in the State's best interest.
A) Factors to be considered in determining whether competitive
sealed bidding is not practicable include:
i) whether the contract needs to be other than a fixed-price
type;
ii) whether oral or written discussions may need to be
conducted with offerors concerning technical and price
aspects of their proposals;
iii) whether offerors may need to be afforded the opportunity
to revise their proposals, including price;
iv) whether award may need to be based upon a comparative
evaluation, as stated in the RFP, of differing price, quality,
and contractual factors in order to determine the most
advantageous offering to the State. Quality factors include
technical and performance capability and the content of the
technical proposal; and
v) whether the primary consideration in determining award
may not be price.
B) Factors to be considered in determining whether competitive
sealed bidding is not advantageous include:
i) if prior procurements indicate that competitive sealed
proposals may result in more beneficial contracts for the
State; and
ii) whether the factors listed in subsection (a)(2)(A) of this
Section are desirable, in conducting a procurement, rather
than necessary.
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b) All new procurements of professional and artistic services shall be made using the
procedures contained in this Section, except:
1) Procurements under Section 500.330 (Small Purchases);
2) Procurements under Section 500.340 (Sole Source Procurement);
3) Procurements under Section 500.350 (Emergency Procurements);
4) Procurements of contract audit services pursuant to subsection (c) of this
Section; and
5) Procurements subject to the Architectural, Engineering and Land
Surveying Qualifications Based Selection Act [30 ILCS 535].
c) Contract Audit Rotation
1) Auditor Retention Policy. Initial audits by a contractor involve audit
hours to identify key records and personnel, become familiar with agency
operations and the electronic data processing environment, determine what
internal controls and procedures are in place, and develop agency specific
audit programs. Retaining a contractor for successive audits of the same
agency generally allows audits to be conducted more economically,
efficiently and effectively, and minimizes audit effort by both the
contractor and the agency under audit. Professional auditing standards
generally recognize the importance of an auditor retention policy.
2) Rotation Policy. To maximize the efficiencies obtained by auditor
retention, it is the OAG's general policy, subject to the OAG's sole
discretion, to maintain the same contractor on an audit engagement for six
successive fiscal years, subject to an examination of thosesuch factors,
including but not limited to performance review, the satisfactory
negotiation of terms (including price) and the annual availability of an
appropriation.
3) Emergency Purchases. The term of a contract for audit or examination
services procured in compliance with the emergency purchase provisions
of Section 500.350 shall not be limited to 90 calendar days but shall be
valid until the completion of the audit or examination to which the
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contract relates.
d) Contents
The RFP shall be in the form specified by the Procurement Officer and shall
contain at least the following information:
1) instructions and information to proposers concerning the proposal
submission requirements, including the time and date set for receipt of
proposals, and the address of the office to which proposals are to be
delivered;
2) the purchase description, evaluation factors, delivery or performance
schedule, and such inspection and acceptance requirements as are not
included in the purchase description;
3) a statement of the minimum information that the proposal shall contain,
which may, by way of example, include:
A) the name of the offeror, the location of the offeror's principal place
of business and, if different, the place of performance of the
proposed contract;
B) the abilities, qualifications, and experience of key persons who
would be assigned to provide the required services;
C) a listing of other contracts under which services similar in scope,
size, or discipline to the required services were performed or
undertaken within a previous period of time, as specified in the
RFP;
D) a plan, giving as much detail as is practical, explaining how the
services will be performed; and
4) price (to be submitted in a separate envelope in the proposal package and
not mentioned elsewhere in the proposal package).
e) Prequalification
The Procurement Officer shall maintain a list of prequalified professional and
artistic vendors in accordance with Section 500.420 of this Part. Persons may
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amend statements of qualifications at any time by filing a new statement. Failure
of a professional and artistic vendor to prequalify shall not be cause for rejection
of a proposal provided that the responsive offeror supplies with its proposal all
information defined by the prequalification process.
f) Public Notice
1) Proposals shall be obtained by issuing an RFP. Notice of Intent to Issue
an RFP may be made by the Procurement Officer.
2) Availability of the RFP shall be published in the Auditor General Bulletin
at least 14 calendar days before proposals are due.
3) The RFP shall also be distributed to prequalified persons expressing
interest in performing the services required by the proposed contract.
g) Pre-Proposal Conference
A pre-proposal conference, if appropriate, shall be conducted in accordance with
Section 500.310(f) (Pre-Bid Conference). Such a conference may be held
anytime prior to the date established for submission of proposals.
h) Receipt and Registration of Proposals
Proposals shall not be opened publicly but shall be opened in the presence of at
least one witness. Proposals and modifications shall be time-stamped upon
receipt and held in a secure place until the established due date. After the date
established for receipt of proposals, a Register of Proposals shall be prepared
which shall include for all proposals the name of each offeror, the number of
modifications received, if any, and a description sufficient to identify the supply
or service offered. All proposals, except as otherwise provided in subsection (i)
of this Section, and the Register of Proposals, shall be available for public
inspection after award.
i) Confidential Data
The Procurement Officer shall examine the proposals to determine the validity of
any written requests from the vendor for nondisclosure of trade secrets or other
proprietary data. If the parties do not agree as to the disclosure of data or other
information, the proposal shall be rejected as non-responsive.
j) Evaluation of Proposals
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The requests for proposals shall state the relative importance of price and other
evaluation factors. Proposals shall be submitted in 2 parts: the first, covering
items except price, and the second, covering price. The first part of all proposals
shall be evaluated and ranked independently of the second part of all proposals.
Factors not specified in the RFP shall not be considered. Numerical rating
systems may be used but are not required.
k) Discussions
1) Discussions Permissible.
A) The Procurement Officer may conduct discussions with any offeror
to:
i) promote understanding of the OAG's requirements and the
offerors' proposals;
ii) determine in greater detail such offeror's qualifications;
iii) explore with the offeror the scope and nature of the
required services, the offeror's proposed method of
performance, and the relative utility of alternative methods
of approach; and
iv) facilitate arriving at a contract that will be most
advantageous to the OAG, taking into consideration price
and the other evaluation factors set forth in the RFP.
B) The Procurement Officer may allow changes to the proposal based
on those discussions.
2) No Disclosure of Information. Discussions shall not disclose any
information derived from proposals submitted by other offerors, and
information contained in any proposals shall not be disclosed until after
award of the proposed contract has been made.
3) Best and Final Offers. The Procurement Officer may request best and
final offers from those offerors deemed acceptable after completion of any
discussions. Best and final offers shall be submitted by a specified date
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and time. The Procurement Officer may conduct additional discussions or
change the OAG's requirements and require another submission of best
and final offers. The scope of the best and final and the number of offerors
allowed to participate shall be defined by the Procurement Officer. If an
offeror does not submit either a notice of withdrawal or another best and
final offer, that offeror's immediately previous offer will be construed as
its best and final offer.
4) Nothing in this Section shall prohibit the Procurement Officer from
making a selection that represents the best value, qualifications, price and
other relevant factors established in the RFP being considered. The
Procurement Officer may, in considering best value, determine the
proposal from a fully qualified vendor that submitted the lowest price to
be the best value without further evaluation.
l) Award
An award shall be made by the Procurement Officer pursuant to a written
determination showing the basis on which the award was found to be most
advantageous to the OAG, taking into consideration price and the evaluation
factors set forth in the request for proposals. The contract file shall contain the
basis on which the award is made. If the price of the most qualified vendor is not
the lowest price, and if the price exceeds $100,000$30,000, the Procurement
Officer must state in writing why a vendor other than the low priced vendor was
selected and that determination must be published in the Auditor General Bulletin.
m) Publicizing Awards
Notice of award shall be issued by either paper or electronic means to all offerors
submitting responses to the solicitation and published in the Auditor General
Bulletin prior to contract execution.
n) Pre-solicitation Request for Information
When the Procurement Officer does not have sufficient information about
available supplies or services to issue an RFP, the Procurement Officer may issue
a Pre-solicitation request for information inviting vendors to submit non-price
information about the availability of specified types of supplies or services.
Public notice of the Pre-solicitation request for information shall be published in
the Auditor General Bulletin at least 14 calendar days before the date set for the
receipt of information. The submission of information by a vendor in response to
a Pre-solicitation request for information is not a prerequisite for that vendor to
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respond to a subsequent IFB or RFP for the types of supplies or services for
which information was solicited, and the issuance of a Pre-solicitation request for
information does not commit the OAG to make any procurement of supplies or
services of any kind. Confidential information will not be accepted from a vendor
in response to a Pre-solicitation request for information.
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
Section 500.330 Small Purchases
a) Application
1) Any individual procurement not exceeding $100,000Procurements of
$33,500 or less for supplies or services, not exceeding $100,000other than
professional and artistic, of less than $30,000 for professional and artistic
services, and not exceeding $100,000of $50,000 or less for construction,
may be made without advance notice, competition or use of any prescribed
method of source selection.
2) Any change identified by the United States Department of Labor in the
Consumer Price Index, as certified by CMS or another State agency with
appropriate authority, for All Urban consumers for the period ending
December 31, 1998, and for each year thereafter, shall be used to calculate
the small purchase maximums that shall be applicable for the fiscal year
beginning July 1, 1999. The small purchase maximums shall be likewise
recalculated for each July 1 thereafter. Changes to the small purchase
maximums can be found on the Illinois Procurement Policy Board website
(ppb.illinois.gov) and updated annually.
b) In determining whether a contract is under the limit, the stated value of the
supplies or services, plus any optional supplies and services, determined in good
faith, shall be utilized. Where the value is calculated month-to-month or in a
similar fashion, the amount shall be calculated for a twelve month period.
c) If only a unit price or hourly rate is known, the contract shall be considered small
and shall have a not to exceed limit applicable to the type of procurement (see
subsection (a)).
d) If, after signing the contract, the actual cost of completing the contract is
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determined to exceed the small purchase amount, and the Procurement Officer
determines that a supplemental procurement is not economically feasible or
practicable because of the immediacy of the agency's needs or other
circumstances, the Procurement Officer must follow the procedures for sole
source or emergency procurement, whichever is applicable, to complete the
contract.
e) Notice of award shall be published in the Auditor General Bulletin no later than
14 calendar days after the contract is awarded.
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
Section 500.350 Emergency Procurements
a) Application
The provisions of this Section apply to every procurement over the small purchase
limit set in Section 500.330 (Small Purchases) of this Part and that is not a sole
source procurement under Section 500.340 of this Part made under emergency,
including quick purchase, conditions.
b) Definition of Emergency Conditions
Procurements may be made under this Section 500.350 in the following
circumstances:
1) Traditional circumstances include but are not limited to:
A) public health or safety, including the health or safety of any
particular person, is threatened;
B) immediate repairs are needed to OAG property to protect against
further loss or damage to OAG property, or to prevent loss or
damage to OAG property;
C) immediate action is needed to prevent or minimize serious
disruption in critical OAG services that affect health, safety or
collection of substantial State revenues;
D) action is needed to ensure the integrity of State records;
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E) equipment or services are necessary in the furtherance of covert
activities (including the conduct of audits and investigations)
lawfully conducted by the OAG. Any required disclosures may be
postponed or shall be made so as not to jeopardize those covert
activities;
F) immediate action is necessary to avoid lapsing or loss of federal or
donated funds; or
G) the need for items to protect or further State interests is immediate
and use of other competitive source selection procedures under this
Part cannot be accomplished without significant risk of causing
serious disadvantage to the State.
2) After Unsuccessful Competitive Sealed Bidding or Request for Proposals.
When bids or proposals received pursuant to a competitive sealed bid or
competitive sealed proposal method are unreasonable or non-competitive,
or the price exceeds available funds, and time or other circumstances will
not permit the delay required to resolicit competitive sealed bids or
proposals, and if emergency conditions exist after an unsuccessful attempt
to use competitive sealed bidding or competitive sealed proposals, an
emergency procurement may be made.
3) Extension to Allow Competition. Extending an existing contract for such
period of time as is needed to conduct a competitive method of source
selection whenwhere terminating or allowing the contract to terminate
would not be advantageous to the OAG.
4) Quick Purchase
A) A supplier announces bankruptcy, cessation of business, or loss of
franchise, or gives other similar reason such that making a
purchase immediately is more advantageous to the OAG than
instituting a competitive procurement under the provisions of this
Part for the supplies or services;
B) Items are available on the spot market or at discounted prices for a
limited time so that good business judgment mandates a purchase
immediately to take advantage of the availability and price;
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C) availability of rare items, such as books of historical value;
D) the procurement is for entertainment.
c) Scope and Duration of Emergency Conditions
Emergency procurements shall be limited to those supplies, services or
construction items necessary to meet the emergency. Except as otherwise
provided in Section 500.320(c)(3), the term of the emergency purchase shall be
limited to the time reasonably needed for a competitive procurement, not to
exceed 90 calendar days. A contract may be extended beyond 90 calendar days if
the Procurement Officer determines additional time is necessary and the contract
scope and duration are limited to the emergency. Prior to execution of the
extension, the Procurement Officer must hold a public hearing and provide
written justification for all emergency contracts. Members of the public may
present testimony.
d) Source Selection Methods
Any method of source selection, whether or not identified in this Part, may be
used to conduct the procurement in emergency situations. The procedure used
shall be selected to assure that the required items are procured in time to meet the
emergency. Such competition as is practicable shall be obtained.
e) Determination and Record of Emergency Procurement
1) Determination. The Procurement Officer shall make a written
determination stating the basis for an emergency procurement and for the
selection of the particular contractor. TheseSuch determinations shall be
kept in the contract file.
2) Record. A statementAn affidavit of each emergency procurement shall be
filed with the Auditor General within 10 calendar days after the
procurement and shall include the following information:
A) the vendor's name;
B) the amount and type of the contract, provided that if only an
estimate of the amount is available immediately, the record shall
be supplemented with the final amount once known;
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C) a description of what the vendor will do or provide; and
D) the reasons for using the emergency method of source selection.
3) Notice of the Emergency Procurement. Notice of the emergency
procurement shall be published in the Auditor General Bulletin no later
than 5 calendar days after the contract is awarded and shall include a
description of the procurement, the reasons for the emergency
procurement and the total cost. When only an estimate of the total cost is
known at the time of publication, the estimate shall be identified as an
estimate and published. When the actual total cost is determined, it shall
also be published in like manner before the 10th day of the next
succeeding month.
4) Notice of Extension. Notice of intent to extend an emergency contract
shall be published in the Auditor General Bulletin no later than 14
calendar days prior to a public hearing. Notice shall include at least a
description of the need for the emergency purchase, the contractor and, if
applicable, the date, time and location of the public hearing. Any hearing
shall be conducted in accordance with the procedures set forth in Section
500.1340.
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
SUBPART E: SUPPLIERS, PREQUALIFICATION AND RESPONSIBILITY
Section 500.400 Suppliers
The OAG may contract with any qualified source of supply, including the following special
sources, from which procurements may be made without notice and competition:
a) Correctional Industries;
b) State and Federal Surplus Warehouses under the jurisdiction of CMS. The State
Property Control Act [30 ILCS 605/7a] requires that surplus furniture be
considered before any purchase of new furniture valued at $500 or more per
piece;
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c) Qualified workshops for persons with significant disabilitiesthe disabled;
d) State agencies and other governmental units.
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
Section 500.430 Responsibility
a) Application
Contracts are to be made only with responsible vendors unless no responsible
vendor is available to meet the OAG's needs. If there is doubt about
responsibility, and if a bond or other security would adequately protect the State's
interests, then that vendor may be awarded a contract upon receipt of the bond or
other security.
b) Standards of Responsibility
1) Standards. Factors to be considered in determining whether the standard
of responsibility has been met may include, but are not limited to, whether
a prospective vendor:
A) has available the appropriate financial, material, equipment,
facility, and personnel resources and expertise (or the ability to
obtain them) necessary to indicate its capability to meet all
contractual requirements (the Procurement Officer may designate a
level below which the vendor will be deemed "not responsible");
B) is able to comply with required or proposed delivery or
performance schedules, taking into consideration all existing
commercial and governmental commitments;
C) has a satisfactory record of performance. Vendors who are or have
been deficient in current or recent contract performance in dealing
with the State or other customers may be deemed "not responsible"
unless the deficiency is shown to have been beyond the reasonable
control of the vendor;
D) has a satisfactory record of integrity and business ethics. Vendors
who are under investigation or indictment for criminal or civil
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actions that bear on the particular procurement or that create a
reasonable inference or appearance of a lack of integrity on the
part of the vendor may be declared not responsible for the
particular procurement;
E) is a legal entity authorized to transact or conduct affairs in Illinois
prior to submitting the bid, offer or proposal and is authorized to
transact business or conduct affairs in Illinois prior to execution of
the contractqualified legally to contract with the State;
F) has supplied all necessary information in connection with the
inquiry concerning responsibility;
G) has a current Public Contracts number from the Illinois
Department of Human Rights, pursuant to 44 Ill. Adm. Code
750.210, if required. Proof of application prior to opening of bids
or proposals will be sufficient for an initial determination;
H) pays prevailing wages, if required by law; and
I) is current in payment of all State of Illinois taxes, including the
unemployment insurance tax.
2) Information Pertaining to Responsibility. The prospective vendor shall
supply information requested by the Procurement Officer concerning the
responsibility of thesuch vendor. The OAG may supplement this
information from other sources and may require additional documentation
at any time. If thesuch vendor fails to supply the requested information,
the Procurement Officer shall base the determination of responsibility
upon any available information, or may find the prospective vendor
nonresponsible.
c) Written Determination of Nonresponsibility Required
If a vendor who otherwise would have been awarded a contract is found
nonresponsible, a written determination of nonresponsibility setting forth the basis
of the finding shall be prepared by the Procurement Officer. The final
determination shall be made part of the procurement file.
d) Bond for Responsibility
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Vendors not having a history of performance may be considered responsible if no
other disqualifying factors exist. A bond or other security may be required of
thesesuch vendors.
e) Affiliated Companies
Vendors who are newly formed business concerns having substantially the same
owners, officers, directors, or beneficiaries as a previously existing vendor that
has been determined not responsible will also be determined not to be responsible
unless the new organization can prove it was not set up for the purpose of
avoiding an earlier determination of nonresponsibility.
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
SUBPART G: SPECIFICATIONS
Section 500.600 Specifications
a) Responsibilities Regarding Specifications
The Procurement Officer is authorized to write specifications for procurements
for the OAG.
b) Procedures for the Development of Specifications
1) All procurements shall be based on specifications that accurately reflect
the OAG's needs. Specifications shall clearly and precisely describe the
salient technical or performance requirements.
2) Specifications shall not include restrictions that do not significantly affect
the technical requirements or performance requirements, or other
legitimate OAG needs. All specifications shall be written in such a
manner as to describe the requirements to be met, without having the
effect of exclusively requiring a proprietary supply or service, or
procurement from a sole source, unless no other manner of description
will suffice.
3) Any specifications or standards adopted by business, industry, not-for-
profit organization or governmental unit may be adopted by reference.
4) A specification may provide alternate descriptions where two or more
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design, functional, or performance criteria will satisfactorily meet the
OAG's requirements.
5) A solicitation or specification for a contract, or a contract, may not
require, stipulate, suggest or encourage a monetary or other financial
contribution or donation, cash bonus or incentive, or economic investment
as an explicit or implied term or condition of awarding or completing the
contract. [30 ILCS 500/20-50]
c) Brand Name or Equal Specification
1) Brand name or equal specifications may be used when the Procurement
Officer determines in writing that:
A) no specification for a common or general use specification or
qualified products list is available;
B) time does not permit the preparation of another form of
specification, not including a brand name specification;
C) the nature of the product or the nature of the OAG's requirement
makes use of a brand name or equal specification suitable for the
procurement; or
D) use of a brand name or equal specification is in the OAG's best
interest.
2) Brand name or equal specifications shall seek to designate more than one
brand as "or equal," and shall further state that substantially equivalent
products to those designated will be considered for award.
3) Unless the Procurement Officer determines that the essential
characteristics of the brand names included in the specifications are
commonly known in the industry or trade, brand name or equal
specifications shall include a description of the particular design,
functional, or performance characteristics that are required.
4) WhenWhere a brand name or equal specification is used in a solicitation,
the solicitation shall contain explanatory language that the use of a brand
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name is for the purpose of describing the standard of quality, performance,
and characteristics desired and is not intended to limit or restrict
competition. "Or equal" submissions will not be rejected because of
minor differences in design, construction or features that do not affect the
suitability of the product for its intended use. Burden of proof that the
product is equal is on the vendor.
d) Brand Name Only Specification
1) Determination. A brand name only specification may be used only when
the Procurement Officer makes a written determination that only the
identified brand name item or items will satisfy the OAG's needs.
2) Use. Brand name alone may be specified in order to fill medical
prescription needs, to stock State retail-type operations, to ensure
compatibility in existing systems, to preserve warranty, to ensure
maintenance, or as authorized in writing by the Procurement Officer. The
OAG may, pursuant to an authorized competitive procedure, select a
particular vendor to provide supplies or services for a specified period of
time, and for that period the supplier of additional, related and updated
supplies and services may be limited to the selected vendor or the brand
initially selected.
3) Competition. The Procurement Officer shall seek to identify sources from
which the designated brand name item or items can be obtained and shall
solicit thosesuch sources to achieve whatever degree of competition is
practicable. If only one source can supply the requirement, the
procurement shall be made under Section 500.340 (Sole Economically
Feasible Source Procurement) of this Part.
4) Small and Emergency Procurements. Brand name only specifications may
be used when procuring items under the small (Section 500.330 of this
Part) and emergency (Section 500.350 of this Part) provisions of this Part.
e) Qualified Products List
1) Use. A qualified products list may be developed by the Procurement
Officer when testing or examination of the supplies prior to issuance of the
solicitation is desirable or necessary in order to best satisfy OAG
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requirements.
2) Solicitation. When developing a qualified products list, a notice shall be
posted to the Auditor General Bulletin soliciting potential suppliers to
submit products for testing and examination to determine acceptability for
inclusion in a qualified products list.
3) Testing and Confidential Data. Inclusion on a qualified products list shall
be based on results of tests or examinations conducted in accordance with
established requirements. Except as otherwise provided by law, trade
secrets, test data, and similar information provided by the supplier will be
kept confidential when requested in writing by the supplier.
f) Proven Products
The supply or service may be rejected if it has not been offered to other
governmental or commercial accounts for at least one year prior to the notice date
of a solicitation. Specifications may require that the supply or services must have
been used in governmental or commercial venues for a specified period of time to
be considered.
g) Product Demonstration
Any vendor may request time and space to demonstrate a product or service.
Agreement to allow thesesuch demonstration will be solely at the OAG's
discretion and will not entitle the vendor to a contract nor shall payment for the
demonstration be allowed unless a written contract had been executed prior to the
demonstration.
h) Prohibition on Incentives
A solicitation or specification for a contract, or a contract, may not require,
stipulate, suggest or encourage a monetary or other financial contribution or
donation, cash bonus or incentive, or economic investment as an explicit or
implied term or condition for awarding or completing the contract.
i) Prohibited Bidders and Contractors
1) No person or business shall bid, offer, or enter into a contract with the
OAG if the person or business assisted an employee of the OAG, who, by
the nature of his or her duties, has the authority to participate personally
and substantially in the decision to award an OAG contract, by reviewing,
ILLINOIS REGISTER 3222
18
AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
drafting, directing or preparing any invitation for bids, a request for
proposal, or request for information or provided similar assistance except
as part of a publicly issued opportunity to review drafts of all or part of
these documents.
2) This subsection (i) does not prohibit a person or business from submitting
a bid or offer or entering into a contract if the person or business:
A) initiates a communication with an employee to provide general
information about industry trends and innovations, products,
services, or industry best practices and, if applicable, that
communication is documented;
B) responds to a communication initiated by an employee of the OAG
for the purposes of providing information to evaluate new
products, trends, services or technologies;
C) asks for clarification regarding a solicitation, so long as there is
no competitive advantage to the person or business and the
question and answer, if material, are posted to the Auditor General
Bulletin as an addendum to the solicitation [30 ILCS 500/50-
10.5(e)];
DC) receives or possesses written material obtained from a State
employee from public sources, such as through an internet search,
or literature packets obtained in conjunction with an event such as
a trade show; or
ED) provides, at the request of the OAG, general marketing material or
makes a general sales presentation to show the person's
qualifications or product capabilities. Material may be
personalized for the OAG provided any personalization is obtained
from publicly available sources.
3) Nothing in this Section prohibits a vendor developing technology, goods,
or services from bidding or offering to supply that technology or those
goods or services if the subject demonstrated to the State represents
industry trends and innovation and is not specifically designed to meet the
State's needs.
ILLINOIS REGISTER 3223
18
AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
4) No person or business shall submit specifications to a State agency unless
requested to do so by an employee of the State. No person or business
who contracts with a State agency to write specifications for a particular
procurement need shall submit a bid or proposal or receive a contract for
that procurement need.
5) For purposes of this subsection (i), "business" includes all individuals
with whom a business is affiliated, including, but not limited to, any
officer, agent, employee, consultant, independent contractor, director,
partner, or manager of a business. [30 ILCS 500/50-10.5(e)]
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
SUBPART J: CONTRACT MATTERS
Section 500.910 Filing with Comptroller
a) Filing with Comptroller
Whenever a contract liability, except for contracts paid from personal services or
contracts between the State and its employees to defer compensation in
accordance with Article 24 of the Illinois Pension Code [40 ILCS 5], exceeding
$20,000 is incurred by the OAG, a copy of the contract, purchase order, or lease
shall be filed with the Comptroller within 30 calendar days thereafter.
b) Late Filing Affidavit
When a contract, purchase order, or lease required to be filed by this Section has
not been filed within 30 calendar days after execution, the OAG must file with the
Comptroller an affidavit, signed by the Auditor General or his or her designee,
setting forth an explanation of why the contract liability was not filed within 30
calendar days after execution. A copy of this affidavit shall be filed with the
Auditor General.
c) Timely Execution of Contracts
No voucher shall be submitted to the Comptroller for a warrant to be drawn for
the payment of money from the State treasury or from other funds held by the
State Treasurer on account of any contract unless the contract is reduced to
writing before the services are performed and filed, if so required under
subsection (a), with the Comptroller. ContractorsVendors shall not be paid for
ILLINOIS REGISTER 3224
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AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
any suppliesgoods that were received or services that were rendered before the
contract was reduced to writing and signed by all necessary parties. A
Procurement Officer may request an exception to this requirement by submitting a
written statement to the Comptroller and Treasurer setting forth the circumstances
and reasons why the contract could not be reduced to writing before the supplies
were received or services were performed. A waiver of this requirement must be
approved by the Comptroller and Treasurer. The requirements of this subsection
shall not apply to emergency purchases if notice of the emergency purchase is
published in the Auditor General Bulletin as required by Section 500.350.
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
SUBPART L: PREFERENCES
Section 500.1120 Soybean Oil-based Ink and Vegetable Oil-based Ink
Contracts requiring the procurement of offset printing services shall specify the use of soybean
oil-based ink or vegetable oil-based ink unless the Procurement Officer determines that another
type of ink is required to assure high quality and reasonable pricing of the printed product. This
Section does not apply to digital printing services.
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
Section 500.1130 Recycled Supplies
When a public contract is to be awarded to the lowest responsible bidder or offeror, an
otherwise qualified bidder or offeror who will fulfill the contract through the use of products
made of recycled supplies shallmay be given preference over other bidders or offerors unable to
do so, provided that the cost included in the bid of supplies is equal to or less than other bids or
offers, unless the use of the product constitutes an undue practical hardshipmade of recycled
materials does not constitute an undue economic or practical hardship. [30 ILCS 500/45-20]
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
Section 500.1160 Qualified Not-for-Profit Agencies for Persons with SignificantSevere
Disabilities
a) Use
The Procurement Officer may determine to contract with a qualified not-for-profit
ILLINOIS REGISTER 3225
18
AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
agency for persons with significantsevere disabilities on the list maintained by the
State Use Committee and may do so without notice or competition.
b) Pricing Approval
While notice and competition is not required prior to contracting with a qualified
not-for-profit agencies for persons with significantsevere disabilities, prices must
be reasonable. Whether a price is reasonable will be determined based upon
current market prices, historical prices, prices received by other State agencies for
similar supplies or services, the policy of the Code to promote procurements from
qualified not-for-profit agencies for persons with significantsevere disabilities,
and other such relevant factors.
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
Section 500.1190 Contracting with Businesses Owned and Controlled by Minorities,
WomenFemales and Persons with Disabilities
a) Upon direction of the CPO, the OAG may establish goals and other such
preferences for contracting or subcontracting with businesses owned and
controlled by minorities, womenfemales and persons with disabilities.
b) For purposes of this Section, the individuals claiming ownership and control must
own at least 51% of the business.
c) The CPO may refer to the list of businesses that have been certified by CMS or
other appropriate agency under the Business Enterprise Act for Minorities,
Women,Females and Persons with Disabilities [30 ILCS 575].
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
SUBPART M: ETHICS
Section 500.1260 Reporting Anticompetitive Practices
When, for any reason, any vendor, bidder, offeror, potential contractor, contractor, chief
procurement officer, State purchasing officer, designee, elected official, or State employee
suspects collusion or other anticompetitive practice among any bidders, offerors, potential
contractors, contractors, or employees of the State, a notice of the relevant facts shall be
transmitted to the appropriate Inspector General, the Attorney General, and the chief
ILLINOIS REGISTER 3226
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AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
procurement officer. [30 ILCS 500/50-40]
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
Section 500.1270 Confidentiality
Any chief procurement officer, State purchasing officer, designee, or executive officer, or State
employee who willfully uses or allows the use of specifications, competitive solicitation
documents, proprietary competitive information, contracts, or selection information to
compromise the fairness or integrity of the procurement or contract process shall be subject to
immediate dismissal [30 ILCS 500/50-45], regardless of personnel rules, any contract, law or
other agreement, and may, in addition, be subject to criminal prosecution.
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
Section 500.1275 Procurement Communications Reporting Requirement
a) Reporting Requirement
1) Any written or oral communication received by a State employee who, by
the nature of his or her duties, has the authority to participate personally
and substantially in the decision to award a State contract and that
imparts or requests material information or makes a material argument
regarding potential action concerning an active procurement matter,
including, but not limited to, an application, a contract, or a project, shall
be reported to the CPO. These communications do not include the
following:
A) statements by a person publicly made in a public forum;
B) statements regarding matters of procedure and practice, such as
format, the number of copies required, the manner of filing, and
the status of a matter;
C) statements made by an OAG employee to the Auditor General or
other employees of the OAG, or to an employee of another State
agency who, through the communication, is either:
ILLINOIS REGISTER 3227
18
AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
i) exercising his or her experience or expertise in the subject
matter of the particular procurement in the normal course
of business, for official purposes, and at the initiation of the
OAG; or
ii) exercising oversight, supervisory, or management authority
over the procurement in the normal course of business and
as part of official responsibilities;
D) unsolicited communications providing general information about
products, services, or industry best practices before those products
or services become involved in a procurement matter;
E) communications received in response to procurement solicitations,
including, but not limited to, vendor responses to a request for
information, request for proposal, request for qualifications,
invitation for bid, or a small purchase, sole source, or emergency
solicitation, or questions and answers posted to the Auditor
General Bulletin to supplement the procurement action, provided
that the communications are made in accordance with the
instructions contained in the procurement solicitation, procedures,
or guidelines;
F) communications that are privileged, protected, or confidential
under law; and
G) communications that are part of a formal procurement process as
set out by statute, rule, or the solicitation, guidelines, or
procedures, including, but not limited to, the posting of
procurement opportunities, the process for approving a
procurement or its equivalent, fiscal approval, submission of bids,
the finalizing of contract terms and conditions with an awardee or
apparent awardee, and similar formal procurement processes.
2) The reporting requirement does not apply to any communication asking
for clarification regarding a contract solicitation so long as there is no
competitive advantage to the person or business and the question and
answer, if material, are posted to the Auditor General Bulletin as an
addendum to the solicitation.
ILLINOIS REGISTER 3228
18
AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
32) The provisions of this Section shall not apply to communications
regarding the administration and implementation of an existing contract,
except communications regarding change orders or the renewal or
extension of a contract. [30 ILCS 500/50-39(a)]
b) The report required by subsection (a) shall be submitted monthly and include at
least the following:
1) the date and time of each communication;
2) the identity of each person from whom the written or oral communication
was received, the individual or entity represented by that person, and any
action the person requested or recommended;
3) the identity and job title of the person to whom each communication was
made;
4) if a response is made, the identity and job title of the person making each
response;
5) a detailed summary of the points made by each person involved in the
communication;
6) the duration of the communication;
7) the location or locations of all persons involved in the communication
and, if the communication occurred by telephone, the telephone numbers
for the callers and recipients of the communication; and
8) any other pertinent information. [30 ILCS 500/50-39(b)]
c) Additionally, when an oral communication made by a person required to register
under the Lobbyist Registration Act is received by a State employee that is
covered under this Section, all individuals who initiate or participate in the oral
communication shall submit a written report to that State employee that
memorializes the communication and includes, but is not limited to, the items
listed in subsection (b). [30 ILCS 500/50-39(c)]
ILLINOIS REGISTER 3229
18
AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
d) The CPO shall make each report submitted pursuant to this Section available on
the Auditor General Bulletin within 7 calendar days after receipt of the report. No
trade secrets or other proprietary or confidential information shall be included in
any communication reported to the CPO. [30 ILCS 500/50-39(b)]
e) The reporting requirements shall also be conveyed through ethics training under
the State Officials and Employees Ethics Act [5 ILCS 430]. An employee who
knowingly and intentionally violates this Section shall be subject to suspension or
discharge.
f) For purposes of this Section:
1) "Active Procurement Matter" means a procurement process beginning
with requisition or determination of need by an agency and continuing
through the publication of an award notice or other completion of a final
procurement action, the resolution of any protests, and the expiration of
any protest or review period, if applicable. "Active procurement matter"
also includes communications relating to change orders, renewals, or
extensions.
2) "Material Information" means information that a reasonable person
would deem important in determining his or her course of action and
pertains to significant issues, including, but not limited to, price, quantity,
and terms of payment or performance.
3) "Material Argument" means a communication that a reasonable person
would believe was made for the purpose of influencing a decision relating
to a procurement matter. "Material argument" does not include general
information about products, services, or industry best practices or a
response to a communication initiated by an employee of the State for the
purposes of providing information to evaluate new products, trends,
services, or technologies. [30 ILCS 500/50-39(g)]
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
Section 500.1285 Continuing Disclosure; False Certification
Every person that has entered into a multi-year contract for more than one year in duration for
the initial term or for any renewal termand every subcontractor with a multi-year subcontract
ILLINOIS REGISTER 3230
18
AUDITOR GENERAL
NOTICE OF ADOPTED AMENDMENTS
shall certify, by JanuaryJuly 1 of each fiscal year covered by the contract after the initial fiscal
year, to the responsible chief procurement officer of any changes that affect its abilitywhether it
continues to satisfy the requirements of Article 50 of the Code pertaining to eligibility for a
contract award. If a contractor or subcontractor continues to meet all requirements of Article
50 of the Code, it shall not be required to submit any certification or if the work under the
contract has been substantially completed before contract expiration but the contract has not yet
expired. If a contractor or subcontractor is not able to truthfully certify that it continues to meet
all requirements, it shall provide with its certification a detailed explanation of the
circumstances leading to the change in certification status. A contractor or subcontractor that
makes a false statement material to any given certification required under Article 50 of the Code
is, in addition to any other penalties or consequences prescribed by law, subject to liability
under the Illinois False Claims Act [740 ILCS 175] for submission of a false claim. [30 ILCS
500/50-2]
(Source: Amended at 42 Ill. Reg. 3193, effective February 16, 2018)
ILLINOIS REGISTER 3231
18
DEPARTMENT ON AGING
NOTICE OF PUBLIC HEARING ON PROPOSED AMENDMENTS
1) Heading of the Part: Community Care Program
2) Code Citation: 89 Ill. Adm. Code 240
3) Register Citation to Notice of Proposed Rules: 42 Ill. Reg. 314; January 12, 2018
4) Date, Time and Location of Public Hearings:
Friday, February 23, 2018
10:00 a.m. – 11:30 a.m.
Michael J. Howlett Building
Auditorium
2nd & Edwards Streets
Springfield IL 62756
5) Other Pertinent Information: The hearings will be held for the sole purpose of gathering
public comments on the proposed amendments. Persons interested in presenting
testimony at this hearing are advised that the Illinois Department on Aging will adhere to
the following procedures in the conduct of the hearing:
a) All persons attending the hearing must sign in at the registration desk and those
persons wishing to provide oral testimony must indicate this on the registration
form in the space provided.
b) No oral testimony shall exceed an aggregate of five (5) minutes. This time may
be reduced based on the number of people testifying.
c) Each person presenting oral testimony shall provide to the hearing officer a
written (preferably typed) copy of such testimony at the time the oral testimony is
presented. No oral testimony will be accepted without a written copy of the
testimony being provided.
d) All oral testimony will be recorded by stenographic or mechanical means.
e) No person will be recognized to speak for a second time until all persons wishing
to testify have done so.
ILLINOIS REGISTER 3232
18
DEPARTMENT ON AGING
NOTICE OF PUBLIC HEARING ON PROPOSED AMENDMENTS
f) In order to provide for a balanced presentation of views and to facilitate the
orderly conduct of the hearing, the hearing officer may impose such other rules of
procedures, including the order of call of witnesses, as she/he deems necessary.
g) The hearing officer may end the public hearing before the listed ending time in
the event there is no one available and ready who desires to offer comments on
the proposed amendments or if there is insufficient time for a person to offer
comments for a full five-minute span, or to accommodate public safety in an
emergency situation.
h) Unforeseen changes regarding the public hearing will be posted on the
Department’s web site.
i) Persons requiring reasonable accommodation due to disability must contact the
Office of General Counsel by Tuesday, February 20, 2018.
j) Name and Address of Agency Contact Person: Questions regarding these
proposed amendments or the public hearing shall be directed to:
Tracey Trigillo
Deputy General Counsel
Illinois Department on Aging
One Natural Resources Way, #100
Springfield IL 62702-1271
217/785-3346
ILLINOIS REGISTER 3233
18
JOINT COMMITTEE ON ADMINISTRATIVE RULES
ILLINOIS GENERAL ASSEMBLY
SECOND NOTICES RECEIVED
The following second notices were received during the period of January 30, 2018 through
February 5, 2018. These rulemakings are scheduled for review at the Committee's March 13, 2018
meeting. Other items not contained in this published list may also be considered. Members of the
public wishing to express their views with respect to a rulemaking should submit written comments
to the Committee at the following address: Joint Committee on Administrative Rules, 700 Stratton
Bldg., Springfield IL 62706.
Second
Notice
Expires
Agency and Rule
Start
of First
Notice
JCAR
Meeting
3/15/18 Office of the Comptroller, Office of the
Comptroller Standard Procurement (44 Ill.
Adm. Code 1120)
11/17/17
41 Ill. Reg.
13930
3/13/18
3/16/18 Department of Financial and Professional
Regulation, Illinois Athlete Agents Act
(Repealer) (68 Ill. Adm. Code 1155)
12/15/17
41 Ill. Reg.
14989
3/13/18
3/17/18 Department of Transportation, Aviation Safety
(92 Ill. Adm. Code 14)
12/15/17
41 Ill. Reg.
15050
3/13/18
3/21/18 Department on Aging, Adult Protection and
Advocacy Services (89 Ill. Adm. Code 270)
10/20/17
41 Ill. Reg.
12932
3/13/18
ILLINOIS REGISTER 3234
18
EXECUTIVE ORDER
2018-2
EXECUTIVE ORDER STRENGTHENING THE STATE'S ETHICS LAWS AND
COMPLIANCE
WHEREAS, the integrity of the Illinois government and State employees and officers and the
confidence of the people of Illinois in their State government is of paramount importance; and
WHEREAS, effectively and properly performing government business and maintaining the
confidence of the people of Illinois require employees and officers of the State of Illinois to
adhere to the highest standards of honesty, integrity, respect and impartiality in their conduct and
the performance of their official duties; and
WHEREAS, the State of Illinois has adopted various laws and regulations intended to promote
the honesty, integrity and impartiality of the employees, including but not limited to the State
Officials and Employees Ethics Act ("Ethics Act"), 5 ILCS § 430/1-1 et seq. and various
Executive Orders issued by the governors of the State of Illinois; and
WHEREAS, Executive Order 2016-04 directed the creation of the first State of Illinois Code of
Personal Conduct ("Code of Personal Conduct") for all State Employees and updated and
strengthened the policies and procedures for investigating and reporting allegations of
misconduct by State officeholders, appointees, employees, and vendors, as well as incidents at
State facilities; and
WHEREAS, in November 2017, Governor Rauner signed into law HB127 and SB402, which
amended the Ethics Act to strengthen State laws and policies against sexual harassment; and
WHEREAS, on December 15, 2017, CMS updated the Code of Personal Conduct to be
consistent with the Ethics Act laws regarding sexual harassment; and
WHEREAS, faithfully executing and ensuring compliance with the ethical laws and policies of
the State is critical to maintaining the standards of integrity, honesty, respect and impartiality that
the people of Illinois deserve; and
WHEREAS, there is no state statute, charter, ordinance, rule, regulation, executive order, or
agreement that should preempt the duty of any State officer or employee to act ethically and
refrain from sexual harassment under the Ethics Act and Code of Personal Conduct, including
collective bargaining agreements.
WHEREAS, the State of Illinois should look to best practices to coordinate sexual harassment
training and awareness, as well as all other ethics compliance; and
ILLINOIS REGISTER 3235
18
EXECUTIVE ORDER
WHEREAS, focusing resources and attention on compliance as a critical government function
aligns with the Ethics Act and Code of Personal Conduct and borrows from private sector
compliance models; and
WHEREAS, strengthening sexual harassment investigation requirements and training at State
Agencies and creating a Chief Compliance Office within the Office of the Governor is timely
and will significantly aid the State's critical interest in preventing sexual harassment;
THEREFORE, I, Bruce Rauner, Governor of Illinois, by virtue of my executive authority to
establish and enforce ethical standards for the executive branch and reassign functions among or
reorganize executive agencies, vested in me by Section 8 and Section 11 of Article V and
Section 2 of Article XIII of the Constitution of the State of Illinois, do hereby order as follows:
I. DEFINITIONS
"Ethics Officer" means the individual designated under 5 ILCS 420/20-23 by the head of each
State agency under the jurisdiction of the Executive Ethics Commission to provide guidance to
officers and employees in the interpretation and implementation of the Ethics Act.
"Sexual Harassment" means any unwelcome sexual advances or requests for sexual favors or any
conduct of a sexual nature when: (i) submission to such conduct is made either explicitly or
implicitly a term or condition of an individual's employment; (ii) submission to or rejection of
such conduct by an individual is used as the basis for employment decisions affecting such
individual; or (iii) such conduct has the purpose or effect of substantially interfering with an
individual's work performance or creating an intimidating, hostile, or offensive working
environment. For purposes of this definition, the phrase "working environment" is not limited to
a physical location an employee is assigned to perform his or her duties and does not require an
employment relationship.
"State Employees" means all officers, employees (including without limitation full-time, part-
time, and contractual employees), appointees (including without limitation paid and unpaid
appointees), and persons holding similar positions in the Executive Branch of the State of Illinois
under the jurisdiction of the Governor.
"State Agencies" means any office, department, agency, board, commission, or authority of the
Executive Branch of the State of Illinois under the jurisdiction of the Governor.
"Supervisor" means an officer, a member, or a State employee who has the authority to direct the
work performance of a State employee or who has authority to take corrective action regarding
any violation of a law, rule, or regulation of which the State employee complains.
II. APPLICABILITY OF ETHICS AND SEXUAL HARASSMENT LAWS
ILLINOIS REGISTER 3236
18
EXECUTIVE ORDER
All State Employees and State Agencies are subject to and bound by the Ethics Act. The Ethics
Act shall hereby be supreme above all other laws of the State and shall prevail and control in the
case of any conflict with other statutes, charters, ordinances, rules, regulations, executive orders
or agreements, including collective bargaining agreements.
III. CREATION OF THE CHIEF COMPLIANCE OFFICE, OFFICE OF THE
GOVERNOR
A Chief Compliance Office is hereby created within the Office of the Governor. The Chief
Compliance Office shall be led by a Chief Compliance Officer ("CCO") who shall be a licensed
attorney. In addition to any other duties and responsibilities requested by the Governor, the CCO
will aim to foster a culture of ethics and compliance within State Agencies by providing clear
policies, procedures and trainings for employees; detect, report and address allegations of
misconduct; and work with Ethics Officers to provide State Agencies and State Employees with
the tools and guidance to comply with applicable laws and regulations.
The Governor shall name a Chief Ethics Officer and Chief Diversity Officer, who, in addition to
any other duties and responsibilities requested by the Governor, shall be a part of the Chief
Compliance Office. The Chief Compliance Office may also include any other individual that the
CCO determines would aid in the execution of the duties and obligations of the Chief
Compliance Office and the Ethics Act. The CCO and Chief Ethics Officer shall have the rights,
duties and obligations granted to Ethics Officers under 5 ILCS 420/20-23. The Chief Ethics
Officer shall also act as liaison and advisor to Ethics Officers of State Agencies. The Chief
Diversity Officer shall advise the CCO and Chief Ethics Officer on sexual harassment
allegations and investigations that involve issues of diversity.
IV. REASSIGNMENT OF INVESTIGATIVE FUNCTIONS FOR SEXUAL
HARASSMENT ALLEGATIONS
The Ethics Act and Code of Personal Conduct state that State Employees should immediately
report allegations of sexual harassment to a supervisor, ethics officer, the Office of Executive
Inspector General for the Agencies of the Illinois Governor ("OEIG") or the Department of
Human Rights ("DHR"). To ensure allegations of sexual harassment are thoroughly investigated,
repeat offenders are identified, and victims are not subject to continued sexual harassment,
Supervisors and Ethics Officers must adhere to the following procedures and assignment of
functions.
1. Sexual Harassment Investigations. Supervisors shall immediately report all allegations of
sexual harassment received, directly or indirectly, to the State Agency's Ethics Officer. In
addition, to the extent any State Agency permits employees to report sexual harassment
allegations to State Agency Equal Employment Opportunity-Affirmative Action Officers,
such Officers shall also immediately report all allegations of sexual harassment received,
ILLINOIS REGISTER 3237
18
EXECUTIVE ORDER
directly or indirectly, to the State Agency's Ethics Officer. Unless the allegation is
immediately referred to the OEIG and the OEIG specifically instructs the Ethics Officer to
not investigate the matter until further instruction from the OEIG, the Ethics Officers shall
ensure the State Agency completes an initial review of each allegation of sexual harassment
within ten (10) business days of receipt of the allegation to determine whether further
investigation or action is warranted. If further investigation is warranted, the Ethics Officer
shall ensure the State Agency completes its investigation and make any referrals for
management action or disciplinary proceedings within thirty (30) days of receipt of the
allegation. Investigations may be conducted by Ethics Officers, Supervisors or other agents
as the Ethics Officer determines appropriate, but all investigations must be conducted in
coordination with the State Agency representative who received sexual harassment
investigation training as provided in Section IV(3) of this Executive Order.
2. Reporting to the Chief Compliance Office. Ethics Officers shall notify the Chief Compliance
Office of all sexual harassment allegations that are reported to the Ethics Officer and
Supervisors within his/her State Agency and any related findings and remedial or
disciplinary measures recommended or taken. All communications or reports shared among
and between the State Agency representatives and the Chief Compliance Office regarding
sexual harassment allegations and investigations shall remain confidential between the
parties directly involved unless otherwise required by law, consistent with the Freedom of
Information Act. Nothing in this Executive Order may be construed to modify the rights or
obligations of State Employees and Ethics Officers under Executive Order 2016-04 to report
misconduct to the OEIG.
3. Sexual Harassment Investigation Training. By December 31, 2018, and every two years
thereafter, at least one representative from each State Agency shall complete training on best
practices for investigations of alleged sexual harassment. Training programs shall be
overseen and approved by the CCO. Ethics Officers must file a certificate of compliance with
this requirement to the Chief Compliance Office by December 31, 2018 and every two years
thereafter.
4. Reports made to DHR, OEIG and law enforcement. Victims shall continue to have the
independent right to report allegations of sexual harassment to the DHR or the OEIG.
Nothing in this Executive Order may be construed to modify the OEIG's or the DHR's rules,
policies, procedures, rights or obligations relating to allegations of sexual harassment filed
before those bodies. This Executive Order is intended to strengthen sexual harassment
investigation and training requirements at the agency level. In addition, nothing in this
Executive Order shall be construed to modify any individual's rights and obligations to report
criminal activity, including but not limited to assault, to state or local law enforcement.
V. INCONSISTENT ACTS
ILLINOIS REGISTER 3238
18
EXECUTIVE ORDER
From the effective date of this Executive Order, and as long as such Executive Order remains in
effect, the operation of any prior act of the General Assembly inconsistent with this
reorganization is suspended to the extent of the inconsistency.
VI. SAVINGS CLAUSE
This Executive Order does not contravene any rules, regulation or other agency actions, except
as may be provided by Sections II, III and IV.
VII. PRIOR EXECUTIVE ORDERS
This Executive Order supersedes any contrary provision of any other prior Executive Order.
VIII. SEVERABILITY CLAUSE
If any part of this Executive Order is found invalid by a court of competent jurisdiction, the
remaining provisions shall remain in full force and effect. The provisions of this Executive Order
are severable.
IX. FILINGS
This Executive Order shall be filed with the Secretary of State. A copy of this Executive Order
shall be delivered to the Secretary of the Senate and to the Clerk of the House of Representatives
and, for the purpose of preparing a revisory bill, to the Legislative Reference Bureau.
X. EFFECTIVE DATE
Provided that neither house of the General Assembly disapproves of this Executive Order by the
record vote of a majority of the members elected, this Executive Order shall take effect 60 days
after its delivery to the General Assembly.
Issued by Governor: January 31, 2018
Filed with Secretary of State: January 31, 2018
ILLINOIS ADMINISTRATIVE CODE Issue Index - With Effective Dates
Rules acted upon in Volume 42, Issue 7 are listed in the Issues Index by Title number, Part number, Volume and Issue. Inquiries about the Issue Index may be directed to the Administrative Code Division at (217) 782-7017/18.
PROPOSED RULES 32 - 332 ....................... 2970 32 - 337 ....................... 2976 32 - 341 ....................... 3028 32 - 504 ....................... 3034 89 - 140 ....................... 3040 11 - 603 ....................... 3102 92 - 1030 ....................... 3113 ADOPTED RULES 11 - 1800 2/2/2018 ....................... 3126 89 - 148 1/31/2018 ....................... 3152 23 - 650 1/31/2018 ....................... 3182 44 - 500 2/16/2018 ....................... 3193 EXECUTIVE ORDERS AND PROCLAMATIONS 18 - 2 1/31/2018 ....................... 3234
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