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
December 26, 2017 Volume 41, Issue 51
PROPOSED RULES FINANCIAL AND PROFESSIONAL REGULATION, DEPARTMENT OF
Pharmacy Practice Act
68 Ill. Adm. Code 1330….....................................................................15130
HUMAN SERVICES, DEPARTMENT OF
Related Program Provisions
89 Ill. Adm. Code 117...........................................................................15167
INSURANCE, DEPARTMENT OF
Required Benefits for Mental, Emotional or Nervous Disorders
(Repealer)
50 Ill. Adm. Code 2006.........................................................................15172
Infertility Coverage
50 Ill. Adm. Code 2015.........................................................................15176
Registration of Workers' Compensation Utilization Review
Organizations
50 Ill. Adm. Code 2905.........................................................................15182
Privacy of Personal Information (Repealer)
50 Ill. Adm. Code 4001….....................................................................15189
LIQUOR CONTROL COMMISSION, ILLINOIS
The Illinois Liquor Control Commission
11 Ill. Adm. Code 100….......................................................................15193
REVENUE, DEPARTMENT OF
Income Tax
86 Ill. Adm. Code 100….......................................................................15198
SECRETARY OF STATE
Lobbyist Registration and Reports
2 Ill. Adm. Code 560…….....................................................................15222
STATE UNIVERSITIES CIVIL SERVICE SYSTEM
State Universities Civil Service System
80 Ill. Adm. Code 250….......................................................................15224
ADOPTED RULES AGING, DEPARTMENT ON
Community Care Program
89 Ill. Adm. Code 240….......................................................................15233
CHILDREN AND FAMILY SERVICES, DEPARTMENT OF
Appeal of Child Abuse and Neglect Investigation Findings
89 Ill. Adm. Code 336….......................................................................15260
HEALTH FACILITIES AND SERVICES REVIEW BOARD, ILLINOIS
Health Care Worker Self-Referral
77 Ill. Adm. Code 1235….....................................................................15310
TRANSPORTATION, DEPARTMENT OF
ii
Illinois Cycle Rider Safety Training Program
92 Ill. Adm. Code 455….......................................................................15326
STATE UNIVERSITIES RETIREMENT SYSTEM
Universities Retirement
80 Ill. Adm. Code 1600….....................................................................15353
EMERGENCY RULES SECRETARY OF STATE
Lobbyist Registration and Reports
2 Ill. Adm. Code 560…….....................................................................15373
NOTICE OF CORRECTIONS AGRICULTURE, DEPARTMENT OF
Standardbred, Thoroughbred, and Quarter Horse Breeding and
Racing Programs, Illinois
8 Ill. Adm. Code 290…….....................................................................15390
SECOND NOTICES RECEIVED JOINT COMMITTEE ON ADMINISTRATIVE RULES
Second Notices Received……......................................................................15397
REGULATORY AGENDA CHIEF PROCUREMENT OFFICER FOR DEPT OF TRANSPORTATION
Chief Procurement Officer for the Department of Transportation –
Contract Procurement
44 Ill. Adm. Code 6…….......................................................................15399
COMMUNITY COLLEGE BOARD, ILLINOIS
Administration of the Illinois Public Community College Act
23 Ill. Adm. Code 1501….....................................................................15400
POLLUTION CONTROL BOARD
Definitions and General Provisions
35 Ill. Adm. Code 211….......................................................................15405
PROPERTY TAX APPEAL BOARD
Practice and Procedure for Appeals Before the Property Tax
Appeal Board
86 Ill. Adm. Code 1910….....................................................................15429
TRANSPORTATION, DEPARTMENT OF
Motor Vehicle Accident Data
92 Ill. Adm. Code 452….......................................................................15431
iii
____________
Editor's Note: The Secretary of State Index Department is providing this opportunity to remind
you that the next filing period for your Regulatory Agenda will occur from October 15, 2017
until January 2, 2018.
____________
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 2017
Issue# Rules Due Date Date of Issue
1 December 27, 2016 January 6, 2017
2 January 3, 2017 January 13, 2017
3 January 9, 2017 January 20, 2017
4 January 17, 2017 January 27, 2017
5 January 23, 2017 February 3, 2017
6 January 30, 2017 February 10, 2017
7 February 6, 2017 February 17, 2017
8 February 14, 2017 February 24, 2017
9 February 21, 2017 March 3, 2017
10 February 27, 2017 March 10, 2017
11 March 6, 2017 March 17, 2017
12 March 13, 2017 March 24, 2017
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13 March 20, 2017 March 31, 2017
14 March 27, 2017 April 7, 2017
15 April 3, 2017 April 14, 2017
16 April 10, 2017 April 21, 2017
17 April 17, 2017 April 28, 2017
18 April 24, 2017 May 5, 2017
19 May 1, 2017 May 12, 2017
20 May 8, 2017 May 19, 2017
21 May 15, 2017 May 26, 2017
22 May 22, 2017 June 2, 2017
23 May 30, 2017 June 9, 2017
24 June 5, 2017 June 16, 2017
25 June 12, 2017 June 23, 2017
26 June 19, 2017 June 30, 2017
27 June 26, 2017 July 7, 2017
28 July 3, 2017 July 14, 2017
29 July 10, 2017 July 21, 2017
30 July 17, 2017 July 28, 2017
31 July 24, 2017 August 4, 2017
32 July 31, 2017 August 11, 2017
33 August 7, 2017 August 18, 2017
34 August 14, 2017 August 25, 2017
35 August 21, 2017 September 1, 2017
36 August 28, 2017 September 8, 2017
37 September 5, 2017 September 15, 2017
38 September 11, 2017 September 22, 2017
39 September 18, 2017 September 29, 2017
40 September 25, 2017 October 6, 2017
41 October 2, 2017 October 13, 2017
42 October 10, 2017 October 20, 2017
43 October 16, 2017 October 27, 2017
44 October 23, 2017 November 3, 2017
45 October 30, 2017 November 13, 2017
46 November 6, 2017 November 17, 2017
47 November 13, 2017 November 27, 2017
48 November 20, 2017 December 1, 2017
49 November 27, 2017 December 8, 2017
50 December 4, 2017 December 15, 2017
51 December 11, 2017 December 26, 2017
52 December 18, 2017 December 29, 2017
ILLINOIS REGISTER 15130
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
1) Heading of the Part: Pharmacy Practice Act
2) Code Citation: 68 Ill. Adm. Code 1330
3) Section Numbers: Proposed Actions:
1330.510 Amendment
1330.640 Amendment
1330.660 Amendment
1330.670 Repealed
1330.680 Amendment
4) Statutory Authority: Implementing the Pharmacy Practice Act [225 ILCS 85] and
authorized by Section 2105-15 of the Civil Administrative Code of Illinois [20 ILCS
2105/2105-15].
5) A Complete Description of the Subjects and Issues Involved: This is a complete
rewriting of the pharmacy regulations for sterile and non-sterile compounding. The
biggest change moves the standards for pharmacy compounding from those specifically
set forth in rule to the standards developed by the United States Pharmacopeial-National
Formulary (USP-NF). The USP-NF compounding standards are the national standard
that is currently adopted by more than 35 states. Other changes include allowing
pharmacies to sell limited quantities of non-sterile compounded products to practitioners
for office use; and permits sterile compounding of veterinary products for office use and
limited veterinary dispensing from office use stock. Additional changes include minor
technical corrections to existing telepharmacy regulations, plus expansion of the types of
healthcare providers permitted to stock or restock an automated dispensing system under
the control of a pharmacy but located in a facility, removing barriers for rural facilities
that might otherwise face delay in stocking/restocking waiting for a pharmacist or
pharmacy technician to arrive.
6) Any published studies or reports, along with the sources of underlying data, that were
used when comprising this rulemaking, in accordance with 1 Ill. Adm. Code 100.355:
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
ILLINOIS REGISTER 15131
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
10) Are there any other rulemakings pending on this Part? No
11) Statement of Statewide Policy Objective: This rulemaking will not require a local
government to establish, expand or modify its 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: Persons who wish to comment on this proposed rulemaking may submit
written comments no later than 45 days after the publication of this Notice to:
Department of Financial and Professional Regulation
Attention: Craig Cellini
320 West Washington, 3rd Floor
Springfield IL 62786
217/785-0813
fax: 217/557-4451
All written comments received within 45 days after this issue of the Illinois Register will
be considered.
13) Initial Regulatory Flexibility Analysis:
A) Types of small businesses, small municipalities and not-for-profit corporations
affected: Licensed pharmacists, pharmacy technicians, and pharmacies may be
affected.
B) Reporting, bookkeeping or other procedures required for compliance: None
C) Types of professional skills necessary for compliance: Licensure pursuant to the
Pharmacy Practice Act.
14) Regulatory Agenda on which this rulemaking was summarized: January 2016
The full text of the Proposed Amendments begins on the next page:
ILLINOIS REGISTER 15132
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
TITLE 68: PROFESSIONS AND OCCUPATIONS
CHAPTER VII: DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
SUBCHAPTER b: PROFESSIONS AND OCCUPATIONS
PART 1330
PHARMACY PRACTICE ACT
SUBPART A: GENERAL PROVISIONS
Section
1330.10 Definitions
1330.20 Fees
1330.30 Unprofessional and Unethical Conduct
1330.40 Violations
1330.50 Vaccinations/Immunizations
1330.60 Internet Pharmacies
1330.70 Granting Variances
1330.80 Renewals
1330.90 Restoration of a Pharmacist License
1330.100 Continuing Education
1330.110 Confidentiality
SUBPART B: PHARMACY TECHNICIAN
Section
1330.200 Application for Certificate of Registration as a Pharmacy Technician
1330.210 Pharmacy Technician Training
1330.220 Application for Certificate of Registration as a Certified Pharmacy Technician
SUBPART C: PHARMACIST
Section
1330.300 Approval of Pharmacy Programs
1330.310 Graduates of Programs Outside the United States
1330.320 Application for Examination
1330.330 Examination for Licensure
1330.340 Application for Licensure on the Basis of Examination
1330.350 Endorsement
ILLINOIS REGISTER 15133
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
SUBPART D: PHARMACY LICENSURE
Section
1330.400 Application for a Pharmacy License
1330.410 Pharmacy Licenses
1330.420 Emergency Remote Temporary Pharmacy License
SUBPART E: TYPES OF PHARMACIES
Section
1330.500 Community Pharmacy Services
1330.510 Telepharmacy
1330.520 Offsite Institutional Pharmacy Services
1330.530 Onsite Institutional Pharmacy Services
1330.540 Nuclear Pharmacy Services
1330.550 Nonresident Pharmacies
1330.560 Remote Prescription/Medication Order Processing
SUBPART F: PHARMACY STANDARDS
Section
1330.600 Security Requirements
1330.610 Pharmacy Structural/Equipment Standards
1330.620 Electronic Equipment Requirements for Remote Pharmacies
1330.630 Sanitary Standards
1330.640 Pharmaceutical Compounding Standards
1330.650 Pharmacy Computer Regulations
1330.660 Pharmacist-in-Charge
1330.670 Compounded Sterile Preparation Standards (Repealed)
1330.680 Automated Dispensing and Storage Systems
SUBPART G: PHARMACY OPERATIONS
Section
1330.700 Patient Counseling
1330.710 Reporting Theft or Loss of Controlled Substances
1330.720 Transfer of Prescription
1330.730 Drug Prepackaging
1330.740 Multi-Med Dispensing Standards for Community Pharmacies
1330.750 Return of Drugs
ILLINOIS REGISTER 15134
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
1330.760 Electronic Transmission of Prescriptions
1330.770 Centralized Prescription Filling
1330.780 Change of Ownership of a Pharmacy
1330.790 Closing a Pharmacy
1330.800 Pharmacy Self-Inspection
AUTHORITY: Implementing the Pharmacy Practice Act [225 ILCS 85] and authorized by
Section 2105-15 of the Civil Administrative Code of Illinois [20 ILCS 2105/2105-15].
SOURCE: Rules and Regulations Promulgated for the Administration of the Illinois Pharmacy
Practice Act, effective August 20, 1975; amended March 8, 1977; amended at 4 Ill. Reg. 1234,
effective July 11, 1980; amended at 5 Ill. Reg. 2997, effective March 11, 1981; codified at 5 Ill.
Reg. 11049; emergency amendment at 6 Ill. Reg. 916, effective January 6, 1982, for a maximum
of 150 days; amended at 6 Ill. Reg. 7448, effective June 15, 1982; amended at 7 Ill. Reg. 6496,
effective June 30, 1983; amended at 9 Ill. Reg. 16918, effective October 23, 1985; amended at
10 Ill. Reg. 21913, effective December 17, 1986; transferred from Chapter I, 68 Ill. Adm. Code
330 (Department of Registration and Education) to Chapter VII, 68 Ill. Adm. Code 1330
(Department of Professional Regulation) pursuant to P.A. 85-225, effective January 1, 1988, at
12 Ill. Reg. 2957; amended at 12 Ill. Reg. 17394, effective October 14, 1988; amended at 16 Ill.
Reg. 19811, effective December 7, 1992; amended at 21 Ill. Reg. 12600, effective August 29,
1997; amended at 22 Ill. Reg. 21959, effective December 1, 1998; amended at 23 Ill. Reg.
14131, effective November 18, 1999; amended at 24 Ill. Reg. 8548, effective June 9, 2000;
amended at 26 Ill. Reg. 18338, effective December 13, 2002; amended at 27 Ill. Reg. 19389,
effective December 11, 2003; emergency amendment at 29 Ill. Reg. 5586, effective April 1,
2005, for a maximum of 150 days; amended at 29 Ill. Reg. 13639, effective August 25, 2005;
amended at 30 Ill. Reg. 14267, effective August 21, 2006; amended at 30 Ill. Reg. 16930,
effective October 12, 2006; emergency amendment at 31 Ill. Reg. 16045, effective November 19,
2007, for a maximum of 150 days; amended at 32 Ill. Reg. 3262, effective February 21, 2008;
amended at 32 Ill. Reg. 7116, effective April 16, 2008; old Part repealed at 34 Ill. Reg. 6688,
effective April 29, 2010; new Part adopted at 34 Ill. Reg. 6690, effective April 29, 2010;
amended at 39 Ill. Reg. 6267, effective April 23, 2015; amended at 41 Ill. Reg. 10643, effective
August 18, 2017; amended at 42 Ill. Reg. ______, effective ____________.
SUBPART E: TYPES OF PHARMACIES
Section 1330.510 Telepharmacy
a) Telepharmacy shall be limited to the types of operations described in this Section.
Each site where such operations occur shall be a separately licensed pharmacy.
ILLINOIS REGISTER 15135
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
Home pharmacies that are located outside of Illinois must be licensed as a
nonresident pharmacy. Nonresident pharmacies shall abide by all Illinois laws and
rules when filling prescriptions for Illinois residents, except that the dispensing
pharmacist and the pharmacist-in-charge shall not be required to be licensed in
Illinois, except as otherwise provided in this Part.
b) Remote Dispensing Site
1) Written prescriptions presented to the remote dispensing site shall be
scanned into the electronic data processing equipment to ensure initial
dispensing and each refill and the original prescription may be viewed on
the monitor at both the remote dispensing site and home pharmacy site.
Unless otherwise provided by federal law, allAll written prescriptions
shall be delivered to the home pharmacy for filing within 72 hours.
Records shall be maintained at the home pharmacy in files separate from
the home pharmacy files.
2) A remote site is considered to be under the supervision of the pharmacist-
in-charge of the home pharmacy.
3) The remote site shall use its home pharmacy and pharmacy management
system.
A) The system shall assign consecutive prescription numbers.
B) All records must be maintained at the home pharmacy.
C) Prescriptions dispensed at the remote site shall be distinguishable
from those dispensed from the home pharmacy.
D) Daily reports must be separated for the home and remote site.
4) A pharmacist at the home pharmacy must verify each prescription before
it leaves the remote site.
A) Pharmacist and pharmacy technician initials or unique identifiers
must appear on the prescription record and the prescription label.
ILLINOIS REGISTER 15136
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
B) A pharmacist shall electronically compare via video link the stock
bottle, drug dispensed, the strength and its beyond use date. The
entire label must be checked for accuracy on the video link.
C) The remote dispensing site shall utilize a barcode system that
prints the barcode of the stock bottle on the label of the dispensed
drug. If the stock bottle does not have a barcode, the pharmacy
shall create one. The technician shall scan both the stock bottle
and the label of the dispensed drug to verify that the drug
dispensed is the same as the drug in the stock bottle for each
prescription dispensed.
D) A pharmacy may utilize a different electronic verification system
that accomplishes the same purpose after review and approval of
the Division.
5) Counseling must be done by a pharmacist via video link and audio link
before the drug or medical device is released. The pharmacist providing
counseling, pursuant to this subsection, must be employed or contracted
by the home pharmacy or by a pharmacy contracted with the home
pharmacy and have access to all relevant patient information
maintainedmaintined by the home pharmacy.
6) A pharmacist-in-charge or his or her designated pharmacist must complete
monthly inspections of the remote site. Inspection criteria must be
included in the policies and procedures for the site. The inspection report
must be available on site for pharmacy investigator inspection.
7) Controlled substances shall be kept at the remote site in accordance with
the Act and this Part. All records must be stored at the home pharmacy
and at the remote site.
8) There shall be a working computer link, video link and audio link to a
pharmacist at a home pharmacy whenever the prescription area is open to
the public. The communication link must be checked daily and the remote
site pharmacy must be closed if the link malfunctions, unless a pharmacist
is physically present at the remote site.
ILLINOIS REGISTER 15137
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
A) The pharmacy technician located at the remote dispensing site
must have one year of experience and be registered as a certified
pharmacy technician, or be a student pharmacist.
B) New prescriptions received at the remote dispensing site may be
entered into the remote computer system with all verification,
interaction, checking and profile review by the pharmacist at the
home pharmacy.
C) Each pharmacist at the home pharmacy may electronically
supervise no more than 3 remote sites that are simultaneously
open.
9) The facility must have a sign clearly identifying it as a remote dispensing
site.
10) Security of filled prescriptions must be maintained by storing them in a
separate lock drawer or cabinet.
11) The facility shall have an area for patient consultation, exclusive of any
waiting area.
c) Remote Consultation Site
1) These sites have no prescription inventory.
2) Only filled prescriptions, filled at the home pharmacy, with final patient
labeling attached are allowed at these sites.
3) These sites must be staffed with a pharmacy technician or certified
pharmacy technician who has the knowledge necessary to use computer
audio/video link for dispensing and consultation to occur. Pharmacist and
pharmacy technician initials or unique identifiers must appear on the
prescription record and the prescription label.
4) Written prescriptions may be received at a remote consultation site. All
written prescriptions presented at a remote consultation site shall be
delivered to the home pharmacy within 72 hours.
ILLINOIS REGISTER 15138
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
5) Security of filled prescriptions must be maintained by storing them in a
separate lock drawer or cabinet.
6) Recordkeeping shall be conducted by the pharmacist (time/date) when
dispensing and counseling occurred.
7) The facility shall have a room for patient consultation exclusive of any
waiting area.
8) The facility must have a sign clearly identifying it as a remote consultation
site.
d) Automated Pharmacy Systems (Section 22(b) of the Act)
1) Remote Automated Pharmacy Systems (RAPS)
A) These devices shall maintain a prescription drug inventory that is
controlled electronically by the home pharmacy or, when operated
by a pharmacy contracted with the home pharmacy, by the
contracted pharmacy, which shall be utilized to dispense patient
specific prescriptions.
B) These systems shall have prescription inventory, which must be
secured in an automated pharmacy system and electronically
connected to and controlled by the home pharmacy.
C) A pharmacist must approve all the prescription orders before they
are released from the RAPS.
D) Dispensing and counseling are performed by a pharmacist
employed or contracted by the home pharmacy via audio and video
link.
E) All filled prescription must have a label that meets the
requirements of the Act attached to the final drug container.
F) The pharmacist-in-charge of the home pharmacy, or a designated
registrant, shall conduct and complete monthly inspections of the
RAPS. Inspection criteria must be included in the policies and
ILLINOIS REGISTER 15139
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
procedures for the site. The report must be available to the
pharmacy investigators when requested.
G) The RAPS must be licensed with the Division as an automated
pharmacy system and will be subject to random inspection by
pharmacy investigators. Notwithstanding that the RAPS shall
possess a license, the home pharmacy shall remain responsible for
inventory control and billing. For purposes of random inspections,
a pharmacist with access to the system must be available at the site
within one hour, or as otherwise approved by the drug compliance
investigator. In the event the Chief Pharmacy Coordinator
determines that the RAPS poses a significant risk of patient harm,
the RAPS must be disabled until such time as the pharmacist with
access to the system is available to the site.
H) Medication dispensed at the automated pharmacy system site may
only be packaged by a licensed manufacturer or repackager, or
prepackaged by a licensed pharmacy in compliance with this
Section. Prepackaging must occur at the home pharmacy, a
pharmacy sharing common ownership with the home pharmacy, or
a pharmacy that has contracted with the home pharmacy to
perform prepackaging services. The following requirements shall
apply whenever medications are prepackaged by a pharmacy other
than the home pharmacy:
i) The prepackaging pharmacy shall be licensed in Illinois as
a resident or nonresident pharmacy.
ii) The prepackaging pharmacy shall share a common
database with the home pharmacy, or have in place an
electronic or manual process to ensure that both pharmacies
have access to records to verify the identity, lot numbers
and expiration dates of the prepackaged medications
stocked in the RAPS.
iii) The prepackaging pharmacy shall maintain appropriate
records to identify the responsible pharmacist who verified
the accuracy of the prepackaged medication.
ILLINOIS REGISTER 15140
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
I) Written prescriptions may be received at an RAPS. All written
prescriptions presented to an RAPS shall be scanned utilizing
imaging technology that permits the reviewing pharmacist to
determine its authenticity. The sufficiency of the technology shall
be determined by the Department. If sufficient technology is not
used, the written prescriptions must be delivered to the home
pharmacy and reviewed by a pharmacist prior to being dispensed
to the patient.
2) Kiosk
A) A kiosk is a device that maintains individual patient prescription
drugs that were verified and labeled at the home pharmacy.
B) A home pharmacy may only use the kiosk with prior approval of a
patient.
C) A kiosk located on the same premises or campus of the home
pharmacy shall operate under the same license as the home
pharmacy. However, a kiosk must be licensed with the Division if
it is not so located.
D) A kiosk shall:
i) When located on the same premises or campus as the
pharmacy, inform a patient, if he or she is using the device
when the pharmacy is open, that the patient may address
questions and concerns regarding the prescription to a
pharmacist at the pharmacy;
ii) When not located on the same premises or campus as the
pharmacy, inform a patient, if he is using the device when
the pharmacy is closed, that he or she may immediately
direct any questions and concerns regarding the
prescription to a licensed pharmacist via a pharmacy
provided audio/video link;
iii) Inform a patient that a prescription is not available to be
delivered by the device if the pharmacist has determined
ILLINOIS REGISTER 15141
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
that he or she desires to counsel the patient in person
regarding the prescription.
3) A pharmacy may use an automated pharmacy system to deliver
prescriptions to a patient when the device:
A) Is secured against a wall or floor;
B) Provides a method to identify the patient and delivers the
prescription only to that patient or the patient's authorized agent;
C) Has adequate security systems and procedures to prevent
unauthorized access, to comply with federal and State regulations,
and to maintain patient confidentiality;
D) Records the time and date that the patient removed the prescription
from the system.
4) A licensed automated pharmacy system shall not be utilized by
prescribers. Nothing in this Section shall prevent a prescriber from
utilizing an automated pharmacy system in connection with his or her own
dispensing. However, a prescriber may not utilize or access an automated
pharmacy system licensed pursuant to this Section.
e) All pharmacists performing services in support of a remote dispensing site,
remote consultation site, kiosk, or RAPS must display a copy or electronic image
of their licenses at the remote site where they provide services, or shall otherwise
make their license visible to the patient, and be licensed in this State, unless
employed by a pharmacy licensed in Illinois as a nonresident pharmacy, in which
case, the pharmacist providing the services shall hold an active license as a
pharmacist in the state in which the nonresident pharmacy is located and only the
pharmacist-in-charge of the remote site must be licensed in Illinois.
f) Each remote site must display a sign, easily viewable by the customer, that states:
1) The facility is a telepharmacy supervised by a pharmacist located at
(address); and
ILLINOIS REGISTER 15142
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
2) The pharmacist is required to talk to you, over an audio/visual link, each
time you pick up a prescription.
g) No remote site may be open when the home pharmacy is closed, unless a
pharmacist employed or contracted by the home pharmacy, or by a pharmacy
contracted with the home pharmacy, is present at the remote site or is remotely
providing supervision and consultation as required under this Section.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
SUBPART F: PHARMACY STANDARDS
Section 1330.640 Pharmaceutical Compounding Standards
All pharmaceutical compounding standards, both sterile and nonsterile, shall be governed by the
USP-NF, as set forth in the current edition of the United States Pharmacopoeia (USP)
Compounding Compendium, with the exception of USP Chapter <800> as it pertains to the
handling of hazardous drugs in health care settings.The minimum standards and technical
equipment considered adequate for compounding drugs shall include:
a) A pharmacy may only dispense compounded drugs pursuant to a valid patient-
specific prescription, except as provided in this SectionA storage area separate for
materials used in compounding.
b) "Office use" means the administration of a non-patient specific compounded drug
to a patient by a practitioner in the practitioner's office or by the practitioner in a
health care facility or treatment setting, including a hospital, ambulatory surgical
center or pharmacy. "Office use" does not include a pharmacy's delivery of a
compounded drug to a prescribing practitioner's office pursuant to a valid patient-
specific prescriptionScales and balances for the compounding done in the
pharmacy.
c) Sterile compounding for office use is prohibited unless the pharmacy is in full
compliance with 21 USC 353b, including registration as an outsourcing facility
and a wholesale drug distributor pursuant to the Wholesale Drug Distribution
Licensing Act. However, a sterile compounded drug may be delivered to the
prescribing practitioner's office for administration to the patient for whom the
drug was prescribed and compoundedAn area of the pharmacy used for
compounding activities.
ILLINOIS REGISTER 15143
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
d) A pharmacist may dispense and deliver a reasonable quantity of a nonsterile
compounded drug to a practitioner for office use by the practitioner in accordance
with this Section, provided:A heating apparatus.
1) The quantity of compounded drug does not exceed the amount a
practitioner anticipates may be used in the practitioner's office before the
expiration of the beyond use date of the drug;
2) The quantity of compounded drug is reasonable considering the intended
use of the compounded drug and the nature of the practitioner's practice;
3) The quantity of compounded drug for any practitioner, and all
practitioners as a whole, is not greater than an amount the pharmacy is
capable of compounding in compliance with pharmaceutical standards for
identity, strength, quality and purity of the compounded drug that are
consistent with United States Pharmacopoeia guidelines;
4) The compounded drug may only be administered to patients and may not
be dispensed to patients or sold to any other person or entity;
5) The pharmacy shall maintain readily retrievable records of all
compounded drugs ordered by practitioners for office use. The records
must be maintained for a minimum of 5 years and shall include:
A) The name, address and phone number of the practitioner ordering
the compounded drug for office use and the date of the order;
B) The name, strength and quantity of the compounded drug
provided, including the number of containers and quantity in each;
C) The date the drug was compounded;
D) The date the compounded drug was provided to the practitioner;
and
E) The lot number and beyond-use date.
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NOTICE OF PROPOSED AMENDMENTS
6) The pharmacy shall affix a label to any compounded drug that is provided
for office use. The label shall include:
A) The name, address and phone number of the compounding
pharmacy;
B) The name and strength of the preparation and a list of active
ingredients and strengths. If the number of active ingredients
would prohibit proper labeling, then the pharmacist shall provide
to the practitioner a complete list of the active ingredients and
strengths (including those on the label);
C) The pharmacy's lot number and beyond-use date;
D) The quantity or amount in the container;
E) The appropriate ancillary instructions, such as storage instructions,
cautionary statements, or hazardous drug warning labels when
appropriate; and
F) The statement "For Office Use Only – Not for Resale".
7) Sale of compounded drugs for office use may not exceed 5% of the annual
dollar purchases of prescription drugs by the pharmacy as provided in 68
Ill. Adm. Code 1510.10.
e) All pharmacies that compound drugs must maintain, at a minimum, the following
standards and equipment:A logbook or record keeping system to track each
compounded prescription and the components used.
1) A separate storage area for materials used in compounding.
2) Scales with sufficient accuracy for the products to be compounded.
3) An area of the pharmacy used exclusively for sterile compounding
activities, if a pharmacy compounds sterile products.
4) A logbook or record keeping system to track each compounded drug and
the lot number and beyond-use date of components used. This applies to
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
each nonsterile compounded drug and each sterile compounded drug with
a beyond-use date greater than 24 hours.
5) The current edition of the USP Compounding Compendium. This
publication may be in electronic format and/or available via the internet.
6) If engaged in veterinary drug compounding, "Plumb's Veterinary Drug
Handbook" or any other similar publication approved by the Division.
7) Consumable materials, as appropriate to the pharmacy services provided at
that specific pharmacy, such as filter paper, powder papers, empty
capsules, ointment jars, bottles, vials, safety closures, powder boxes,
labels and distilled water.
8) In addition to labeling requirements of the Act and this Part, compounded
preparations dispensed to patients shall have on the label or an auxiliary
label the following: "This prescription was specifically compounded in
our pharmacy for you at the direction of your prescriber."
9) Sales of compounded drugs to other pharmacies not under common
ownership, or to clinics, hospitals or manufacturers, other than as provided
in subsection (d), are not allowed, except for sales provided by pharmacies
contracted to provide centralized prescription filling services pursuant to
Section 25.5 of the Act, including compounding in anticipation of
receiving a prescription or order based on routine, readily observed
dispensing patterns.
f) For sterile compounding, a pharmacy must comply with the following additional
requirements:A book or reference containing formulas with directions for
compounding. The books and references may be in electronic format and/or
available via the Internet.
1) The following current resource materials and texts shall be maintained in
the pharmacy, which may be in electronic format and/or available via the
internet:
A) Copies of the Act and this Part, the Illinois Controlled Substances
Act [720 ILCS 570] and 77 Ill. Adm. Code 3100, 21 CFR (Food
ILLINOIS REGISTER 15146
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
and Drugs), and the Illinois Hypodermic Syringes and Needles Act
[720 ILCS 635];
B) One compatibility reference, such as:
i) ASHP's Handbook on Injectable Drugs;
ii) King's Guide to Parenteral Admixtures; or
iii) Any other Division approved publication;
C) A file or reference on extended (more than 24 hours) stability data
given to finished preparations.
2) Staffing. A pharmacist shall be accessible at all times to enable each
licensed facility to respond to patients' and health professionals' questions
and needs. A 24-hour telephone number shall be included on the
prescription label of compounded drugs and medication infusion devices if
used off site.
3) Drug Distribution and Control
A) Patient Profile or Medication Record System. A pharmacy
generated patient profile or medication record system shall be
maintained, in addition to the prescription file. The patient profile
or medication record system shall contain, at a minimum:
i) Patient's full name;
ii) Date of birth or age;
iii) Gender;
iv) Compounded sterile preparations dispensed;
v) Date dispensed, if off site;
vi) Date compounded;
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
vii) Drug content and quantity;
viii) Patient directions, if preparation is administered off site;
ix) Other drugs or supplements the patient is receiving, if
provided by the patient or his or her agent; and
x) Known drug sensitivities and allergies to drugs and foods.
B) Labeling. Each compounded sterile preparation dispensed to
patients shall be labeled with the following information, using a
permanent label:
i) Name, address and telephone number of the licensed
pharmacy, if not used within the facility;
ii) Date dispensed and identifying number, if used off site;
iii) Patient's full name and room number, if applicable;
iv) Name of each drug component, strength and amount;
v) Directions for use and/or infusion rate, if used off site;
vi) Prescriber's full name, if used off site;
vii) Required controlled substances transfer warnings, when
applicable;
viii) Beyond-use date, and time if appropriate;
ix) If used offsite, identity of compounding and dispensing
pharmacist or other authorized individual; and
x) Auxiliary label with storage requirements, if applicable.
C) The pharmacist-in-charge shall ensure that records are maintained
for 5 years and are readily retrievable and in a format that provides
enforcement agents an accurate and comprehensive method of
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
monitoring distribution via an audit trail. The records shall include
at least the following information:
i) Patient profile;
ii) Medication record system; and
iii) Purchase records.
4) Delivery Service. The pharmacist-in-charge shall assure the
environmental control of all preparations shipped or delivered off site.
Therefore, any compounded, sterile pharmaceutical must be shipped or
delivered to a patient in temperature controlled (as defined by USP
Standards) delivery containers.
5) Emergency Medications. Pharmacies that dispense compounded sterile
preparations to patients in facilities off site or for administration in the
patient's residence shall stock supplies and medications appropriate for
treatment of allergic or other common adverse effects, to be dispensed
upon the prescription or order of an authorized prescriber.
g) Notwithstanding any other provision of this Section, a pharmacy may compound
sterile and nonsterile products for office use by a veterinarian. The veterinarian
may dispense up to a 7-day supply of a veterinary drug product that is a
compounded preparation, initially intended for office use, to a client with whom
the veterinarian has a veterinarian-client-patient relationship, as defined in the
Veterinary Medicine and Surgery Practice Act of 2004 [225 ILCS 115]. If the
compounded veterinary drug product is intended for more than a 7-day supply,
then an animal-patient-specific prescription is required to be issued by the
prescribing veterinarianThe pharmacy operations manual shall contain the
policies and procedures pertinent to the level of complexity and the size of the
compounding operations of the practice at that specific pharmacy. Electronic
versions are acceptable.
h) It shall be the ongoing responsibility of the pharmacist-in-charge to ensure that all
pharmacists, student pharmacists, registered certified pharmacy technicians, and
registered pharmacy technicians who participate in compounding activities are
adequately trained for the type of compounding in which they participate.
Documentation of this training shall be maintained by the pharmacy at all
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
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timesConsumable materials, as appropriate to the pharmacy services provided at
that specific pharmacy, such as filter paper, powder papers, empty capsules,
ointment jars, bottles, vials, safety closures, powder boxes, labels and distilled
water.
i) Any pharmacy that, after initial licensure, chooses to add sterile compounding to
the services it provides must be inspected by, and the compounding area must be
approved by, the Department. It shall be the responsibility of the pharmacist-in-
charge to notify the Department and arrange for the inspectionThe pharmacy may
compound drug products to be used by practitioners in their office for
administration to patients.
j) For the purposes of this Section, "off-site" for all pharmacies, other than an onsite
institutional pharmacy, means outside the licensed premises of a pharmacy. "Off-
site" for an onsite institutional pharmacy means outside the institution within
which the pharmacy is locatedSales of compounded drugs to other pharmacies not
under common ownership, or to clinics, hospitals or manufacturers are not
allowed, except for sales provided by pharmacies contracted to provide
centralized prescription filling services pursuant to Section 25.5 of the Act,
including compounding in anticipation of receiving a prescription or order based
on routine, readily observed dispensing patterns.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 1330.660 Pharmacist-in-Charge
a) No pharmacy shall be granted a license without a pharmacist being designated on
the pharmacy license as pharmacist-in-charge.
b) A pharmacy shall have one pharmacist-in-charge who shall be routinely and
actively involved in the operation of the pharmacy.
c) A pharmacist may be the pharmacist-in-charge for more than one pharmacy;
however, the pharmacist-in-charge must work an average of at least 8 hours per
week at each location where he or she is the pharmacist-in-charge. If a
pharmacist in charge is on a leave of more than 90 days, a new pharmacist-in-
charge must be designated.
d) The responsibilities of the pharmacist-in-charge shall include:
ILLINOIS REGISTER 15150
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
1) Supervision of all activities of all employees as they relate to the practice
of pharmacy;
2) Establishment and supervision of the method and manner for storage and
safekeeping of pharmaceuticals, including maintenance of security
provisions to be used when the pharmacy is closed (see Section 1330.600);
and
3) Establishment and supervision of the recordkeeping system for the
purchase, sale, delivery, possession, storage and safekeeping of drugs.
e) The operations of the pharmacy and the establishment and maintenance of
security provisions are the dual responsibility of the pharmacist-in-charge and the
owner of the pharmacy.
f) Within 30 days after a change of a pharmacist-in-charge, the Division shall be
notified in writing by the departing pharmacist-in-charge.
g) In addition to notifying the Division within 30 days, the departing pharmacist-in-
charge shall, on the effective date of the change, inventory the following
controlled substances:
1) All Schedule II drugs, as defined in the Illinois Controlled Substances Act,
by actual physical count; and
2) All other scheduled drugs, as defined in the Illinois Controlled Substances
Act, by estimated count.
h) The inventory described in subsection (g) shall constitute, for the purpose of this
Section, the closing inventory of the departing pharmacist-in-charge and the
initial inventory of the incoming pharmacist-in-charge. This inventory record
shall be preserved in the pharmacy for a period of 5 years. An affidavit attesting
to the completion of the inventory and preservation of the inventory record,
bearing the date of the inventory and the name and signatures of the departing and
the incoming pharmacist-in-charge, shall be submitted to the Division at its
principal office within 30 days after the change in the pharmacist-in-charge.
ILLINOIS REGISTER 15151
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
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i) In the event the departing pharmacist-in-charge refuses to complete the inventory
as provided for in subsection (g), or that pharmacist-in-charge is incapacitated or
deceased, the initial inventory for the incoming pharmacist-in-charge shall be the
inventory as completed by the incoming pharmacist-in-charge. The incoming
pharmacist-in-charge will not be responsible for any discrepancy that may exist in
the inventory prior to his or her initial inventory.
j) When the accuracy, relevance or completeness of any submitted documentation is
questioned by the Division, because of a lack of information, discrepancies or
conflicts in information given, or a need for clarification, the registrant will be
required to:
1) Provide information as may be necessary; and/or
2) Appear for an interview before the Board to explain the relevance or
sufficiency, clarify information given, or clear up any discrepancies or
conflict of information.
k) Records shall be retained as provided for in Section 18 of the Act. Invoices for all
legend drugs shall be maintained for a period of 5 years either on site or at a
central location where records are readily retrievable. Invoices shall be
maintained on site for at least one year from the date of the invoice.
l) Whenever a pharmacy intends on changing or adding to the type of pharmacy
services it offers, as listed in Sections 1330.500, 1330.510, 1330.520, 1330.530,
1330.540, and 1330.560 and 1330.640, it shall notify the Division no less than 30
days prior to the change or addition.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 1330.670 Compounded Sterile Preparation Standards (Repealed)
a) This Section sets forth standards for pharmacies whose practice includes the
preparation, labeling and distribution of compounded sterile preparations pursuant
to prescriptions or medication orders, as defined in the Act. These activities may
include, but are not limited to:
1) Sterile preparation of parenteral therapy and parenteral nutrition;
ILLINOIS REGISTER 15152
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
2) Sterile preparations of cytotoxic or antineoplastic agents; and
3) Other sterile preparations to be used topically or internally by humans or
animals.
b) Definitions
1) "Barrier Isolation Chamber" means an apparatus designed to provide a
Class 5, 6 or 7 environment, as spelled out in ISO (International
Organization for Standardization) 14644-1, for preparation of sterile
preparations using solid walls rather than air movement (laminar air flow)
to create a critical zone for preparation handling, a high efficiency
particulate air (HEPA) filtration system that conditions the air flowing
through the unit to remove initial particles and particles generated within
the controlled environment, and a means by which preparations are
introduced and people interact with the preparation being prepared within
the unit.
2) "Biological Safety Cabinet" or "BSC" means a containment unit suitable
for the preparation of low to moderate risk agents when there is a need for
protection of the preparation, personnel and environment, according to
ISO 14644-1.
3) "Compounded Sterile Preparation" or "CSP" means a sterile
pharmaceutical that has been prepared by a pharmacist, or under the
supervision of a pharmacist. It shall be a preparation prepared for or in
anticipation of a specific patient prescription or medication order issued by
a prescribing practitioner. The preparation may include commercially
available dosage forms that may need to be altered by the pharmacist to
meet a specific patient's need.
4) "Cytotoxic" means a pharmaceutical that has the capability of killing
living cells. These agents shall include, but are not limited to, agents
classified as cancer chemotherapeutic, carcinogenic, mutagenic and
antineoplastic.
5) "Laminar Airflow Hood" means an apparatus designed to provide a Class
5, 6 or 7 environment, as spelled out in ISO 14644-1 for preparation of
sterile products using air circulation in a defined direction that passes
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
through a HEPA filter to remove the initial particles and particles
generated within the controlled environment.
6) "Parenteral" means sterile preparations of drugs for injection through one
or more layers of the skin.
7) "Terminal" means a patient whose medical condition indicates his or her
life expectancy to be 6 months or less.
c) Physical Requirements of Pharmacies Preparing Compounded Sterile
Preparations
1) The pharmacy shall have a designated area for preparing compounded
sterile preparations. The area shall be designed to minimize outside traffic
and airflow disturbances from activity within the facility. It shall be of
sufficient size to accommodate a laminar airflow hood (LAF), barrier
isolation chamber or BSC and to provide for the proper storage of drugs
and supplies under appropriate conditions of temperature, light, moisture,
sanitation, ventilation and security. It shall be ventilated in a manner so as
not to interfere with the equipment specified in this subsection (c)(1).
2) The licensed pharmacy preparing compounded sterile preparations shall
have the following:
A) LAF workstation
i) LAF shall be certified annually in accordance with ISO
14644-1;
ii) In the event the preparation apparatus is moved from its site
of certification, recertification shall occur prior to
resumption of use for compounding sterile preparations;
iii) Prefilters shall be inspected, replaced or cleaned per
manufacturer specifications monthly and documentation of
this maintained;
B) Sink with hot and cold running water, which is convenient to, but
apart from, the compounding area;
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
C) National Institute for Occupational Safety and Health (NIOSH)
approved disposal containers for used needles, syringes, etc., and,
if applicable, cytotoxic waste from the preparation of
chemotherapy agents;
D) Biohazard cabinetry for environment control when cytotoxic
compounded sterile preparations are prepared;
E) Refrigerator and/or freezer with a thermometer or temperature
recording device; and
F) Temperature controlled containers for off site deliveries.
3) The following current resource materials and texts shall be maintained in
the pharmacy:
A) American Hospital Formulary Service;
B) Copies of the Act and this Part, the Illinois Controlled Substances
Act and 77 Ill. Adm. Code 3100, 21 CFR and the Illinois
Hypodermic Syringes and Needles Act [720 ILCS 635];
C) One compatibility reference such as:
i) Trissel's Handbook on Injectable Drugs;
ii) King's Guide to Parenteral Admixtures; or
iii) Any other Division approved publication;
D) A file or reference on extended (more than 24 hours) stability data
given to finished preparations.
d) Staffing. A pharmacist shall be accessible at all times at each licensed facility to
respond to patients' and health professionals' questions and needs. A 24-hour
telephone number will be included on all labeling of compounded medication and
medication infusion devices if used off site.
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
e) Drug Distribution and Control
1) Patient Profile or Medication Record System. A pharmacy generated
patient profile or medication record system shall be maintained in addition
to the prescription file. The patient profile or medication record system
shall contain, at a minimum:
A) Patient's full name;
B) Date of birth or age;
C) Gender;
D) Compounded sterile preparations dispensed;
E) Date dispensed, if off site;
F) Drug content and quantity;
G) Patient directions, if preparation being administered off site;
H) Identifying number;
I) Identification of dispensing pharmacist and, if applicable,
pharmacy technician;
J) Other drugs or supplements the patient is receiving, if provided by
the patient or his or her agent;
K) Known drug sensitivities and allergies to drugs and foods;
L) Diagnosis; and
M) Lot numbers of components or individual medicine if the
compounded sterile preparation is not used within 48 hours after
preparation.
2) Labeling. Each compounded sterile preparation dispensed to patients shall
be labeled with the following information, using a permanent label:
ILLINOIS REGISTER 15156
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
A) Name, address and telephone number of the licensed pharmacy, if
not used within facility;
B) Administration date and identifying number if used on site, date
dispensed, and identifying number if used off site;
C) Patient's full name and room number, if applicable;
D) Name of each drug, strength and amount;
E) Directions for use and/or infusion rate if used off site;
F) Prescriber's full name if used off site;
G) Required controlled substances transfer warnings, when
applicable;
H) Beyond use date and time;
I) Identity of pharmacist compounding and dispensing, or other
authorized individual; and
J) Auxiliary labels storage requirements, if applicable.
3) The pharmacist-in-charge shall ensure that records are maintained for 5
years and are readily retrievable and in a format that provides enforcement
agents an accurate and comprehensive method of monitoring distribution
via an audit trail. The records shall include at least the following
information:
A) Patient profile;
B) Medication record system;
C) Purchase records; and
D) Lot numbers of the components used in compounding sterile
prescriptions/orders traceable to a specific patient, if not included
ILLINOIS REGISTER 15157
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
on patient profile and if the preparation is not utilized within 48
hours after preparation.
f) Delivery Service. The pharmacist-in-charge shall assure the environmental
control of all preparations shipped or delivered off site. Therefore, any
compounded, sterile pharmaceutical must be shipped or delivered to a patient in
temperature controlled (as defined by USP Standards) delivery containers.
g) Cytotoxic Drugs. The following additional requirements are necessary for those
licensed pharmacies that prepare cytotoxic drugs:
1) Safety and containment techniques or devices for compounding cytotoxic
drugs shall be used.
2) Disposal of cytotoxic waste shall comply with all applicable local, State
and federal requirements.
3) Prepared doses of cytotoxic drugs shall be dispensed, labeled with proper
precautions inside and outside, and shipped in a manner to minimize the
risk of accidental rupture of the primary container.
4) The pharmacy must have as a reference Safe Handling of Hazardous
Drugs Video Training Program and Workbook (American Society of
Health-System Pharmacists (ASHP), 7272 Wisconsin Avenue, Bethesda
MD 20814, (301)657-3000, http://www.ashp.org).
h) Emergency Medications. Pharmacies that dispense compounded sterile
preparations to patients in facilities off site or in the patient's residence shall stock
supplies and medications appropriate for treatment of allergic or other common
adverse effects, to be dispensed upon the prescription or order of an authorized
prescriber.
(Source: Repealed at 42 Ill. Reg. ______, effective ____________)
Section 1330.680 Automated Dispensing and Storage Systems
a) This Section sets forth standards for pharmacies whose practice includes the use
of automated dispensing and storage systems. Automated dispensing and storage
systems shall not be used in nuclear pharmacies.
ILLINOIS REGISTER 15158
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
b) Automated Dispensing and Storage Systems
1) Documentation as to type of equipment, serial numbers, content, policies
and procedures, and locations shall be maintained on-site in the pharmacy
for review by the Division. Documentation shall include, but not be
limited to:
A) Name and address of the pharmacy or facility where the automated
dispensing and storage system is operational;
B) Manufacturer's name and model;
C) Quality assurance policy and procedures to determine continued
appropriate use and performance of the automated device; and
D) Policies and procedures for system operation, safety, security,
accuracy, patient confidentiality, access, controlled substances,
data retention or archival, definitions, downtime procedures,
emergency or first dose procedures, inspection, installation
requirements, maintenance, medication security, quality assurance,
medication inventory, staff education and training, system set-up
and malfunction.
2) Automated dispensing and storage systems shall be used only in settings
that ensure medication orders and prescriptions are reviewed by a
pharmacist in accordance with established policies and procedures and
good pharmacy practice. This provision shall not apply when used as an
after-hoursafter hours cabinet or emergency kit as provided in Section
1330.530(e).
3) Automated dispensing and storage systems shall have adequate security
systems and procedures, evidenced by written pharmacy policies and
procedures, to:
A) Prevent unauthorized access or use;
B) Comply with any applicable federal and State regulations; and
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
C) Maintain patient confidentiality.
4) Records and/or electronic data kept by automated dispensing and storage
systems shall meet the following requirements:
A) All events involving access to the contents of the automated
dispensing and storage systems must be recorded electronically;
B) Records must be maintained by the pharmacy and must be readily
available to the Division. The records shall include:
i) Identity of system accessed;
ii) Identification of the individual accessing the system;
iii) Type of transaction;
iv) Name, strength, dosage form and quantity of the drug
accessed;
v) Name of the patient for whom the drug was ordered;
vi) Identification of the registrants stocking or restocking and
the pharmacist checking for the accuracy of the
medications to be stocked or restocked in the automated
dispensing and storage system; and
vii) Such additional information as the pharmacist-in-charge
may deem necessary.
5) The stocking or restocking of all medications in the automated dispensing
and storage systems shall be accomplished by registrants under the Act or,
alternatively, the pharmacist-in-charge may designate a facility's
appropriately trained facility employee that is licensed pursuant to the
Nurse Practice Act [225 ILCS 65] or Physician Assistant Practice Act of
1987 [225 ILCS 95] to perform the stocking or restocking. A pharmacist-
in-charge who delegates stocking/restocking in this manner shall remain
responsible for ensuring that the automated dispensing and storage system
ILLINOIS REGISTER 15160
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
is stocked/restocked accurately and in accordance with established, written
pharmacy policies and procedures.
6) All medications stored in the automated dispensing and storage systems
shall be packaged as a unit of use for single patient use (e.g., unit dose
tab/cap, tube of ointment, inhaler, etc.) and labeled as specified in this
subsection (b)(6):
A) Sterile solutions to which a drug or diluent has been added, or that
are not in their original manufacturer's packaging, shall contain the
following information on the outer label:
i) Name, concentration and volume of the base sterile
solution;
ii) Name and strength of drugs or diluent added;
iii) Date and beyond use date of the admixture. The beyond
use date, unless otherwise specified in the individual
compendia monograph, shall be no later than the beyond
use date on the manufacturer's container or one year from
the date the drug is repackaged; and
iv) Reference code to identify source and lot number of drugs
or diluent added.
B) Non-parenterals repackaged for future use shall be identified with
the following information:
i) Brand and/or generic name;
ii) Strength (if applicable);
iii) Beyond use date. Unless otherwise specified in the
individual monograph, the beyond use date shall be no later
than the beyond use date on the manufacturer's container or
one year from the date the drug is repackaged; and
iv) Reference code to identify source and lot number.
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
C) Exceptions to the "unit of use" requirements in this subsection
(b)(6) are as follows:
i) Injectable medications stored in their original multi-dose
vial (e.g., insulin, heparin) when the medication may be
withdrawn into a syringe or other delivery device for single
patient use; or
ii) Over-the-counter (OTC) products stored in their original
multi-dose container (e.g., antacids, analgesics) when the
medication may be withdrawn and placed into an
appropriate container for single patient use.
D) The pharmacy providing services to the University of Illinois
College of Veterinary Medicine shall be exempt from the
requirement that all medications stored in the automated
dispensing and storage systems be packaged as a unit for single
patient use. This exemption is solely for dispensing medications to
animals.
7) For medication removed from the system for on-site patient
administration, the system must document the following information:
A) Name of the patient or resident;
B) Patient's or resident's unique and permanent identifier, such as
admissions number or medical records number;
C) Date and time medication was removed from the system;
D) Name, initials or other unique identifier of the person removing the
drug; and
E) Name, strength and dosage form of the drug or description of the
medical device removed. The documentation may be on paper, via
electronic media or via any other media or mechanisms as set forth
by the Act or this Part or as approved by the Division.
ILLINOIS REGISTER 15162
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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
8) The automated dispensing and storage systems shall provide a mechanism
for securing and accounting for medications once removed from and
subsequently returned to the automated dispensing and storage systems
(e.g., return bin). No medication or device shall be returned directly to the
system for immediate reissue or reuse by a non-registrant under the Act.
Medication or devices once removed shall not be reused or reissued except
for:
A) Medical devices that can be properly sanitized prior to reuse or
reissue; and
B) Medication that is dispensed and stored under conditions defined
and supervised by the pharmacist and are unopened in sealed,
intact and unaltered containers that meet the standards for light,
moisture and air permeation as defined by the current USP/NF, or
by the USP Conventions, Inc.
9) The automated dispensing and storage systems shall provide a mechanism
for securing and accounting for wasted medications or discarded
medications.
10) The quality assurance documentation for the use and performance of the
automated dispensing and storage systems shall include at least the
following:
A) Safety monitors (e.g., wrong medications removed and
administered to patient);
B) Accuracy monitors (e.g., filling errors, wrong medications
removed); and
C) Security monitors (e.g., unauthorized access, system security
breaches, controlled substance audits).
11) Errors in the use or performance of the automated dispensing and storage
systems resulting in patient hospitalization or death shall be reported to the
Division by the pharmacist-in-charge within 30 days after acquiring
knowledge of the incident.
ILLINOIS REGISTER 15163
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
12) Policy and procedures for the use of the automated dispensing and storage
systems shall include a requirement for pharmacist review of the
prescription or medication order prior to the system profiling and/or
removal of any medication from the system for immediate patient
administration. This does not apply to the following situations:
A) The system is being used as an after-hours cabinet for medication
dispensing in the absence of a pharmacist (see Section
1330.530(e)(1));
B) The system is being used in place of an emergency kit (see Section
1330.530(e)(2));
C) The system is being used to provide access to medication required
to treat the immediate needs of a patient (see Section
1330.530(e)(3)). A sufficient quantity to meet the immediate
needs of the patient may be removed until a pharmacist is on duty
and available to review the prescription or medication order. A
pharmacist shall check the orders promptly once on duty (e.g.,
floor stock system, emergency department, surgery, ambulatory
care or same day surgery, observation unit, etc.).
13) Policies and procedures for the use of the automated dispensing and
storage systems shall include the following:
A) List of medications to be stored in each system;
B) List of medications qualifying for emergency or first dose removal
without pharmacist prior review of the prescription or medication
order.
14) The pharmacist-in-charge shall maintain or have access to all records or
documentation specified in this Section for 5 years or as otherwise
required by law.
15) A copy of all pharmacy policies and procedures related to the use of an
automated dispensing and storage system shall be maintained at all
locations where the system is being used.
ILLINOIS REGISTER 15164
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
c) Duties and Responsibilities of the Pharmacist-in-Charge
1) The pharmacist-in-charge shall be responsible for:
A) Assuring that the automated dispensing and storage system is in
good working order and accurately provides the correct strength,
dosage form and quantity of the drug prescribed while maintaining
appropriate recordkeeping and security safeguards;
B) Establishment of a quality assurance program prior to
implementation of an automated dispensing and storage system
and the supervision of an ongoing quality assurance program that
monitors appropriate use and performance of the automated
dispensing and storage system, evidenced by written policies and
procedures developed by the pharmacy;
C) Providing the Division with written notice 30 days prior to the
installation of, or at the time of removal of, an automated storage
and dispensing system. The notice must include, but is not limited
to:
i) The name and address of the pharmacy;
ii) The address of the location of the automated dispensing
and storage system, if different from the address of the
pharmacy;
iii) The automated dispensing and storage system's
manufacturer and model;
iv) The pharmacist-in-charge; and
v) A written description of how the facility intends to use the
automated storage and dispensing system;
D) Determining and monitoring access to and the limits on access
(e.g., security levels) to the automated storage and dispensing
system. Access shall be defined by policies and procedures of the
pharmacy and shall comply with State and federal regulations.
ILLINOIS REGISTER 15165
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
2) Additional responsibilities of the pharmacist-in-charge or pharmacist
designated by the pharmacist-in-charge shall include:
A) Authorizing the assigning of access to, discontinuing access to, or
changing access to the system;
B) Ensuring that access to the medications complies with State and
federal regulations, as applicable; and
C) Ensuring that the automated dispensing and storage system is
stocked/restocked accurately and in accordance with established,
written pharmacy policies and procedures.
d) An automated dispensing and storage system is authorized for use in any licensed
hospital, long-term care facility, or hospice residence ("facility"). For all
nonresident pharmacies, the pharmacist-in-charge and all pharmacy personnel
who provide services while physically present at a facility located in Illinois must
be licensed in Illinois. In addition to compliance with all other provisions in this
Section, an automated dispensing and storage system shall comply with the
following:
1) Drugs in the automated dispensing and storage system are not considered
dispensed until removed from the system by authorized personnel at the
facility, after being released by the pharmacy pursuant to a prescription,
unless otherwise provided for in this Part.
2) Only the doses of medication needed for contemporaneous administration
may be removed from the automated pharmacy system at one time.
3) Automated dispensing and storage systems utilized at a facility shall
operate under the same license as the pharmacy utilizing it.
4) All records shall be maintained for a period of 5 years either at the
pharmacy providing services to the facility or a central location where
records are readily retrievable.
5) Only pharmacies under common ownership may share an automated
pharmacy system at a facility.
ILLINOIS REGISTER 15166
17
DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
NOTICE OF PROPOSED AMENDMENTS
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 15167
17
DEPARTMENT OF HUMAN SERVICES
NOTICE OF PROPOSED AMENDMENT
1) Heading of the Part: Related Program Provisions
2) Code Citation: 89 Ill. Adm. Code 117
3) Section Number: Proposed Action:
117.55 Amendment
4) Statutory Authority: Implementing Articles III, IV and VI and authorized by Section 12-
13 of the Illinois Public Aid Code [305 ILCS 5/Arts. III, IV and VI, and 12-13].
5) A Complete Description of the Subjects and Issues involved: This rulemaking revises the
time frames for submitting claims for funeral and burials. It allows claims to be
processed past the 180 days from the date of death of the decedent, or past the 90th
calendar day, for which a claim had to be returned for correction or completion.
6) Published studies or reports, along with the sources of underlying data, that were used
when composing 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? No
11) Statement of Statewide Policy Objective: This rulemaking does not create or expand a
State mandate.
12) Time, Place, and Manner in which interested persons may comment on this proposed
rulemaking: Interested persons may present their comments concerning this amendment
within 45 days after the date of this issue of the Illinois Register. All requests and
comments should be submitted in writing to:
Tracie Drew, Chief
Bureau of Administrative Rules and Procedures
Department of Human Services
100 South Grand Avenue East
Harris Building, 3rd Floor
ILLINOIS REGISTER 15168
17
DEPARTMENT OF HUMAN SERVICES
NOTICE OF PROPOSED AMENDMENT
Springfield IL 62762
217/785-9772
13) Initial Regulatory Flexibility Analysis:
A) Types of small businesses, small municipalities and not-for-profit corporations
affected: funeral homes and cemeteries
B) Reporting, bookkeeping or other procedures required for compliance: A written
explanation to support late submittal of claims/reimbursements is required.
C) Types of professional skills necessary for compliance: None
14) Regulatory agenda on which this rulemaking was summarized: This rulemaking was not
summarized on either of the two most recent regulatory agendas because it was not
anticipated by the Department when those agendas were published.
The full text of the Proposed Amendment begins on the next page:
ILLINOIS REGISTER 15169
17
DEPARTMENT OF HUMAN SERVICES
NOTICE OF PROPOSED AMENDMENT
TITLE 89: SOCIAL SERVICES
CHAPTER IV: DEPARTMENT OF HUMAN SERVICES
SUBCHAPTER b: ASSISTANCE PROGRAMS
PART 117
RELATED PROGRAM PROVISIONS
Section
117.1 Incorporation By Reference
117.10 Payee for Financial Assistance
117.11 Issuance of Cash Assistance Benefits
117.12 Client Training Brochure for the Electronic Benefits Transfer (EBT) System
117.13 Replacement of the EBT Card
117.15 Reinstatement Upon Cooperation
117.20 Replacement of Missing Warrants
117.30 Withholding of Rent (Repealed)
117.40 Recovery of Interim Assistance – Aid to the Aged, Blind or Disabled and General
Assistance (Repealed)
117.50 Funerals and Burials
117.51 Funeral Home Services
117.52 Burial Expenses
117.53 Payment to Vendor(s)
117.54 Claims for Reimbursement
117.55 Submittal of Claims
117.60 Substitute Parental Care/Supplemental Child Care – TANF and AABD
117.70 Charge for Replacement of Photo ID Cards (Repealed)
117.80 Direct Deposit of Recipients' Warrants
117.90 State Income Tax Match
117.91 New Hire Match
117.92 Electronic Finger Imaging
AUTHORITY: Implementing Articles III, IV and VI and authorized by Section 12-13 of the
Illinois Public Aid Code [305 ILCS 5/Arts. III, IV and VI, and 12-13].
SOURCE: Filed and effective December 30, 1977; amended at 2 Ill. Reg. 31, p. 68, effective
August 3, 1978; amended at 3 Ill. Reg. 38, p. 258, effective September 20, 1979; amended at 3
Ill. Reg. 41, p. 167, effective October 1, 1979; codified at 7 Ill. Reg. 5195; amended at 7 Ill. Reg.
16111, effective November 22, 1983; amended at 9 Ill. Reg. 3726, effective March 13, 1985;
amended at 9 Ill. Reg. 4526, effective March 20, 1985; amended at 9 Ill. Reg. 8733, effective
ILLINOIS REGISTER 15170
17
DEPARTMENT OF HUMAN SERVICES
NOTICE OF PROPOSED AMENDMENT
May 29, 1985; amended at 9 Ill. Reg. 10779, effective July 5, 1985; amended at 9 Ill. Reg.
16914, effective October 16, 1985; amended at 11 Ill. Reg. 4759, effective March 13, 1987;
amended at 12 Ill. Reg. 2985, effective January 13, 1988; amended at 12 Ill. Reg. 13608,
effective August 15, 1988; amended at 12 Ill. Reg. 14296, effective August 30, 1988; amended at
13 Ill. Reg. 3936, effective March 10, 1989; amended at 14 Ill. Reg. 780, effective January 1,
1990; amended at 14 Ill. Reg. 9488, effective June 1, 1990; amended at 15 Ill. Reg. 13533,
effective August 1, 1991; amended at 16 Ill. Reg. 16644, effective October 23, 1992; emergency
amendment at 17 Ill. Reg. 2368, effective February 8, 1993, for a maximum of 150 days;
amended at 17 Ill. Reg. 8191, effective May 24, 1993; amended at 18 Ill. Reg. 3746, effective
February 28, 1994; amended at 18 Ill. Reg. 7403, effective April 29, 1994; amended at 19 Ill.
Reg. 1103, effective January 26, 1995; amended at 19 Ill. Reg. 10702, effective July 7, 1995;
emergency amendment at 19 Ill. Reg. 15267, effective November 1, 1995, for a maximum of 150
days; amended at 20 Ill. Reg. 877, effective January 1, 1996; amended at 20 Ill. Reg. 5706,
effective March 30, 1996; emergency amendment at 20 Ill. Reg. 10381, effective July 23, 1996,
for a maximum of 150 days; amended at 21 Ill. Reg. 395, effective December 20, 1996; amended
at 21 Ill. Reg. 7759, effective June 4, 1997; emergency amendment at 21 Ill. Reg. 8677, effective
July 1, 1997, for a maximum of 150 days; recodified from the Department of Public Aid to the
Department of Human Services at 21 Ill. Reg. 9322; amended at 21 Ill. Reg. 15591, effective
November 26, 1997; amended at 22 Ill. Reg. 16251, effective September 1, 1998; amended at 22
Ill. Reg. 18951, effective October 1, 1998; amended at 23 Ill. Reg. 5263, effective April 19,
1999; amended at 23 Ill. Reg. 11174, effective August 27, 1999; amended at 23 Ill. Reg. 12638,
effective October 15, 1999; emergency amendment at 24 Ill. Reg. 6723, effective April 14, 2000,
for maximum of 150 days; amended at 24 Ill. Reg. 13422, effective August 18, 2000; amended at
24 Ill. Reg. 16305, effective October 17, 2000; amended at 27 Ill. Reg. 14028, effective August
7, 2003; amended at 30 Ill. Reg. 11549, effective June 20, 2006; amended at 32 Ill. Reg. 9614,
effective June 23, 2008; emergency amendment at 36 Ill. Reg. 10503, effective July 1, 2012 until
June 30, 2013; amended at 37 Ill. Reg. 1884, effective February 4, 2013; amended at 38 Ill. Reg.
18659, effective August 29, 2014; amended at 42 Ill. Reg. ______, effective ____________.
Section 117.55 Submittal of Claims
a) Vendor or reimbursement claims must be submitted on Department designated
claim forms. The claim forms contain a certification statement thatwhich must
not be altered. Claim forms must be legibly signed and dated in ink by the
claimant. The Department will return without payment any claim form thatwhich
is not properly signed, or thatwhich includes an altered certification statement.
b) Claims not submitted within 30 calendar days afterof the date of death of the
decedent must be accompanied by a written statement explaining the reason for
ILLINOIS REGISTER 15171
17
DEPARTMENT OF HUMAN SERVICES
NOTICE OF PROPOSED AMENDMENT
the delay.
c) Subject to appropriations, theThe Department maywill deny any claim thatwhich
is not:
1) Submitted for the first time within 180 calendar days afterof the date of
death of the decedent;, or
2) Re-submitted within 90 calendar days after being returned for correction
or completion.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 15172
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED REPEALER
1) Heading of the Part: Required Benefits for Mental, Emotional or Nervous Disorders
2) Code Citation: 50 Ill. Adm. Code 2006
3) Section Numbers: Proposed Actions:
2006.10 Repealed
2006.20 Repealed
2006.30 Repealed
2006.40 Repealed
2006.50 Repealed
4) Statutory Authority: Implementing Section 370(c) and authorized by Section 401 of the
Illinois Insurance Code (Ill. Rev. Stat. 1981, ch. 73, pars. 982(c) and 1013).
5) A Complete Description of the Subjects and Issues Involved: Part 2006 was adopted in
1977 to provide a definition of "registered clinical psychologist" (now "licensed clinical
psychologist") following the enactment of provisions now codified in Section 370(c)(2)
of the Insurance Code. Because it is no longer necessary to provide this definition in the
Department's rules, Part 2006 is being repealed.
6) Any published studies or reports, along with the sources of underlying data, that were
used when comprising this rulemaking, in accordance with 1 Ill. Adm. Code 100.355:
None
7) Will this repealer replace any emergency rule currently in effect? No
8) Does this repealer 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: This rulemaking will not require a local
government to establish, expand or modify its 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: Persons who wish to comment on this proposed rulemaking may submit
written comments no later than 45 days after the publication of this Notice to:
ILLINOIS REGISTER 15173
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED REPEALER
Joanna Coll or Susan Anders
Assistant General Counsel Rules Coordinator
Department of Insurance Department of Insurance
320 West Washington, 4th Floor 320 West Washington, 4th Floor
Springfield IL 62767-0001 Springfield IL 62767-0001
217/557-7308 217/558-0957
fax: 217/524-9033
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: This rulemaking was not
included on either of the 2 most recent agendas because it was not anticipated within that
timeframe.
The full text of the Proposed Repealer begins on the next page:
ILLINOIS REGISTER 15174
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED REPEALER
TITLE 50: INSURANCE
CHAPTER I: DEPARTMENT OF INSURANCE
SUBCHAPTER z: ACCIDENT AND HEALTH INSURANCE
PART 2006
REQUIRED BENEFITS FOR MENTAL, EMOTIONAL
OR NERVOUS DISORDERS (REPEALED)
Section
2006.10 Authority
2006.20 Purpose and Scope
2006.30 Definitions
2006.40 Severability
2006.50 Effective Date
AUTHORITY: Implementing Section 370(c) and authorized by Section 401 of the Illinois
Insurance Code (Ill. Rev. Stat. 1981, ch. 73, pars. 982(c) and 1013).
SOURCE: Filed June 30, 1977, effective June 30, 1977; codified at 7 Ill. Reg. 3473; repealed at
42 Ill. Reg. ______, effective ____________.
Section 2006.10 Authority
This Part is promulgated by the Director of Insurance pursuant to Section 401 of the Illinois
Insurance Code (Ill. Rev. Stat. 1981, ch. 73, par. 1013) which empowers the Director to make
reasonable rules and regulations as may be necessary for making effective the insurance laws of
this State. This Part implements Section 370c (Ill. Rev. Stat. 1981, ch. 73, par. 982c).
Section 2006.20 Purpose and Scope
The purpose of this Part is to implement Section 370c of the Illinois Insurance Code. This Part
shall apply to all companies authorized to do an insurance business in this State of the kinds
described in Class 1 (a), 1 (b) or 2 (a) of Section 4 of the Illinois Insurance Code (Ill. Rev. Stat.
1981, ch. 73, par. 616) and to corporations licensed in accordance with the Non-Profit Health
Care Service Plan Act (Ill. Rev. Stat. 1981, ch. 32, par. 551 et seq.) the Medical Service Plan Act
(Ill. Rev. Stat. 1981, ch. 32, par. 563 et seq.) and the Voluntary Health Services Plans Act (Ill.
Rev. Stat. 1981, ch. 32, par. 595 et seq.).
Section 2006.30 Definitions
ILLINOIS REGISTER 15175
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED REPEALER
"Coverage for hospital or medical treatment or services" means that an insured
need not be confined, during the course of treatment or services, in a hospital or
medical facility.
"Delivers, issues for delivery, renews or modifies" designates group contracts
with a situs in this State.
"Modifies" means any substantive material change, amendment or reformation of
an existing contract other than a change in rate considerations.
"Registered Clinical Psychologist" means a psychologist registered with the
Illinois Department of Registration and Education (Ill. Rev. Stat. 1981, ch. 91½,
par. 401 et seq.) who meets the following qualifications:
has a doctoral degree from a regionally accredited University, College or
Professional School, and has two years of supervised experience in health
services of which at least one year is post-doctoral and one year in an
organized health service program; or
is a registered psychologist with a graduate degree in psychology from a
regionally accredited University or College prior to 1972, and have not
less than six years of experience as a psychologist with at least two years
of supervised experience in health services.
"Renews" where a group policy does not contain a renewal provision, the contract
will be considered a new policy or contract of insurance from the date of any
reformation of the contract by rider, endorsement, amendment, or otherwise.
Section 2006.40 Severability
If any Section or portion of a Section of this Part, or the applicability thereof to any person or
circumstance, is held invalid by a court the remainder of the Part, or the applicability of such
provision or circumstance, shall not be affected thereby.
Section 2006.50 Effective Date
This shall be effective June 30, 1977.
ILLINOIS REGISTER 15176
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED AMENDMENTS
1) Heading of the Part: Infertility Coverage
2) Code Citation: 50 Ill. Adm. Code 2015
3) Section Numbers: Proposed Actions:
2015.30 Amendment
2015.35 Amendment
4) Statutory Authority: Implementing Section 356m of the Illinois Insurance Code [215
ILCS 5/356m] and Section 5-3 of the Health Maintenance Organization Act [215 ILCS
125/5-3] and authorized by Section 401 of the Illinois Insurance Code [215 ILCS 5/401].
5) A Complete Description of the Subjects and Issues Involved: Consistent with PA 99-
421, Part 2015 will be amended to require that insurers offering accident and health
insurance to groups of more than 25 employees provide coverage for infertility treatments
to covered individuals unable to attain a viable pregnancy or maintain a viable pregnancy
(previously covered just those unable to sustain a successful pregnancy). The
amendments will also expand the definition of infertility to include individuals unable to
conceive after one year of attempting to produce conception and those unable to conceive
after diagnosis with a condition affecting fertility.
6) Any published studies or reports, along with the sources of underlying data, that were
used when comprising this rulemaking, in accordance with 1 Ill. Adm. Code 100.355:
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? No
11) Statement of Statewide Policy Objective: This rulemaking will not require a local
government to establish, expand or modify its activities in such a way as to necessitate
additional expenditures from local revenues.
ILLINOIS REGISTER 15177
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED AMENDMENTS
12) Time, Place and Manner in which interested persons may comment on this proposed
rulemaking: Persons who wish to comment on this proposed rulemaking may submit
written comments no later than 45 days after the publication of this Notice to:
Felicia Page, Assistant General Counsel or Susan Anders, Rules Coordinator
Department of Insurance Department of Insurance
320 West Washington, 4th Floor 320 West Washington, 4th Floor
Springfield IL 62767-0001 Springfield IL 62767-0001
217/524-5433 217/558-0957
fax: 217/524-9033
13) Initial Regulatory Flexibility Analysis:
A) Types of small businesses, small municipalities and not-for-profit corporations
affected: Small employers providing health insurance to 25 or more employees.
B) Reporting, bookkeeping or other procedures required for compliance: Requires
coverage for infertility treatments where health insurance is provided.
C) Types of professional skills necessary for compliance: Familiarity with insurance
policy coverages.
14) Regulatory Agenda on which this rulemaking was summarized: January 2017
The full text of the Proposed Amendments begins on the next page:
ILLINOIS REGISTER 15178
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED AMENDMENTS
TITLE 50: INSURANCE
CHAPTER I: DEPARTMENT OF INSURANCE
SUBCHAPTER z: ACCIDENT AND HEALTH INSURANCE
PART 2015
INFERTILITY COVERAGE
Section
2015.10 Purpose
2015.20 Applicability and Scope
2015.30 Definitions
2015.35 Benefit Limitation/Oocyte Retrieval Limitation
2015.40 Oocyte Retrieval Limitation (Repealed)
2015.43 Donor Expenses
2015.50 Minimum Benefit Standards
2015.60 Permissible Exclusions
AUTHORITY: Implementing Section 356m of the Illinois Insurance Code [215 ILCS 5/356m]
and Section 5-3 of the Health Maintenance Organization Act [215 ILCS 125/5-3] and authorized
by Section 401 of the Illinois Insurance Code [215 ILCS 5/401].
SOURCE: Adopted at 17 Ill. Reg. 8170, effective May 20, 1993; amended at 28 Ill. Reg. 12992,
effective September 9, 2004; amended at 34 Ill. Reg. 2811, effective February 11, 2010;
amended at 42 Ill. Reg. ______, effective ____________.
Section 2015.30 Definitions
Artificial Insemination or AI means the introduction of sperm into a woman's
vagina or uterus by noncoital methods, for the purpose of conception.
Assisted Reproductive Technologies or ART means treatments and/or procedures
in which the human oocytes and/or sperm are retrieved and the human oocytes
and/or embryos are manipulated in the laboratory. ART shall include prescription
drug therapy used during the cycle where an oocyte retrieval is performed.
Donor means an oocyte donor or sperm donor.
Embryo means a fertilized egg that has begun cell division and has completed the
pre-embryonic stage.
ILLINOIS REGISTER 15179
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED AMENDMENTS
Embryo Transfer means the placement of the pre-embryo into the uterus or, in the
case of zygote intrafallopian tube transfer, into the fallopian tube.
Gamete means a reproductive cell. In a man, the gametes are sperm; in a woman,
they are eggs or ova.
Gamete Intrafallopian Tube Transfer or GIFT means the direct transfer of a
sperm/egg mixture into the fallopian tube. Fertilization takes place inside the
tube.
Infertility means the inability to conceive after one year of unprotected sexual
intercourse, the inability to conceive after one year of attempts to produce
conception, the inability to conceive after an individual is diagnosed with a
condition affecting fertility, or the inability to sustain a successful pregnancy. For
purposes of this Part, a woman shall be considered infertile without having to
engage in one year of unprotected sexual intercourse if a physician determines
that:
a medical condition exists that renders conception impossible through
unprotected sexual intercourse, including but not limited to congenital
absence of the uterus or ovaries, absence of the uterus or ovaries due to
surgical removal due to a medical condition, or involuntary sterilization
due to chemotherapy or radiation treatments; or
efforts to conceive as a result of one year of medically based and
supervised methods of conception, including artificial insemination, have
failed and are not likely to lead to a successful pregnancy.
Infertility Coverage means insurance or health maintenance organization coverage
required by Section 356m of the Illinois Insurance Code [215 ILCS 5/356m] for
the diagnosis and treatment, including prescription drug therapy, of infertility.
In Vitro Fertilization or IVF means a process in which an egg and sperm are
combined in a laboratory dish where fertilization occurs. The fertilized and
dividing egg is transferred into the woman's uterus.
ILLINOIS REGISTER 15180
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED AMENDMENTS
Low Tubal Ovum Transfer means the procedure in which oocytes are transferred
past a blocked or damaged section of the fallopian tube to an area closer to the
uterus.
Oocyte means the female egg or ovum, formed in an ovary.
Oocyte Donor means a woman determined by a physician to be capable of
donating eggs in accordance with the standards recommended by the American
Society for Reproductive Medicine.
Oocyte Retrieval means the procedure by which eggs are obtained by inserting a
needle into the ovarian follicle and removing the fluid and the egg by suction.
Also called ova aspiration.
Pregnancy Related Benefit means benefits that cover any related medical
condition that may be associated with pregnancy, including complications of
pregnancy.
Surrogate means a woman who carries a pregnancy for a woman who has
infertility coverage.
Unprotected Sexual Intercourse should include appropriate measures to ensure the
health and safety of sexual partners and means sexual union between a male and a
female, without the use of any process, device or method that prevents
conception, including but not limited to oral contraceptives, chemicals, physical
or barrier contraceptives, natural abstinence or voluntary permanent surgical
procedures.
Uterine Embryo Lavage means a procedure by which the uterus is flushed to
recover a preimplantation embryo.
Zygote means a fertilized egg before cell division begins.
Zygote Intrafallopian Tube Transfer or ZIFT means a procedure by which an egg
is fertilized in vitro and the zygote is transferred to the fallopian tube at the
pronuclear stage before cell division takes place. The eggs are harvested and
fertilized on one day and the embryo is transferred at a later time.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 15181
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED AMENDMENTS
Section 2015.35 Benefit Limitation/Oocyte Retrieval Limitation
a) For treatments that include oocyte retrievals, coverage for thosesuch treatments
shall be required only if the covered individual has been unable to attain a viable
pregnancy or maintain a viableor sustain a successful pregnancy through
reasonable, less costly medically appropriate infertility treatments. This
requirement shall be waived in the event that the covered individual or partner has
a medical condition that renders thesuch treatment useless.
b) For treatments that include oocyte retrievals, coverage for thosesuch treatments is
not required if the covered individual has already undergone four completed
oocyte retrievals, except that, if a live birth follows a completed oocyte retrieval,
then coverage shall be required for a maximum of two additional completed
oocyte retrievals. TheSuch coverage applies to the covered individual per lifetime
of that individual, for treatment of infertility, regardless of the source of payment.
1) Following the final completed oocyte retrieval for which coverage is
available, coverage for one subsequent procedure used to transfer the
oocytes or sperm to the covered recipient shall be provided.
2) The maximum number of completed oocyte retrievals that shall be eligible
for coverage is six.
c) When the maximum number of completed oocyte retrievals has been achieved,
except as provided by subsection (b)(1) above, infertility benefits required under
this Part shall be exhausted.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 15182
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED AMENDMENT
1) Heading of the Part: Registration of Workers' Compensation Utilization Review
Organizations
2) Code Citation: 50 Ill. Adm. Code 2905
3) Section Number: Proposed Action:
2905.EXHIBIT A Amendment
4) Statutory Authority: Implementing Section 8.7 of the Workers' Compensation Act [820
ILCS 305/8.7] and authorized by Section 8.7 of the Workers' Compensation Act and
Section 401 of the Illinois Insurance Code [215 ILCS 5/401].
5) A Complete Description of the Subjects and Issues Involved: Consistent with PA 99-
111, Parts 2905, 4520 and 5430 will be amended to recognize the Accreditation
Association for Ambulatory Health Care (AAAHC) among the list of accreditors from
which utilization organizations may receive accreditation and qualify for reduced
registration and renewal fees.
6) Any published studies or reports, along with the sources of underlying data, that were
used when comprising this rulemaking, in accordance with 1 Ill. Adm. Code 100.355:
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? No
11) Statement of Statewide Policy Objective: This rulemaking will not require a local
government to establish, expand or modify its 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: Persons who wish to comment on this proposed rulemaking may submit
written comments no later than 45 days after the publication of this Notice to:
Felicia Page, Assistant General Counsel or Susan Anders, Rules Coordinator
ILLINOIS REGISTER 15183
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED AMENDMENT
Department of Insurance Department of Insurance
320 West Washington, 4th Floor 320 West Washington, 4th Floor
Springfield IL 62767-0001 Springfield IL 62767-0001
217/524-5433 217/558-0957
fax: 217/524-9033
13) Initial Regulatory Flexibility Analysis:
A) Types of small businesses, small municipalities and not-for-profit corporations
affected: Utilization Review Organizations (UROs) engaged in workers'
compensation reviews.
B) Reporting, bookkeeping or other procedures required for compliance: Claim
review and record keeping procedures determined by the Accreditation
Association for Ambulatory Health Care (AAAHC).
C) Types of professional skills necessary for compliance: Paramedical and medical
practice certifications allowed by the AAAHC pertaining to ambulatory care.
14) Regulatory Agenda on which this rulemaking was summarized: January 2017
The full text of the Proposed Amendment begins on the next page:
ILLINOIS REGISTER 15184
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED AMENDMENT
TITLE 50: INSURANCE
CHAPTER I: DEPARTMENT OF INSURANCE
SUBCHAPTER hh: WORKERS' COMPENSATION AND EMPLOYERS' LIABILITY
PART 2905
REGISTRATION OF WORKERS' COMPENSATION
UTILIZATION REVIEW ORGANIZATIONS
Section
2905.10 Definitions
2905.20 Registration
2905.30 Fees
2905.40 Material Changes
2905.50 Renewals and Appeals
2905.EXHIBIT A Application for Registration of a Utilization Review Organization
2905.EXHIBIT B Utilization Review Organization Officers and Directors Biographical
Affidavit
AUTHORITY: Implementing Section 8.7 of the Workers' Compensation Act [820 ILCS
305/8.7] and authorized by Section 8.7 of the Workers' Compensation Act and Section 401 of the
Illinois Insurance Code [215 ILCS 5/401].
SOURCE: Adopted at 30 Ill. Reg. 6353, effective March 29, 2006; recodified from the
Department of Financial and Professional Regulation to the Department of Insurance pursuant to
Executive Order 2009-04 at 41 Ill. Reg. 2120; amended at 42 Ill. Reg. ______, effective
____________.
ILLINOIS REGISTER 15185
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED AMENDMENT
Section 2905.EXHIBIT A Application for Registration of a Utilization Review
Organization
1. Name of Applicant
Type of Application (check one):
Corporation
Partnership
Limited Liability Corporation
Other (Describe)
FEIN
Contact Person
Business Telephone Number ( )
Fax Number ( )
Email Address
2. Type of Utilization Review Organization (check all that apply):
Health Care Utilization Review (as defined in 50 Ill. Adm. Code 45205420.30)
Workers' Compensation Review (as defined in Section 2905.10 of this Part)
Check all categories that apply (as applicable)
Licensed HMO providing utilization review services outside of the HMO (as
defined in 50 Ill. Adm. Code 45205421.20)
Licensed HMO providing utilization review services only within that HMO (as
defined in 50 Ill. Adm. Code 45205421.20)
Third Party Administrator
Licensed Insurance Company providing utilization review services outside of that
Insurance Company
Licensed Insurance Company providing utilization review services only
within that Insurance Company
Hospital or Medical Group providing utilization review services for other than
internal purposes
Workers' Compensation Utilization Review Organization
Other (Describe)
3. Business Address
Street (do not use P.O. Box)
City State Zip -
ILLINOIS REGISTER 15186
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED AMENDMENT
4. Mailing Address
Street or P.O. Box
City State Zip -
5. Business Telephone Number ( )
Toll Free Number ( )
Fax Number ( )
Email Address/Website
6. Agent for Service of Process in Illinois
Name
Street (do not use P.O. Box
City State Zip -
7. For each Utilization Review Program supply the following information:
a) The name, address, telephone number and normal business hours of the utilization
review programs.
b) The organization and governing structure of the utilization review programs.
c) The number of reviews in Illinois for which utilization review is conducted by each
utilization review program for the current year.
Health Reviews
Workers' Compensation Reviews
d) Hours of operation of each utilization review program.
e) Description of the grievance process for each utilization review program.
f) Please check (all that apply) to determine if you are using the Health Standards
and/or the Workers' Compensation Standards in order to meet or exceed American
Accreditation Healthcare Commission (URAC) Standards and provide the
Department with a copy of your current certificates, if applicable.
Health Utilization Standards
Workers' Compensation Standards
g) Number of review in Illinois for which utilization review was conducted for the
previous calendar year for each utilization review program.
Health Reviews
ILLINOIS REGISTER 15187
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED AMENDMENT
Workers' Compensation Reviews
h) Written policies and procedures for protection of confidential information according
to applicable State and Federal laws for each utilization review program.
i) Biographical information for organization officers and directors. Biographical
affidavits shall be stamped "confidential" by the utilization review organization.
8. Indicate accreditation status below:
a) Health accredited by:
URAC (as defined in 50 Ill. Adm. Code 45205420.130(b))
NCQA (as defined in 50 Ill. Adm. Code 45205420.130(b))
JCAHO (as defined in 50 Ill. Adm. Code 45205420.130(b))
AAAHC (as defined in 50 Ill. Adm. Code 4520.130(b))
b) Workers' compensation accredited under:
URAC Health Standards
URAC Workers' Compensation Standards
c) Unaccredited
9. Check Enclosed
a) Accredited fee $1500 biennially
b) Unaccredited fee $3000 biennially
10. Affirmation (to be signed by an officer or director of the utilization review organization
only):
I, do hereby certify that
(Typed name, title)
(Utilization Review Organization)
complies with the Health and/or Workers' Compensation Utilization Management
Standards of the American Accreditation Healthcare Commission (URAC) sufficient to
achieve American Accreditation Healthcare Commission (URAC) accreditation or
submits evidence of accreditation by the American Accreditation Healthcare Commission
(URAC) for its Health and/or Workers' Compensation Utilization Management Standards,
and do hereby affirm that all of the information presented in this application is true and
correct.
ILLINOIS REGISTER 15188
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED AMENDMENT
(Signature) (Date)
Please mail completed application to:
Illinois Department of Insurance
Utilization Review Unit
320 West Washington Street
Springfield IL 62767-0001
(217) 558-2309
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 15189
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED REPEALER
1) Heading of the Part: Privacy of Personal Information
2) Code Citation: 50 Ill. Adm. Code 4001
3) Section Numbers: Proposed Actions:
4001.10 Repealed
4001.20 Repealed
4001.30 Repealed
4001.40 Repealed
4001.50 Repealed
4) Statutory Authority: Implementing Article XL of the Illinois Insurance Code [215 ILCS
5/1001 THROUGH 1024] and Title V of the Gramm-Leach-Bliley Act (15 USC 6801
through 6827) and authorized by Section 401 and Article XL of the Illinois Insurance
Code [215 ILCS 5/401 and Art. XL].
5) A Complete Description of the Subjects and Issues Involved: Part 4001 duplicates Part
4002, with the exception of effective date information and is no longer needed.
Therefore it is being repealed.
6) Any published studies or reports, along with the sources of underlying data, that were
used when comprising this rulemaking, in accordance with 1 Ill. Adm. Code 100.355:
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? No
11) Statement of Statewide Policy Objective: This rulemaking will not require a local
government to establish, expand or modify its 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: Persons who wish to comment on this proposed rulemaking may submit
written comments no later than 45 days after the publication of this Notice to:
ILLINOIS REGISTER 15190
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED REPEALER
Anne Marie Skallerup or Susan Anders
Deputy General Counsel Rules Coordinator
Illinois Department of Insurance Illinois Department of Insurance
122 S. Michigan Ave, 19th Fl 320 W. Washington St.
Chicago IL 60603 Springfield IL 62767
312/814-5410 217/558-0957
fax: 312/814-2862
13) Initial Regulatory Flexibility Analysis:
A) Types of small businesses, small municipalities and not-for-profit corporations
affected: Not applicable
B) Reporting, bookkeeping or other procedures required for compliance: Not
applicable
C) Types of professional skills necessary for compliance: Not applicable
14) Regulatory Agenda on which this rulemaking was summarized: This rulemaking was not
included on either of the two most recent agendas because it was not anticipated within
that time period.
The full text of the Proposed Repealer begins on the next page:
ILLINOIS REGISTER 15191
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED REPEALER
TITLE 50: INSURANCE
CHAPTER I: DEPARTMENT OF INSURANCE
SUBCHAPTER tt: INSURANCE INFORMATION AND PRIVACY PROTECTION
PART 4001
PRIVACY OF PERSONAL INFORMATION (REPEALED)
Section
4001.10 Purpose
4001.20 Applicability
4001.30 Definitions
4001.40 Enforcement
4001.50 Effective Date
AUTHORITY: Implementing Article XL of the Illinois Insurance Code [215 ILCS 5/1001
THROUGH 1024] and Title V of the Gramm-Leach-Bliley Act (15 USC 6801 through 6827)
and authorized by Section 401 and Article XL of the Illinois Insurance Code [215 ILCS 5/401
and Art. XL].
SOURCE: Emergency rules adopted at 24 Ill. Reg. 12137, effective July 31, 2000, for a
maximum of 150 days; emergency rules modified at 24 Ill. Reg. 16133; adopted at 24 Ill. Reg.
19158, effective December 19, 2000; repealed at 42 Ill. Reg. ______, effective ____________.
Section 4001.10 Purpose
This Part will implement Article XL of the Illinois Insurance Code [215 ILCS 5/Art. XL] and
Title V of the Gramm-Leach-Bliley Act (15 USC 6801 through 6827) which govern the
treatment of personal information about individuals by all licensees of the Illinois Department of
Insurance.
Section 4001.20 Applicability
This Part applies to all insurers, producers, and other persons licensed or required to be licensed,
or authorized or required to be authorized, or registered or required to be registered, or domiciled
pursuant to the Illinois Insurance Code or any other Act of Chapter 215 of the Illinois Compiled
Statutes. This Part also applies to unauthorized insurers who accept business placed through a
licensed surplus line producer in this State, but only in regard to the surplus line placements
placed pursuant to Section 445 of the Illinois Insurance Code [215 ILCS 5/445].
ILLINOIS REGISTER 15192
17
DEPARTMENT OF INSURANCE
NOTICE OF PROPOSED REPEALER
Section 4001.30 Definitions
Director means the Director of the Illinois Department of Insurance.
Licensee means all insurers, producers, and other persons licensed or required to
be licensed, or authorized or required to be authorized, or registered or required to
be registered, or domiciled pursuant to the Illinois Insurance Code or any other
Act of Chapter 215 of the Illinois Compiled Statutes. Licensee shall also include
unauthorized insurers who accept business placed through a licensed surplus line
producer in this State, but only in regard to the surplus line placements placed
pursuant to Section 445 of the Illinois Insurance Code [215 ILCS 5/445].
Section 4001.40 Enforcement
This Part, Article XL of the Code [215 ILCS 5/Art. XL], and Title V of the Gramm-Leach-Bliley
Act (15 USC 6801 through 6827) shall be enforced by the Director with respect to all licensees.
Section 4001.50 Effective Date
This Part is effective immediately upon filing. In order to provide sufficient time for licensees to
establish policies and systems to comply with the requirements of Title V of the Gramm-Leach-
Bliley Act (15 USC 6801 through 6827), effective November 13, 2000, and the provisions of this
Part, the Director has extended the time for compliance with Title V of the Gramm-Leach-Bliley
Act (15 USC 6801 through 6827) and this Part until July 1, 2001.
ILLINOIS REGISTER 15193
17
THE ILLINOIS LIQUOR CONTROL COMMISSION
NOTICE OF PROPOSED AMENDMENT
1) Heading of the Part: The Illinois Liquor Control Commission
2) Code Citation: 11 Ill. Adm. Code 100
3) Section Number: Proposed Action:
100.180 Amendment
4) Statutory Authority: 235 ILCS 5/3-13
5) A Complete Description of the Subjects and Issues Involved: The amended Section is
adding language from an eliminated regulation. The regulations are being combined to
reduce the administrative burden by putting the language in one place instead of two
places.
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 Citations:
100.40 Repealed 41 Ill. Reg. 14998; December 15, 2017
100.130 Repealed 41 Ill. Reg. 14998; December 15, 2017
100.190 Repealed 41 Ill. Reg. 14998; December 15, 2017
100.230 Repealed 41 Ill. Reg. 14998; December 15, 2017
100.275 Repealed 41 Ill. Reg. 14998; December 15, 2017
100.285 Amendment 41 Ill. Reg. 14998; December 15, 2017
100.310 Repealed 41 Ill. Reg. 14998; December 15, 2017
100.370 Repealed 41 Ill. Reg. 14998; December 15, 2017
100.380 Repealed 41 Ill. Reg. 14998; December 15, 2017
100.390 Repealed 41 Ill. Reg. 14998; December 15, 2017
100.420 Repealed 41 Ill. Reg. 14998; December 15, 2017
100.430 Repealed 41 Ill. Reg. 14998; December 15, 2017
ILLINOIS REGISTER 15194
17
THE ILLINOIS LIQUOR CONTROL COMMISSION
NOTICE OF PROPOSED AMENDMENT
11) Statement of Statewide Policy Objective: This rulemaking does not create a State
mandate, nor does it modify any existing State mandates.
12) Time, Place and Manner in which interested persons may comment on this proposed
rulemaking: Persons who wish to submit comments on this proposed rulemaking may
submit them in writing by no later than 45 days after publication of this Notice to:
Beverly Langenfeld
Legal Services Office
Illinois Department of Revenue
101 West Jefferson
Springfield IL 62794
217/782-2844
13) Initial Regulatory Flexibility Analysis:
A) Types of small businesses, small municipalities and not-for-profit corporations
affected: Any business issued a license by the Illinois Liquor Control
Commission
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: This rulemaking was not
summarized on the latest Regulatory Agenda. After the July 2017 Regulatory Agenda
was submitted, the Liquor Commission began an assessment of its rules to determine if
they contained out-of-date and obsolete provisions and reflected the latest statutory
enactments.
The full text of the Proposed Amendment begins on the next page:
ILLINOIS REGISTER 15195
17
THE ILLINOIS LIQUOR CONTROL COMMISSION
NOTICE OF PROPOSED AMENDMENT
TITLE 11: ALCOHOL, HORSE RACING, LOTTERY, AND VIDEO GAMING
SUBTITLE A: ALCOHOL
CHAPTER I: ILLINOIS LIQUOR CONTROL COMMISSION
PART 100
THE ILLINOIS LIQUOR CONTROL COMMISSION
Section
100.5 Penalties
100.10 Definitions
100.20 Employment of Minors
100.30 Violation of Federal Law, State Statute or City, Village or County Ordinance or
Regulation
100.40 Registration of Tasting Representatives
100.50 Advertising
100.60 Geographical Territories
100.70 Labels
100.80 Bonds (Repealed)
100.90 Credit to Retail Licensees
100.100 Internal Changes Within Corporations
100.110 Application Forms
100.120 Railroad Licenses
100.130 Books and Records
100.140 Miniatures (Repealed)
100.150 Salvaged Alcoholic Liquors
100.160 Sanitation
100.170 Taps
100.180 Procedure Before Commission on Citations
100.190 Procedure Before Commission on Request for Continuance of Any Hearing
100.200 Wagering Stamps (Repealed)
100.210 Inducements
100.220 Retail Licensee Clubs (Repealed)
100.230 Resumption of Business on Appeal
100.240 Transactions Involving Use of Checks and Their Equivalent (Repealed)
100.245 Consignment Sales Prohibited; Bona Fide and Non-Bona Fide Returns
100.250 Transfer of Alcohol
100.255 Off-Premises Retail Warehousing Prohibited
100.260 Uniform Systems of Accounts
100.270 Multi-Use Facilities
ILLINOIS REGISTER 15196
17
THE ILLINOIS LIQUOR CONTROL COMMISSION
NOTICE OF PROPOSED AMENDMENT
100.275 Hotel/Motel Mini Bars and Room Service
100.280 Giving Away of Alcoholic Liquors
100.285 Tastings, Product Sampling and Test Marketing
100.290 Refilling
100.300 Authorization to Remove Bottles
100.310 Food Service at Park Districts
100.320 Airplanes
100.325 Boats/Riverboat Gaming
100.326 Auction Liquor Licenses
100.330 Advertising
100.340 Petitions for the Adoption, Amendment or Repeal of a Rule
100.350 Procedures For Filing Appeals From an Order of the Local Liquor Control
Commissioner
100.360 Review on Record – Certification of Ordinance
100.370 Procedures Before the Commission
100.380 Ex Parte Consultations
100.390 Transcripts – Administrative Review
100.400 Procedures Before the Commission on Disputes under Section 35 of the Illinois
Wine and Spirits Industry Fair Dealing Act (Repealed)
100.410 Commission MeetingsRepresentation of Licensees before the Commission
(Repealed)
100.420 Wine Maker Self-Distribution
100.430 Craft Brewer Self-Distribution
100.460 Revoked Licenses
100.480 Importation of Alcoholic Liquor
AUTHORITY: Implementing and authorized by Section 3-12(a)(2) of the Liquor Control Act
[235 ILCS 5/3-12(a)(2)].
SOURCE: Rules and Regulations of the Illinois Liquor Commission, amended March 31, 1977;
amended July 7, 1977; amended at 3 Ill. Reg. 12, p. 65, effective March 22, 1979; codified at 5
Ill. Reg. 10706; amended at 8 Ill. Reg. 6041, effective April 19, 1984; amended at 12 Ill. Reg.
19387, effective November 7, 1988; amended at 18 Ill. Reg. 4811, effective March 9, 1994;
amended at 20 Ill. Reg. 834, effective January 2, 1996; expedited correction at 20 Ill. Reg. 4469,
effective January 2, 1996; amended at 21 Ill. Reg. 5542, effective May 1, 1997; amended at 23
Ill. Reg. 3787, effective March 15, 1999; emergency amendment at 23 Ill. Reg. 8687, effective
July 13, 1999, for a maximum of 150 days; amended at 23 Ill. Reg. 13609, effective October 28,
1999; amended at 25 Ill. Reg. 13596, effective October 15, 2001; amended at 26 Ill. Reg. 17966,
effective December 9, 2002; amended at 27 Ill. Reg. 17386, effective November 10, 2003;
ILLINOIS REGISTER 15197
17
THE ILLINOIS LIQUOR CONTROL COMMISSION
NOTICE OF PROPOSED AMENDMENT
amended at 39 Ill. Reg. 4433, effective March 12, 2015; amended at 39 Ill. Reg. 10386, effective
July 10, 2015; amended at 42 Ill. Reg. ______, effective ____________.
Section 100.180 Procedure Before Commission on Citations
a) The Commission shall have the right to proceed by citation and notice of hearing
to require any licensee of the Commission to appear at a time and place specified
in the notice to show cause why its State liquor license should not be suspended
or revoked or a fine imposed for violations of the Illinois Liquor Control Act or
this Part. This Commission shall also have the right to proceed by citation and
notice of hearing against a licensee for failure to respond to any Commission
correspondence. This correspondence shall include but is not limited to any
Violation Discharge Letters, Offers in Compromise, and Pre-Disciplinary
Conferences.
b) All such original proceedings shall be instituted by complaint in writing, shall
state the particular provision, rule or regulation alleged to have been violated and
the facts in detail upon which such allegation is based and shall be signed by the
Chairman or any member of the Commission.
c) The licensee against whom a complaint has been filed shall be entitled to be
served with a copy of the complaint or citation and shall be given notice of the
time and place set for the hearing of the complaint.
d) A citation and notice of hearing shall be served on the licensee named in the
citation not less than 10 days prior to the date specified in the notice of hearing.
e) The licensee named in the citation and notice of hearing shall appear at the time
and place designated in the citation and notice of hearing.
f) A request for a continuance of any hearing in any matter before the Commission
will not be allowed unless for a good and valid reason and unless made at least
five days prior to the date set for the hearing.
g) The Commission may, in its discretion, grant a continuance if extenuating and
unusual circumstances are presented in support of the request for continuance.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 15198
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
1) Heading of the Part: Income Tax
2) Code Citation: 86 Ill. Adm. Code 100
3) Section Number: Proposed Action:
100.2850 New Section
4) Statutory Authority: 35 ILCS 5/203(d)(2)(H)
5) A Complete Description of the Subjects and Issues Involved: This rulemaking provides
guidance for determining the amount of the subtraction allowed to partnerships under
IITA Section 203(d)(2)(H) for personal service income or for a reasonable allowance for
compensation for services rendered by partners.
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 incorporation by reference? No
10) Are there any other rulemakings pending on this Part? Yes
Section Numbers: Proposed Actions: Illinois Register Citation:
100.2175 New Section 41 Ill. Reg. 14166; November 27, 2017
100.7300 Amendment 41 Ill. Reg. 15041; December 15, 2017
11) Statement of Statewide Policy Objective: This rulemaking does not create a State
mandate, nor does it modify any existing State mandates.
12) Time, Place and Manner in which interested persons may comment on this proposed
rulemaking: Persons who wish to submit comments on this proposed rulemaking may
submit them in writing by no later than 45 days after publication of this Notice to:
Brian Stocker
Staff Attorney
Illinois Department of Revenue
ILLINOIS REGISTER 15199
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
Legal Services Office
101 West Jefferson
Springfield IL 62796
217/782-2844
13) Initial Regulatory Flexibility Analysis:
A) Types of small businesses, small municipalities and not-for-profit corporations
affected: This rulemaking provides guidance needed by partnerships to determine
their income subject to Personal Property Tax Replacement Income Tax.
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 Amendment begins on the next page:
ILLINOIS REGISTER 15200
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
TITLE 86: REVENUE
CHAPTER I: DEPARTMENT OF REVENUE
PART 100
INCOME TAX
SUBPART A: TAX IMPOSED
Section
100.2000 Introduction
100.2050 Net Income (IITA Section 202)
100.2055 Standard Exemption (IITA Section 204)
100.2060 Compassionate Use of Medical Cannabis Pilot Program Act Surcharge (IITA
Section 201(o))
SUBPART B: CREDITS
Section
100.2100 Replacement Tax Investment Credit Prior to January 1, 1994 (IITA
Section 201(e))
100.2101 Replacement Tax Investment Credit (IITA 201(e))
100.2110 Investment Credit; Enterprise Zone and River Edge Redevelopment Zone (IITA
Section 201(f))
100.2120 Jobs Tax Credit; Enterprise Zone and Foreign Trade Zone or Sub-Zone and River
Edge Redevelopment Zone (IITA Section 201(g))
100.2130 Investment Credit; High Impact Business (IITA 201(h))
100.2140 Credit Against Income Tax for Replacement Tax (IITA 201(i))
100.2150 Training Expense Credit (IITA 201(j))
100.2160 Research and Development Credit (IITA Section 201(k))
100.2163 Environmental Remediation Credit (IITA 201(l))
100.2165 Education Expense Credit (IITA 201(m))
100.2170 Tax Credits for Coal Research and Coal Utilization Equipment (IITA 206)
100.2171 Angel Investment Credit (IITA 220)
100.2180 Credit for Residential Real Property Taxes (IITA 208)
100.2185 Film Production Services Credit (IITA Section 213)
100.2190 Tax Credit for Affordable Housing Donations (IITA Section 214)
100.2193 Student-Assistance Contributions Credit (IITA 218)
100.2195 Dependent Care Assistance Program Tax Credit (IITA 210)
100.2196 Employee Child Care Assistance Program Tax Credit (IITA Section 210.5)
ILLINOIS REGISTER 15201
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
100.2197 Foreign Tax Credit (IITA Section 601(b)(3))
100.2198 Economic Development for a Growing Economy Credit (IITA 211)
100.2199 Illinois Earned Income Tax Credit (IITA Section 212)
SUBPART C: NET OPERATING LOSSES OF UNITARY BUSINESS GROUPS
OCCURRING PRIOR TO DECEMBER 31, 1986
Section
100.2200 Net Operating Losses Occurring Prior to December 31, 1986, of Unitary Business
Groups: Treatment by Members of the Unitary Business Group. (IITA Section
202) − Scope
100.2210 Net Operating Losses Occurring Prior to December 31, 1986, of Unitary Business
Groups: Treatment by Members of the Unitary Business Group (IITA Section
202) − Definitions
100.2220 Net Operating Losses Occurring Prior to December 31, 1986, of Unitary Business
Groups: Treatment by Members of the Unitary Business Group. (IITA Section
202) − Current Net Operating Losses: Offsets Between Members
100.2230 Net Operating Losses Occurring Prior to December 31, 1986, of Unitary Business
Groups: Treatment by Members of the Unitary Business Group. (IITA Section
202) − Carrybacks and Carryforwards
100.2240 Net Operating Losses Occurring Prior to December 31, 1986, of Unitary Business
Groups: Treatment by Members of the Unitary Business Group: (IITA Section
202) − Effect of Combined Net Operating Loss in Computing Illinois Base
Income
100.2250 Net Operating Losses Occurring Prior to December 31, 1986, of Unitary Business
Groups: Treatment by Members of the Unitary Business Group: (IITA Section
202) − Deadline for Filing Claims Based on Net Operating Losses Carried Back
From a Combined Apportionment Year
SUBPART D: ILLINOIS NET LOSS DEDUCTIONS FOR LOSSES
OCCURRING ON OR AFTER DECEMBER 31, 1986
Section
100.2300 Illinois Net Loss Deduction for Losses Occurring On or After December 31, 1986
(IITA 207)
100.2310 Computation of the Illinois Net Loss Deduction for Losses Occurring On or After
December 31, 1986 (IITA 207)
100.2320 Determination of the Amount of Illinois Net Loss for Losses Occurring On or
After December 31, 1986
ILLINOIS REGISTER 15202
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
100.2330 Illinois Net Loss Carrybacks and Net Loss Carryovers for Losses Occurring On or
After December 31, 1986
100.2340 Illinois Net Losses and Illinois Net Loss Deductions for Losses Occurring On or
After December 31, 1986, of Corporations that are Members of a Unitary
Business Group: Separate Unitary Versus Combined Unitary Returns
100.2350 Illinois Net Losses and Illinois Net Loss Deductions, for Losses Occurring On or
After December 31, 1986, of Corporations that are Members of a Unitary
Business Group: Changes in Membership
SUBPART E: ADDITIONS TO AND SUBTRACTIONS FROM TAXABLE INCOME OF
INDIVIDUALS, CORPORATIONS, TRUSTS AND ESTATES AND PARTNERSHIPS
Section
100.2405 Gross Income, Adjusted Gross Income, Taxable Income and Base Income
Defined; Double Deductions Prohibited; Legislative Intention (IITA Section
203(e), (g) and (h))
100.2410 Net Operating Loss Carryovers for Individuals, and Capital Loss and Other
Carryovers for All Taxpayers (IITA Section 203)
100.2430 Addition and Subtraction Modifications for Transactions with 80-20 and
Noncombination Rule Companies
100.2435 Addition Modification for Student-Assistance Contribution Credit (IITA Sections
203(a)(2)(D-23), (b)(2)(E-16), (c)(2)(G-15), (d)(2)(D-10))
100.2450 IIT Refunds (IITA Section 203(a)(2)(H), (b)(2)(F), (c)(2)(J) and (d)(2)(F))
100.2455 Subtraction Modification: Federally Disallowed Deductions (IITA Sections
203(a)(2)(M), 203(b)(2)(I), 203(c)(2)(L) and 203(d)(2)(J))
100.2465 Claim of Right Repayments (IITA Section 203(a)(2)(P), (b)(2)(Q), (c)(2)(P) and
(d)(2)(M))
100.2470 Subtraction of Amounts Exempt from Taxation by Virtue of Illinois Law, the
Illinois or U.S. Constitutions, or by Reason of U.S. Treaties or Statutes (IITA
Sections 203(a)(2)(N), 203(b)(2)(J), 203(c)(2)(K) and 203(d)(2)(G))
100.2480 Enterprise Zone and River Edge Redevelopment Zone Dividend Subtraction
(IITA Sections 203(a)(2)(J), 203(b)(2)(K), 203(c)(2)(M) and 203(d)(2)(K))
100.2490 Foreign Trade Zone/High Impact Business Dividend Subtraction (IITA Sections
203(a)(2)(K), 203(b)(2)(L), 203(c)(2)(O), 203(d)(2)(M))
SUBPART F: BASE INCOME OF INDIVIDUALS
Section
100.2510 Subtraction for Contributions to Illinois Qualified Tuition Programs (Section 529
ILLINOIS REGISTER 15203
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
Plans) (IITA Section 203(a)(2)(Y)
100.2580 Medical Care Savings Accounts (IITA Sections 203(a)(2)(D-5), 203(a)(2)(S) and
203(a)(2)(T))
100.2590 Taxation of Certain Employees of Railroads, Motor Carriers, Air Carriers and
Water Carriers
SUBPART H: BASE INCOME OF TRUSTS AND ESTATES
Section
100.2655 Subtraction Modification for Enterprise Zone and River Edge Redevelopment
Zone Interest (IITA Section 203(b)(2)(M))
100.2657 Subtraction Modification for High Impact Business Interest (IITA Section
203(b)(2)(M-1))
100.2680 Capital Gain Income of Estates and Trusts Paid to or Permanently Set Aside for
Charity (Repealed)
SUBPART I: BASE INCOME OF PARTNERSHIPS
Section
100.2850 Subtraction Modification for Personal Service Income or Reasonable Allowance
for Compensation to Partners (IITA Section 203(d)(2)(H))
SUBPART J: GENERAL RULES OF ALLOCATION AND
APPORTIONMENT OF BASE INCOME
Section
100.3000 Terms Used in Article 3 (IITA Section 301)
100.3010 Business and Nonbusiness Income (IITA Section 301)
100.3015 Business Income Election (IITA Section 1501)
100.3020 Resident (IITA Section 301)
SUBPART K: COMPENSATION
Section
100.3100 Compensation (IITA Section 302)
100.3110 State (IITA Section 302)
100.3120 Allocation of Compensation Paid to Nonresidents (IITA Section 302)
SUBPART L: NON-BUSINESS INCOME OF PERSONS OTHER THAN RESIDENTS
ILLINOIS REGISTER 15204
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
Section
100.3200 Taxability in Other State (IITA Section 303)
100.3210 Commercial Domicile (IITA Section 303)
100.3220 Allocation of Certain Items of Nonbusiness Income by Persons Other Than
Residents (IITA Section 303)
SUBPART M: BUSINESS INCOME OF PERSONS OTHER THAN RESIDENTS
Section
100.3300 Allocation and Apportionment of Base Income (IITA Section 304)
100.3310 Business Income of Persons Other Than Residents (IITA Section 304) − In
General
100.3320 Business Income of Persons Other Than Residents (IITA Section 304) −
Apportionment (Repealed)
100.3330 Business Income of Persons Other Than Residents (IITA Section 304) −
Allocation
100.3340 Business Income of Persons Other Than Residents (IITA Section 304)
100.3350 Property Factor (IITA Section 304)
100.3360 Payroll Factor (IITA Section 304)
100.3370 Sales Factor (IITA Section 304)
100.3371 Sales Factor for Telecommunications Services
100.3373 Sales Factor for Publishing
100.3380 Special Rules (IITA Section 304)
100.3390 Petitions for Alternative Allocation or Apportionment (IITA Section 304(f))
100.3400 Apportionment of Business Income of Financial Organizations for Taxable Years
Ending Prior to December 31, 2008 (IITA Section 304(c))
100.3405 Apportionment of Business Income of Financial Organizations for Taxable Years
Ending on or after December 31, 2008 (IITA Section 304(c))
100.3420 Apportionment of Business Income of Insurance Companies (IITA Section
304(b))
100.3450 Apportionment of Business Income of Transportation Companies (IITA Section
304(d))
100.3500 Allocation and Apportionment of Base Income by Nonresident Partners
SUBPART N: ACCOUNTING
Section
100.4500 Carryovers of Tax Attributes (IITA Section 405)
ILLINOIS REGISTER 15205
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
SUBPART O: TIME AND PLACE FOR FILING RETURNS
Section
100.5000 Time for Filing Returns (IITA Section 505)
100.5010 Place for Filing Returns: All Taxpayers (IITA Section 505)
100.5020 Extensions of Time for Filing Returns: All Taxpayers (IITA Section 505)
100.5030 Taxpayer's Notification to the Department of Certain Federal Changes Arising in
Federal Consolidated Return Years, and Arising in Certain Loss Carryback Years
(IITA Section 506)
100.5040 Innocent Spouses
100.5050 Frivolous Returns
100.5060 Reportable Transactions (IITA Section 501(b))
100.5070 List of Investors in Potentially Abusive Tax Shelters and Reportable Transactions
100.5080 Registration of Tax Shelters (IITA Section 1405.5)
SUBPART P: COMPOSITE RETURNS
Section
100.5100 Composite Returns: Eligibility (IITA Section 502(f))
100.5110 Composite Returns: Responsibilities of Authorized Agent
100.5120 Composite Returns: Individual Liability
100.5130 Composite Returns: Required forms and computation of Income (IITA Section
502(f))
100.5140 Composite Returns: Estimated Payments
100.5150 Composite Returns: Tax, Penalties and Interest
100.5160 Composite Returns: Credits on Separate Returns
100.5170 Composite Returns: Definition of a "Lloyd's Plan of Operation"
100.5180 Composite Returns: Overpayments and Underpayments
SUBPART Q: COMBINED RETURNS
Section
100.5200 Filing of Combined Returns
100.5201 Definitions and Miscellaneous Provisions Relating to Combined Returns
100.5205 Election to File a Combined Return
100.5210 Procedures for Elective and Mandatory Filing of Combined Returns
100.5215 Filing of Separate Unitary Returns (IITA Section 304(e))
100.5220 Designated Agent for the Members
ILLINOIS REGISTER 15206
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DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
100.5230 Combined Estimated Tax Payments
100.5240 Claims for Credit of Overpayments
100.5250 Liability for Combined Tax, Penalty and Interest
100.5260 Combined Amended Returns
100.5265 Common Taxable Year
100.5270 Computation of Combined Net Income and Tax
100.5280 Combined Return Issues Related to Audits
SUBPART R: PAYMENTS
Section
100.6000 Payment on Due Date of Return (IITA Section 601)
SUBPART S: REQUIREMENT AND AMOUNT OF WITHHOLDING
Section
100.7000 Requirement of Withholding (IITA Section 701)
100.7010 Compensation Paid in this State (IITA Section 701)
100.7020 Transacting Business Within this State (IITA Section 701)
100.7030 Payments to Residents (IITA Section 701)
100.7035 Nonresident Partners, Subchapter S Corporation Shareholders, and Trust
Beneficiaries (IITA Section 709.5)
100.7040 Employer Registration (IITA Section 701)
100.7050 Computation of Amount Withheld (IITA Section 702)
100.7060 Additional Withholding (IITA Section 701)
100.7070 Voluntary Withholding (IITA Section 701)
100.7080 Correction of Underwithholding or Overwithholding (IITA Section 701)
100.7090 Reciprocal Agreement (IITA Section 701)
100.7095 Cross References
SUBPART T: AMOUNT EXEMPT FROM WITHHOLDING
Section
100.7100 Withholding Exemption (IITA Section 702)
100.7110 Withholding Exemption Certificate (IITA Section 702)
100.7120 Exempt Withholding Under Reciprocal Agreements (IITA Section 702)
SUBPART U: INFORMATION STATEMENT
ILLINOIS REGISTER 15207
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
Section
100.7200 Reports for Employee (IITA Section 703)
SUBPART V: EMPLOYER'S RETURN AND PAYMENT OF TAX WITHHELD
Section
100.7300 Returns and Payments of Income Tax Withheld from Wages (IITA Sections 704
and 704A)
100.7310 Returns Filed and Payments Made on Annual Basis (IITA Sections 704 and
704A)
100.7320 Time for Filing Returns and Making Payments for Taxes Required to Be
Withheld Prior to January 1, 2008 (IITA Section 704)
100.7325 Time for Filing Returns and Making Payments for Taxes Required to Be
Withheld On or After January 1, 2008 (IITA Section 704A)
100.7330 Payment of Tax Required to be Shown Due on a Return (IITA Sections 704 and
704A)
100.7340 Correction of Underwithholding or Overwithholding (IITA Section 704)
100.7350 Domestic Service Employment (IITA Sections 704 and 704A)
100.7360 Definitions and Special Provisions Relating to Reporting and Payment of Income
Tax Withheld (IITA Sections 704 and 704A)
100.7370 Penalty and Interest Provisions Relating to Reporting and Payment of Income Tax
Withheld (IITA Sections 704 and 704A)
100.7380 Economic Development for a Growing Economy (EDGE) and Small Business Job
Creation Credit (IITA Section 704A(g) and (h))
SUBPART W: ESTIMATED TAX PAYMENTS
Section
100.8000 Payment of Estimated Tax (IITA Section 803)
100.8010 Failure to Pay Estimated Tax (IITA Sections 804 and 806)
SUBPART X: COLLECTION AUTHORITY
Section
100.9000 General Income Tax Procedures (IITA Section 901)
100.9010 Collection Authority (IITA Section 901)
100.9020 Child Support Collection (IITA Section 901)
SUBPART Y: NOTICE AND DEMAND
ILLINOIS REGISTER 15208
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
Section
100.9100 Notice and Demand (IITA Section 902)
SUBPART Z: ASSESSMENT
Section
100.9200 Assessment (IITA Section 903)
100.9210 Waiver of Restrictions on Assessment (IITA Section 907)
SUBPART AA: DEFICIENCIES AND OVERPAYMENTS
Section
100.9300 Deficiencies and Overpayments (IITA Section 904)
100.9310 Application of Tax Payments Within Unitary Business Groups (IITA Section 603)
100.9320 Limitations on Notices of Deficiency (IITA Section 905)
100.9330 Further Notices of Deficiency Restricted (IITA Section 906)
SUBPART BB: CREDITS AND REFUNDS
Section
100.9400 Credits and Refunds (IITA Section 909)
100.9410 Limitations on Claims for Refund (IITA Section 911)
100.9420 Recovery of Erroneous Refund (IITA Section 912)
SUBPART CC: INVESTIGATIONS AND HEARINGS
Section
100.9500 Access to Books and Records (IITA Section 913)
100.9505 Access to Books and Records − 60-Day Letters (IITA Section 913) (Repealed)
100.9510 Taxpayer Representation and Practice Requirements
100.9520 Conduct of Investigations and Hearings (IITA Section 914)
100.9530 Books and Records
SUBPART DD: JUDICIAL REVIEW
Section
100.9600 Administrative Review Law (IITA Section 1201)
SUBPART EE: DEFINITIONS
ILLINOIS REGISTER 15209
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DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
Section
100.9700 Unitary Business Group Defined (IITA Section 1501)
100.9710 Financial Organizations (IITA Section 1501)
100.9720 Nexus
100.9730 Investment Partnerships (IITA Section 1501(a)(11.5))
100.9750 Corporation, Subchapter S Corporation, Partnership and Trust Defined (IITA
Section 1501)
SUBPART FF: LETTER RULING PROCEDURES
Section
100.9800 Letter Ruling Procedures
SUBPART GG: MISCELLANEOUS
Section
100.9900 Tax Shelter Voluntary Compliance Program
100.9910 State Tax Preparer Oversight Act [35 ILCS 35]
100.APPENDIX A Business Income Of Persons Other Than Residents
100.TABLE A Example of Unitary Business Apportionment
100.TABLE B Example of Unitary Business Apportionment for Groups Which
Include Members Using Three-Factor and Single-Factor Formulas
AUTHORITY: Implementing the Illinois Income Tax Act [35 ILCS 5] and authorized by
Section 1401 of the Illinois Income Tax Act [35 ILCS 5/1401].
SOURCE: Filed July 14, 1971, effective July 24, 1971; amended at 2 Ill. Reg. 49, p. 84,
effective November 29, 1978; amended at 5 Ill. Reg. 813, effective January 7, 1981; amended at
5 Ill. Reg. 4617, effective April 14, 1981; amended at 5 Ill. Reg. 4624, effective April 14, 1981;
amended at 5 Ill. Reg. 5537, effective May 7, 1981; amended at 5 Ill. Reg. 5705, effective May
20, 1981; amended at 5 Ill. Reg. 5883, effective May 20, 1981; amended at 5 Ill. Reg. 6843,
effective June 16, 1981; amended at 5 Ill. Reg. 13244, effective November 13, 1981; amended at
5 Ill. Reg. 13724, effective November 30, 1981; amended at 6 Ill. Reg. 579, effective December
29, 1981; amended at 6 Ill. Reg. 9701, effective July 26, 1982; amended at 7 Ill. Reg. 399,
effective December 28, 1982; amended at 8 Ill. Reg. 6184, effective April 24, 1984; codified at 8
Ill. Reg. 19574; amended at 9 Ill. Reg. 16986, effective October 21, 1985; amended at 9 Ill. Reg.
685, effective December 31, 1985; amended at 10 Ill. Reg. 7913, effective April 28, 1986;
ILLINOIS REGISTER 15210
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
amended at 10 Ill. Reg. 19512, effective November 3, 1986; amended at 10 Ill. Reg. 21941,
effective December 15, 1986; amended at 11 Ill. Reg. 831, effective December 24, 1986;
amended at 11 Ill. Reg. 2450, effective January 20, 1987; amended at 11 Ill. Reg. 12410,
effective July 8, 1987; amended at 11 Ill. Reg. 17782, effective October 16, 1987; amended at 12
Ill. Reg. 4865, effective February 25, 1988; amended at 12 Ill. Reg. 6748, effective March 25,
1988; amended at 12 Ill. Reg. 11766, effective July 1, 1988; amended at 12 Ill. Reg. 14307,
effective August 29, 1988; amended at 13 Ill. Reg. 8917, effective May 30, 1989; amended at 13
Ill. Reg. 10952, effective June 26, 1989; amended at 14 Ill. Reg. 4558, effective March 8, 1990;
amended at 14 Ill. Reg. 6810, effective April 19, 1990; amended at 14 Ill. Reg. 10082, effective
June 7, 1990; amended at 14 Ill. Reg. 16012, effective September 17, 1990; emergency
amendment at 17 Ill. Reg. 473, effective December 22, 1992, for a maximum of 150 days;
amended at 17 Ill. Reg. 8869, effective June 2, 1993; amended at 17 Ill. Reg. 13776, effective
August 9, 1993; recodified at 17 Ill. Reg. 14189; amended at 17 Ill. Reg. 19632, effective
November 1, 1993; amended at 17 Ill. Reg. 19966, effective November 9, 1993; amended at 18
Ill. Reg. 1510, effective January 13, 1994; amended at 18 Ill. Reg. 2494, effective January 28,
1994; amended at 18 Ill. Reg. 7768, effective May 4, 1994; amended at 19 Ill. Reg. 1839,
effective February 6, 1995; amended at 19 Ill. Reg. 5824, effective March 31, 1995; emergency
amendment at 20 Ill. Reg. 1616, effective January 9, 1996, for a maximum of 150 days; amended
at 20 Ill. Reg. 6981, effective May 7, 1996; amended at 20 Ill. Reg. 10706, effective July 29,
1996; amended at 20 Ill. Reg. 13365, effective September 27, 1996; amended at 20 Ill. Reg.
14617, effective October 29, 1996; amended at 21 Ill. Reg. 958, effective January 6, 1997;
emergency amendment at 21 Ill. Reg. 2969, effective February 24, 1997, for a maximum of 150
days; emergency expired July 24, 1997; amended at 22 Ill. Reg. 2234, effective January 9, 1998;
amended at 22 Ill. Reg. 19033, effective October 1, 1998; amended at 22 Ill. Reg. 21623,
effective December 15, 1998; amended at 23 Ill. Reg. 3808, effective March 11, 1999; amended
at 24 Ill. Reg. 10593, effective July 7, 2000; amended at 24 Ill. Reg. 12068, effective July 26,
2000; emergency amendment at 24 Ill. Reg. 17585, effective November 17, 2000, for a
maximum of 150 days; amended at 24 Ill. Reg. 18731, effective December 11, 2000; amended at
25 Ill. Reg. 4640, effective March 15, 2001; amended at 25 Ill. Reg. 4929, effective March 23,
2001; amended at 25 Ill. Reg. 5374, effective April 2, 2001; amended at 25 Ill. Reg. 6687,
effective May 9, 2001; amended at 25 Ill. Reg. 7250, effective May 25, 2001; amended at 25 Ill.
Reg. 8333, effective June 22, 2001; amended at 26 Ill. Reg. 192, effective December 20, 2001;
amended at 26 Ill. Reg. 1274, effective January 15, 2002; amended at 26 Ill. Reg. 9854, effective
June 20, 2002; amended at 26 Ill. Reg. 13237, effective August 23, 2002; amended at 26 Ill. Reg.
15304, effective October 9, 2002; amended at 26 Ill. Reg. 17250, effective November 18, 2002;
amended at 27 Ill. Reg. 13536, effective July 28, 2003; amended at 27 Ill. Reg. 18225, effective
November 17, 2003; emergency amendment at 27 Ill. Reg. 18464, effective November 20, 2003,
for a maximum of 150 days; emergency expired April 17, 2004; amended at 28 Ill. Reg. 1378,
effective January 12, 2004; amended at 28 Ill. Reg. 5694, effective March 17, 2004; amended at
ILLINOIS REGISTER 15211
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
28 Ill. Reg. 7125, effective April 29, 2004; amended at 28 Ill. Reg. 8881, effective June 11,
2004; emergency amendment at 28 Ill. Reg. 14271, effective October 18, 2004, for a maximum
of 150 days; amended at 28 Ill. Reg. 14868, effective October 26, 2004; emergency amendment
at 28 Ill. Reg. 15858, effective November 29, 2004, for a maximum of 150 days; amended at 29
Ill. Reg. 2420, effective January 28, 2005; amended at 29 Ill. Reg. 6986, effective April 26,
2005; amended at 29 Ill. Reg. 13211, effective August 15, 2005; amended at 29 Ill. Reg. 20516,
effective December 2, 2005; amended at 30 Ill. Reg. 6389, effective March 30, 2006; amended at
30 Ill. Reg. 10473, effective May 23, 2006; amended by 30 Ill. Reg. 13890, effective August 1,
2006; amended at 30 Ill. Reg. 18739, effective November 20, 2006; amended at 31 Ill. Reg.
16240, effective November 26, 2007; amended at 32 Ill. Reg. 872, effective January 7, 2008;
amended at 32 Ill. Reg. 1407, effective January 17, 2008; amended at 32 Ill. Reg. 3400, effective
February 25, 2008; amended at 32 Ill. Reg. 6055, effective March 25, 2008; amended at 32 Ill.
Reg. 10170, effective June 30, 2008; amended at 32 Ill. Reg. 13223, effective July 24, 2008;
amended at 32 Ill. Reg. 17492, effective October 24, 2008; amended at 33 Ill. Reg. 1195,
effective December 31, 2008; amended at 33 Ill. Reg. 2306, effective January 23, 2009; amended
at 33 Ill. Reg. 14168, effective September 28, 2009; amended at 33 Ill. Reg. 15044, effective
October 26, 2009; amended at 34 Ill. Reg. 550, effective December 22, 2009; amended at 34 Ill.
Reg. 3886, effective March 12, 2010; amended at 34 Ill. Reg. 12891, effective August 19, 2010;
amended at 35 Ill. Reg. 4223, effective February 25, 2011; amended at 35 Ill. Reg. 15092,
effective August 24, 2011; amended at 36 Ill. Reg. 2363, effective January 25, 2012; amended at
36 Ill. Reg. 9247, effective June 5, 2012; amended at 37 Ill. Reg. 5823, effective April 19, 2013;
amended at 37 Ill. Reg. 20751, effective December 13, 2013; recodified at 38 Ill. Reg. 4527;
amended at 38 Ill. Reg. 9550, effective April 21, 2014; amended at 38 Ill. Reg. 13941, effective
June 19, 2014; amended at 38 Ill. Reg. 15994, effective July 9, 2014; amended at 38 Ill. Reg.
17043, effective July 23, 2014; amended at 38 Ill. Reg. 18568, effective August 20, 2014;
amended at 38 Ill. Reg. 23158, effective November 21, 2014; emergency amendment at 39 Ill.
Reg. 483, effective December 23, 2014, for a maximum of 150 days; amended at 39 Ill. Reg.
1768, effective January 7, 2015; amended at 39 Ill. Reg. 5057, effective March 17, 2015;
amended at 39 Ill. Reg. 6884, effective April 29, 2015; amended at 39 Ill. Reg. 15594, effective
November 18, 2015; amended at 40 Ill. Reg. 1848, effective January 5, 2016; amended at 40 Ill.
Reg. 10925, effective July 29, 2016; amended at 40 Ill. Reg. 13432, effective September 7, 2016;
amended at 40 Ill. Reg. 14762, effective October 12, 2016; amended at 40 Ill. Reg. 15575,
effective November 2, 2016; amended at 41 Ill. Reg. 4193, effective March 27, 2017; amended
at 41 Ill. Reg. 6379, effective May 22, 2017; amended at 41 Ill. Reg. 10662, effective August 3,
2017; amended at 41 Ill. Reg. 12608, effective September 21, 2017; amended at 41 Ill. Reg.
14217, effective November 7, 2017; amended at 42 Ill. Reg. ______, effective ____________.
SUBPART I: BASE INCOME OF PARTNERSHIPS
ILLINOIS REGISTER 15212
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
Section 100.2850 Subtraction Modification for Personal Service Income or Reasonable
Allowance for Compensation to Partners (IITA Section 203(d)(2)(H))
a) In General. A partnership is allowed to subtract from taxable income any income
of the partnership that constitutes personal service income as defined in 26 USC
1348(b)(1) (as in effect December 31, 1981) or a reasonable allowance for
compensation paid or accrued for services rendered by partners to the
partnership, whichever is greater. (IITA Section 203(d)(2)(H))
1) Purpose. Under the IRC and federal income tax law, a partner is not an
employee of the partnership. Consequently, a partnership generally may
not deduct in computing the taxable income of the partnership amounts
paid to a partner for services rendered to the partnership. (Estate of Tilton,
8 BTA 914 (1927)) Instead, these amounts are considered distributive
shares of partnership income (Revenue Ruling 55-30, 1955-1 C.B. 430). In
contrast, a shareholder of a corporation may also be employed by the
corporation. Amounts paid by the corporation to the shareholder that
constitute compensation for services rendered as an employee may be
deducted by the corporation in computing its taxable income under 26
USC 162(a)(1). The purpose of the subtraction modification under IITA
Section 203(d)(2)(H) and this Section is to allow partnerships, for
purposes of computing their liability for the tax imposed under IITA
Section 201(c) and (d) (replacement tax), a deduction for compensation
paid to partners for services rendered to the partnership similar to the
deduction allowed to a corporation for compensation paid a shareholder-
employee for services rendered to the corporation.
2) Amounts that Qualify for Subtraction. The United States Supreme Court
defines a partnership as: "[a] partnership is…an organization for the
production of income to which each partner contributes one or both of the
ingredients of income – capital or services". (Commissioner v. Culbertson,
337 U.S. 733, 736, 69 S.Ct. 1210, 1211 (1949)) The subtraction
modification allowed under this Section generally represents the income
of the partnership that may be considered a reasonable allowance for the
services actually rendered by the partners in their capacity as partners.
Under 26 USC 707(c) to the extent determined without regard to the
income of the partnership, payments to a partner for services or the use of
capital are considered as made to a person who is not a partner, but only
for the purposes of 26 USC 61(a) (relating to gross income) and, subject to
ILLINOIS REGISTER 15213
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DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
26 USC 263, for purposes of IRC section 162(a) (relating to trade or
business expenses). 26 CFR 1.707-1(c) states that, for the other purposes
of the IRC, a guaranteed payment is regarded as a distributive share of the
ordinary income of the partnership. Under IITA Section 203(d)(2)(C), a
partnership is required to make an addition modification in the calculation
of its base income for the amount of deduction allowed to the partnership
pursuant to 26 USC 707(c). Accordingly, to the extent a guaranteed
payment represents a payment to the partner for services (rather than
capital), the amount of the guaranteed payment may be included in the
subtraction modification allowed under this Section. Under 26 USC 702
and 704, a partner must take into account his or her distributive share of
the items of income, gain, loss and deduction of the partnership. To the
extent a partner's distributive share of the net income and gain of the
partnership may be regarded as income or payment to a partner in
exchange for services rendered to the partnership, that amount may be
included in the subtraction modification allowed under this Section. (See
Rogers v. C.I.R., 281 F.2d 233 (4th Cir. 1960); i.e., "partnership salaries
are not deductible expenses in computing partnership distributable net
income, but are treated as a device for reallocating distributable net
income among the partners".)
3) Amounts that Do Not Qualify for Subtraction. Under 26 USC 707(a), if a
partner engages in a transaction with the partnership other than in his or
her capacity as a partner, the transaction is generally considered as
occurring between the partnership and one who is not a partner. When a
partnership pays or accrues an amount to a non-partner for services
rendered, the partnership is allowed a deduction in the computation of its
taxable income (see, e.g., 26 USC 162). Therefore, a payment to a partner
subject to 26 USC 707(a) may not also be subtracted under this Section
(see IITA Section 203(g) and subsection (a)(5) of this Section). A
distribution by the partnership subject to 26 USC 731 is treated as a return
of capital and/or gain from the sale or exchange of the partnership interest
of the distributee partner and, therefore, in no event may a distribution be
considered compensation for services rendered by the partner. However,
an allocation of partnership income to a partner may be considered
compensation for services for purposes of this Section, whether or not
accompanied by a corresponding distribution under 26 USC 731.
ILLINOIS REGISTER 15214
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
4) Reasonable Allowance. In determining whether an amount claimed as a
subtraction for compensation under this Section exceeds a reasonable
allowance, the rules for deduction under 26 USC 162(a)(1) (relating to a
reasonable allowance for salaries or other compensation for personal
services actually rendered) shall apply. In Exacto Spring Corp. v.
Commissioner, 196 F.3d 833 (7th Cir. 1999), the court held that, when an
"amount claimed as compensation for services rendered satisfies the
independent investor test", there arises a rebuttable presumption that the
compensation is reasonable and therefore deductible under 26 USC
162(a)(1). Accordingly, when income of the partnership is allocated to
partners in such amounts as to result in a satisfactory return on partnership
capital, a rebuttable presumption shall arise that any remaining amount of
income allocated to partners for services actually provided to the
partnership is a reasonable allowance and therefore deductible under this
Section. (See also, Menard, Inc. v. Commissioner, 560 F.3d 620 (7th Cir.
2009); Mulcahy, Pauritsch, Salvador & Co., Ltd. v C.I.R, 680 F.3d 867
(7th Cir. 2012) ("when a thriving firm that has nontrivial capital reports
no…[taxable] income, it is apparent that the firm is understating its tax
liability"); and Brinks Gilson & Lione a Professional Corporation v.
C.I.R., T.C. Memo, 2016-20 (U.S.T.C. 2016) ("The principle applied in
Mulcahy is well established in the law and grounded in basic economics:
The owners of an enterprise with significant capital are entitled to a return
on their investments. Thus, a corporation's consistent payment of salaries
to shareholder employees in amounts that leave insufficient funds
available to provide an adequate return to the shareholders on their
invested capital indicates that a portion of the amounts paid as salaries is
actually distributions of earnings."))
5) Double Deductions Prohibited. IITA Section 203(g) states that nothing in
that Section shall permit the same item to be deducted more than once.
A) Under IITA Section 203(d)(2)(I), a subtraction modification is
allowed to the partnership for income distributable to an entity
subject to replacement tax or to organizations exempt from federal
income tax by reason of IRC section 501(a). Therefore, neither a
guaranteed payment nor a distributive share of net income or gain
of a partner subject to replacement tax or exempt from federal
income tax under IRC section 501(a) may be included in the
subtraction modification allowed under this Section.
ILLINOIS REGISTER 15215
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DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
B) In addition, when a partnership pays or accrues an amount to a
non-partner for services rendered, the partnership is allowed a
deduction in the computation of its taxable income. Therefore, a
payment to a partner subject to 26 USC 707(a) because the partner
is not acting in his or her capacity as a partner, whether or not the
payment is currently deducted by the partnership or capitalized,
may not be subtracted under this Section.
b) Personal Service Income. When the personal service income of the partnership,
as defined in this subsection (b), is greater than a reasonable allowance for
compensation paid or accrued for services rendered by partners, the subtraction
modification under this Section shall be equal to the personal service income of
the partnership.
1) Definitions
A) Personal Service Income. The term "personal service income", as
defined in 26 USC 1348(b)(1) (as in effect December 31, 1981)
means: "any income which is earned income within the meaning of
26 USC 401(c)(2)(C) or 26 USC 911(b) or which is an amount
received as a pension or annuity which arises from an employer-
employee relationship or from tax-deductible contributions to a
retirement plan. For purposes of this subparagraph, 26 USC 911(b)
shall be applied without regard to the phrase, 'not in excess of 30
percent of his share of net profits of such trade or business'. The
term 'personal service income' does not include any amount to
which 26 USC 72(m)(5), 402(a)(2), 402(e), 403(a)(2), 408(e)(2),
408(e)(3), 408(e)(4), 408(e)(5), 408(f) or 409(c) applies; or which
is includible in gross income under 26 USC 409(b) because of the
redemption of a bond which was not tendered before the close of
the taxable year in which the registered owner attained age 70½."
B) Section 911(b) Earned Income. The term "earned income" as
defined in 26 USC 911(b) (as in effect December 31, 1981) means:
"wages, salaries, or professional fees, and other amounts received
as compensation for personal services actually rendered, but does
not include that part of the compensation derived by the taxpayer
for personal services rendered by him to a corporation which
ILLINOIS REGISTER 15216
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DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
represents a distribution of earnings or profits rather than a
reasonable allowance as compensation for the personal services
actually rendered. In the case of a taxpayer engaged in a trade or
business in which both personal services and capital are material
income-producing factors, under regulations prescribed by the
Secretary, a reasonable allowance as compensation for the personal
services rendered by the taxpayer, not in excess of 30 percent of
his share of the net profits of such trade or business, shall be
considered as earned income." (See, e.g. Albright v.
Commissioner, T.C. Memo 1984-485 (1985); Curry v. United
States, 804 F.2d 647 (Fed. Cir. 1986); Friedlander v. United States,
718 F.2d 294 (9th Cir. 1983); Hardy v. United States, 589 F.Supp.
330 (E.D. Wis. 1984); Hicks v. United States, 787 F.2d 1018 (5th
Cir. 1986); Hutcheson v. United States, 540 F. Supp. 880 (M.D.
Al. 1982); Kampel v. Commissioner, 634 F.2d 708 (2nd Cir. 1980);
Parker v. Commissioner, 822 F2d 905 (9th Cir. 1987); Roselle v.
Commissioner, T.C. Memo 1981-394 (1981); Van Kalker v.
Commissioner, 804 F.2d 967 (7th Cir. 1984); United States v. Van
Dyke, 696 F.2d 957 (Fed. Cir. 1982); Wilson v. Commissioner,
T.C. Memo 1982-289 (1982); Zahler v. Commissioner, 684 F.2d
356 (6th Cir. 1982). See also, Rev. Rul. 60-178, 1960-1 C.B. 14;
Rev. Rul. 64-1, 1964-1 C.B. 7; Rev. Rul. 66-56, 1966-1 C.B. 87;
Rev. Rul. 66-326, 1966-2 C.B. 281; Rev. Rul. 67-158, 1967-1 C.B.
188; Rev. Rul. 74-231, 1974-1 C.B. 240; Rev. Rul. 78-306, 1978-2
C.B. 218.)
C) Section 401(c)(2)(C) Earned Income. The term "earned income" as
defined in 26 USC 401(c)(2)(C) (as in effect December 31, 1981)
means: "gains (other than any gain which is treated under any
provision of this chapter as gain from the sale or exchange of a
capital asset) and net earnings derived from the sale or other
disposition of, the transfer of any interest in, or the licensing of the
use of property (other than goodwill) by an individual whose
personal efforts created such property." See, e.g., Bertelli v. United
States, 92-1 USTC P 50,266 (N.D. Ohio 1991).
2) Subtraction is Net of Allocable Expenses. For purposes of determining the
subtraction modification under this subsection (b), the personal service
income of the partnership shall be the amount of income net of allocable
ILLINOIS REGISTER 15217
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DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
deductions. In Treasury Decision 7446, Maximum Tax on Earned Income
(August 13, 1976), the IRS stated that, in order to achieve a logical result
in applying the maximum tax provisions of Section 1348 and to prevent
the conversion of passive income into earned income, a proportional
allocation of expenses to earned income is required in the case of a losing
service-capital operation, but no allocation is required when the expenses
of the trade or business have been taken into account in determining the
net profits of the trade or business. P.L. 95-600 (92 Stat. 2763), effective
for taxable years beginning after December 31, 1978, repealed the "30
percent" limitation in 26 USC 911(b) for purposes applying 26 USC 1348.
The legislative history of P.L. 95-600 indicates that "an individual would
not be permitted to convert into personal services income passive income
on investments or assets held or used in a trade or business. For example, a
sole proprietor of a small manufacturing business cannot treat dividend
and interest income received on investments held by him as personal
service income. If passive income is derived from investments held by a
trade or business, expenses of the trade or business must be allocated
between such passive income and the income available for payment as
personal service income." S. Rept. 95-1263, 95th Cong., 2d Sess. (1978),
1978-3 C.B. (Part 1) 321, 506. Consistent with these authorities and the
intent of the earned income definition for purposes of computing the
maximum tax provisions of 26 USC 1348, the subtraction modification for
personal services income may consist only of that portion of the positive
taxable income of the partnership that constitutes earned income from a
trade or business. If the subtraction modification was applied to the gross
income of the partnership that constitutes earned income, rather than
taxable income, a partnership would be allowed to convert taxable passive
income into tax-exempt earned income. Therefore, when a partnership
incurs a loss from a trade or business, it does not have personal services
income for purposes of the subtraction modification under this Section.
c) Reasonable Compensation for Services. When a reasonable allowance for
compensation paid or accrued for services rendered by partners is greater than the
personal service income of the partnership, as defined in subsection (b), the
subtraction modification under this Section shall be equal to a reasonable
allowance for compensation paid or accrued for services actually rendered by
partners to the partnership. In order to qualify for the subtraction under this
subsection (c), the amounts must either:
ILLINOIS REGISTER 15218
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DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
(1) in the case of a guaranteed payment for services, be paid by the
partnership to the partner or accrued by the partnership in computing its
taxable income; or
(2) in the case of a distributive share of the net income of the partnership
(other than a guaranteed payment), be credited to the partner's capital
account or otherwise increase to that extent the recipient partner's rights to
distributions from the partnership.
d) Examples. The provisions of this Section may be illustrated by the following
examples.
EXAMPLE 1: Partnership PB consists of individual partners P and B. The
partnership is engaged in a manufacturing business in which capital is a material
income-producing factor. The partnership agreement provides that B shall be
entitled to a guaranteed payment of $100,000 annually for his services in
managing the operations of the partnership. The partners agree to share all
income, gain, losses and deductions equally after taking into account B's
guaranteed payment. P does not provide any services to the partnership. For the
taxable year, Partnership PB's taxable income, after taking into account B's
guaranteed payment, is an ordinary loss of $40,000. Under these facts, Partnership
PB is allowed a subtraction modification under this Section for reasonable
compensation paid to B for services rendered to the partnership. In this case, the
amount of compensation is equal to the guaranteed payment of $100,000.
Therefore, PB's base income for replacement tax purposes is a loss of $40,000
(i.e., taxable income under IITA Section 203(e)(2)(H) of a loss of $40,000, plus
an addition modification of $100,000 under IITA Section 203(d)(2)(C), less a
subtraction modification under this Section of $100,000).
EXAMPLE 2: Assume the same facts as in Example 1, except that the
partnership agreement does not provide B with a guaranteed payment, and the
partnership's taxable income remains an ordinary loss of $40,000. Because PB
incurs a loss in its trade or business, it has no personal services income. In
addition, because the loss is shared by the partners, no amount has been paid or
accrued to the partners for services rendered to the partnership. This result is not
changed even if the partnership makes distributions to the partners during the
taxable year. Partnership PB is not allowed a subtraction modification under this
Section. Therefore, PB's base income for replacement tax purposes is a loss of
$40,000 (i.e., taxable income under IITA Section 203(e)(2)(H)).
ILLINOIS REGISTER 15219
17
DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
EXAMPLE 3: Assume the same facts as in Example 1, except that the
partnership's taxable income consists of an ordinary loss of $100,000, and a
$200,000 capital gain under IRC section 1231. Because Partnership PB incurs a
loss in its trade or business and its only item of income is a section 1231 gain of
$200,000, it has no personal services income. However, the partnership is allowed
a subtraction modification for reasonable compensation paid to B for services
rendered to the partnership. The amount of the subtraction modification is
$100,000, unless that amount exceeds a reasonable allowance for the services B
renders to the partnership. Because P has not provided any services to the
partnership, none of the income allocated to P is reasonable compensation for
services.
EXAMPLE 4: Assume the same facts as in Example 3, except that the
partnership agreement does not provide for guaranteed payments. However, B is
entitled under the partnership agreement to the first $100,000 of profits, if any, for
his services managing the operations of the partnership. As a result, the
partnership's taxable income consists solely of a section 1231 gain of $200,000.
Because PB does not have income from its trade or business, and its only item of
income is a section 1231 gain of $200,000, it has no personal services income.
However, it is allowed a subtraction modification for reasonable compensation
paid to B for services rendered to the partnership. Under the partnership
agreement, $100,000 of gain allocated to B is in exchange for B's services
managing the partnership. Provided that amount does not exceed a reasonable
allowance for those services, PB is allowed a subtraction modification under this
Section of $100,000. Since P has not provided any services to the partnership,
none of the gain allocated to P is reasonable compensation for services. Therefore,
PB's base income for replacement tax purposes is $100,000 (i.e., taxable income
under IITA Section 203(e)(2)(H) of $200,000, less a subtraction modification
under this Section of $100,000).
EXAMPLE 5: Partnership ABC is an engineering firm. The partnership's only
trade or business is the provision of engineering services to clients, and capital is
not a material income-producing factor. Partners A and B are individuals who
provide all of the services to clients of the partnership. Partner C is a corporation
that provides management services to the partnership. Under the partnership
agreement, partners A and B have a 45% share of any income or loss of the
partnership, and partner C has a 10% share of any income or loss. For its taxable
year the partnership has taxable income from its engineering business of
ILLINOIS REGISTER 15220
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DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
$100,000, plus $4,000 of portfolio interest income (net of allocable expenses).
Since capital is not a material income-producing factor in the engineering services
business, the partnership's personal services income is equal to the entire
$100,000 of taxable income. However, because IITA Section 203(g) prohibits
double deductions, the partnership's subtraction modification under this Section
may not include any part of partner C's distributive share of the partnership's
income. Because C is a partner subject to replacement tax, C's distributive share
of partnership income is allowed as a subtraction modification under IITA Section
203(d)(2)(I). The partnership is allowed a subtraction modification under this
Section of $90,000, which is equal to partner A's and partner B's share of the
personal services income of the partnership. Therefore, ABC's base income for
replacement tax purposes is $3,600 (i.e. taxable income under IITA Section
203(e)(2)(H) of $104,000, less a subtraction modification under Section
203(d)(2)(I) of $10,400, less a subtraction modification under this Section of
$90,000).
EXAMPLE 6: Partnership DEF consists of individual partners D, E and F. The
partnership is engaged in a rental real estate business. DEF has entered into a
management contract with G corporation under which, in exchange for a fixed
fee, G corporation agrees to manage the daily rental operations of the partnership.
G corporation is not a partner of DEF. The shareholders of G corporation are
individuals D, E and F, who actually perform the services required under the
management contract between the partnership and G corporation. Individuals D, E
and F do not perform any other services except those set forth in the management
contract. Partnership DEF is not allowed a subtraction modification under this
Section because individuals D, E and F have not rendered any services to the
partnership in their capacity as partners. Rather, the services rendered by D, E and
F were provided to G corporation in their capacity as employees of G corporation.
EXAMPLE 7: The facts are the same as in Example 6, except that G is a limited
liability company (LLC), elects to be taxed as a partnership, and is a general
partner of DEF. Individuals D, E and F are limited partners of DEF. The
partnership agreement provides that G LLC shall manage the daily rental
operations of the partnership. The members of G LLC are individuals D, E and F,
who actually perform the services required of G LLC under the partnership
agreement. Partnership DEF is not allowed a subtraction modification under this
Section because DEF is allowed to subtract G LLC's distributive share of
partnership income under IITA Section 203(d)(2)(I), and therefore a subtraction
under this Section is disallowed under subsection (a)(5)(A) of this Section, and
ILLINOIS REGISTER 15221
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DEPARTMENT OF REVENUE
NOTICE OF PROPOSED AMENDMENT
because individuals D, E and F have not rendered any services to the partnership
in their capacity as partners. Rather, the services rendered by D, E and F were
provided to G LLC as members of G LLC. Because G LLC is taxed as a
partnership, G LLC may be allowed a subtraction modification under this Section
in computing its replacement tax liability.
EXAMPLE 8: The facts are the same as in Example 7, except that the members
of G LLC are D and H LLC, which elects to be taxed as a partnership. The
members of H LLC are E and F. D, E and F perform the services required of G
LLC under the partnership agreement. Partnership DEF is not allowed a
subtraction modification under this Section because DEF is allowed to subtract G
LLC's distributive share of partnership income under IITA Section 203(d)(2)(I),
and therefore subtraction under this Section is disallowed under subsection
(a)(4)(A) of this Section, and because individuals D, E and F have not rendered
any services to Partnership DEF in their capacity as partners. Rather, the services
rendered by D were provided to G LLC as a member of G LLC and by E and F
indirectly to G LLC as members of H LLC. Because G LLC is taxed as a
partnership, in computing its replacement tax liability it may be allowed a
subtraction modification for D's distributive share of G LLC's income to the
extent allowed under this Section, and allowed a subtraction modification under
IITA Section 203(d)(2)(I) for H LLC's distributive share of G LLC's income. H
LLC may be allowed a subtraction modification for E and F's distributive share of
H LLC's income to the extent allowed under this Section.
(Source: Added at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 15222
17
SECRETARY OF STATE
NOTICE OF PROPOSED AMENDMENTS
1) Heading of the Part: Lobbyist Registration and Reports
2) Code Citation: 2 Ill. Adm. Code 560
3) Section Numbers: Proposed Actions:
560.100 Amendment
560.205 Amendment
560.220 Amendment
560.235 New Section
4) Statutory Authority: Implementing and authorized by the Lobbyist Registration Act [25
ILCS 170].
5) Complete Description of the Subjects and Issues Involved: As it pertains to the subject
matter of the proposed emergency rules, PA 100-554 the Secretary of State Office of the
Inspector General to review allegations of sexual harassment made against an individual
required to register under the Lobbyist Registration Act and to provide a summary of said
review to the Executive Ethics Commission. In addition, the Secretary of State is further
required to provide a sexual harassment training program to individuals required to
register as a lobbyist and the training program must be completed within 30 days after
registration or renewal under the Lobbyist Registration Act.
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? Yes
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 proposed amendments do not require
expenditures by units of local government.
12) Time, Place and Manner in which interested persons may comment on this proposed
rulemaking: Written comments may be submitted within 45 days to:
ILLINOIS REGISTER 15223
17
SECRETARY OF STATE
NOTICE OF PROPOSED AMENDMENTS
Amy Williams
Assistant Legal Advisor
298 Howlett Building
Springfield IL 62756
217/785-3094
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].
These proposed amendments may have an impact on small businesses, small
municipalities, and not-for-profit corporations as defined in Sections 1-75, 1-80 and 1-85
of the Illinois Administrative Procedure Act [5 ILCS 100/1-75, 1-80, 1-85]. These
entities may submit comments in writing to the Department at the above address in
accordance with the regulatory flexibility provisions in Section 5-30 of the Illinois
Administrative Procedure Act [5 ILCS 100/5-30]. These entities shall indicate their status
as small businesses, small municipalities, or not-for-profit corporations as part of any
written comments they submit to the Department.
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: This rulemaking was not
included on either of the most recent regulatory agendas because the Department did not
anticipate this rulemaking at the time the agendas were filed.
The full text of the Proposed Amendments is identical to that of the text of the Emergency
Amendments for this Part, and begins in this issue of the Illinois Register on page 15373.
ILLINOIS REGISTER 15224
17
STATE UNIVERSITIES CIVIL SERVICE SYSTEM
NOTICE OF PROPOSED AMENDMENT
1) Heading of the Part: State Universities Civil Service System
2) Code Citation: 80 Ill. Adm. Code 250
3) Section Number: Proposed Action:
250.119 Amendment
4) Statutory Authority: 110 ILCS 70
5) A Complete Description of the Subjects and Issues Involved: On September 30, 2017,
this Section became invalid. The Merit Board believes that this Section needs to exist on
a permanent basis. Because of the uncertainties of the State budget, employers within the
State Universities Civil Service System, are finding it necessary to implement Furlough
Programs due to the continued reduction or lack of State funds. This Section does not
eliminate any bargaining rights or duties to negotiate imposed by the Illinois Educational
Labor Relations Act. This Section describes the requirements for employers and
information for employees regarding the impact of a Furlough Program.
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? No
11) Statement of Statewide Policy Objective: This proposed rulemaking will not create or
expand a State mandate.
12) Time, Place, and Manner in which interested persons may comment on this proposed
rulemaking: Interested persons may submit written comments on this proposed
amendment within 45 days after the date of publication to the Illinois Register:
Jeff Brownfield
Executive Director
ILLINOIS REGISTER 15225
17
STATE UNIVERSITIES CIVIL SERVICE SYSTEM
NOTICE OF PROPOSED AMENDMENT
State Universities Civil Service System
1717 Philo Road, Suite 24
Urbana IL 61802
217/278-3150
emails: [email protected] & [email protected]
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: The Agency did not
anticipate this rulemaking.
The full text of the Proposed Amendment begins on the next page:
ILLINOIS REGISTER 15226
17
STATE UNIVERSITIES CIVIL SERVICE SYSTEM
NOTICE OF PROPOSED AMENDMENT
TITLE 80: PUBLIC OFFICIALS AND EMPLOYEES
SUBTITLE A: MERIT EMPLOYMENT SYSTEMS
CHAPTER VI: STATE UNIVERSITIES CIVIL SERVICE SYSTEM
PART 250
STATE UNIVERSITIES CIVIL SERVICE SYSTEM
Section
250.5 Definitions
250.10 Purpose, Adoption, and Amendment of Rules
250.20 The State Universities Civil Service System and its Divisions
250.30 The Classification Plan
250.40 Military Service Preference, Veterans Preference
250.50 Examinations
250.60 Eligible Registers
250.70 Nonstatus Appointments
250.80 Status Appointments
250.90 Probationary Period
250.100 Reassignments and Transfers
250.110 Separations and Demotions
250.119 Furloughs
250.120 Seniority
250.130 Review Procedures
250.140 Delegation of Authority and Responsibilities
250.150 Training
250.160 Suspension of Rules
AUTHORITY: Implementing and authorized by the State Universities Civil Service Act [110
ILCS 70].
SOURCE: Rules: State Universities Civil Service System, approved January 16, 1952, effective
January 1, 1952; amended at 3 Ill. Reg. 13, p. 68, effective April 1, 1979; amended at 4 Ill. Reg.
10, p. 262, effective February 25, 1980; amended at 6 Ill. Reg. 2620, effective February 22,
1982; amended at 6 Ill. Reg. 7236, effective June 3, 1982; amended at 8 Ill. Reg. 4948 and 4950,
effective March 29, 1984; codified at 8 Ill. Reg. 12936; amended at 8 Ill. Reg. 24732, effective
December 6, 1984; amended at 9 Ill. Reg. 17422, effective October 23, 1985; amended at 11 Ill.
Reg. 8942, effective May 8, 1987; amended at 12 Ill. Reg. 3457, effective February 1, 1988;
amended at 12 Ill. Reg. 17079, effective October 7, 1988; amended at 13 Ill. Reg. 7324, effective
ILLINOIS REGISTER 15227
17
STATE UNIVERSITIES CIVIL SERVICE SYSTEM
NOTICE OF PROPOSED AMENDMENT
May 1, 1989; amended at 13 Ill. Reg. 19427, effective February 6, 1990; amended at 18 Ill. Reg.
1901, effective January 21, 1994; amended at 20 Ill. Reg. 4440, effective February 29, 1996;
amended at 30 Ill. Reg. 17384, effective October 23, 2006; amended at 31 Ill. Reg. 15848,
effective November 13, 2007; amended at 32 Ill. Reg. 17268, effective October 16, 2008;
amended at 33 Ill. Reg. 11644, effective July 22, 2009; amended at 36 Ill. Reg. 6014, effective
April 6, 2012; amended at 37 Ill. Reg. 419, effective December 26, 2012; amended at 39 Ill. Reg.
13504, effective December 1, 2015; amended at 40 Ill. Reg. 3105, effective January 26, 2016;
emergency amendment at 40 Ill. Reg. 3772, effective March 1, 2016, for a maximum of 150
days; amended at 40 Ill. Reg. 11192, effective August 4, 2016; amended at 40 Ill. Reg. 16302,
effective December 12, 2016; amended at 41 Ill. Reg. 11576, effective August 30, 2017;
amended at 42 Ill. Reg. ______, effective ____________.
Section 250.119 Furloughs
This Section is applicable through September 30, 2017.
a) Furlough. A furlough is the placement of an employee in a temporary nonduty,
nonpay status for a continuous or noncontinuous period of time due only to a lack
of funds. A furlough is not considered a layoff or a reduction in force action and,
therefore, is not subject to Section 250.110(d) regarding a layofflayoffs.
b) Furlough Program Stipulations. A furlough program shall not be used by an
employer for the following reasons:
1) Permanent shutdown;
2) As a substitute for permanent part-time employment; or
3) As a disciplinary measure.
c) Criteria. Uniform participation and selection criteria shall be developed for the
designated place of employment and consistently applied. This Section shall only
apply to employees who are designated within the employer's furlough program in
accordance with subsections (d) through (o).
d) Temporary and Extra Help AppointmentsEmployee Terminations. Prior to the
implementation of a furlough program, all employeesAn employee on a
temporary appointment or an extra help appointment shall be terminated prior to
ILLINOIS REGISTER 15228
17
STATE UNIVERSITIES CIVIL SERVICE SYSTEM
NOTICE OF PROPOSED AMENDMENT
implementation of the furlough program, unless an exception is permitted subject
to subsection (g)the appointment is required based on health and welfare or public
safety, or a designated grant or other funding source.
e) Student Appointments. StudentAll student appointments shall be terminated
subject to Section 250.70(e) shall be placed in a furlough status for an amount of
time that is generally equal to that of traditional civil service employees who are
being furloughed, unless an exception is permitted subject to subsection (g)the
student appointment is required for health and welfare or public safety, or the
appointment is part of the student's financial aid, or if the student is receiving
academic credit as part of the conditions of the student appointment.
fc) Voluntary or Mandatory Furlough Program. A furlough can be either voluntary
or mandatory. A voluntary or mandatory furlough program is not required to
include all employees at a designated employer or within a division or program.
g) Exceptions. Employers may exempt positions from a furlough program under the
following conditions:
1) Positions/employees who have mandated funding, such as a grant or other
funding source, or whose absence would jeopardize the funding for a
position/employee or department;, may be exempted from the furlough
program.
2) Employees in positions considered essential to the critical mission of an
employer, such as those related to health and welfare or public safety;,
may also be excluded from participation in a furlough program. Uniform
participation and selection criteria shall be developed by the employer and
consistently applied. This Section shall only apply to employees who are
designated within the employer's furlough program in accordance with
subsections (c) through (m).
3) Employees in positions considered essential to maintain facilities during a
furlough program; or
4) Students whose positions are part of their financial aid package or whose
position results in the awarding of academic credit.
ILLINOIS REGISTER 15229
17
STATE UNIVERSITIES CIVIL SERVICE SYSTEM
NOTICE OF PROPOSED AMENDMENT
hd) Notification of Furlough Program to Employees. No furlough program may be
implemented unlessOnce an employer plans to implement a furlough program, the
employer has notifiedshall notify all employees at least 30 days prior to a
furlough program being implemented. The process by which the employer
chooses to notify employees is at the employer's discretion, but must conform to
the employer's policies related to contacting an employee for official business.
The notice must inform the employee of the date or dates on which the employee
is to be on furlough status and the end date of the furlough program.
ie) Furlough Work Status. An employee who is furloughed shall not be at work, on
standby or on-call, and shall not perform any work for the furloughing employer
during his/her scheduled furlough time. However, for emergency situations,
employees subject to a collective bargaining agreement may be called back to
work in accordance with the agreement. For those employees not subject to a
collective bargaining agreement, employees may be called back to work in
accordance with standard employer policies.
jf) Employee Benefits
1) Employees who are furloughed are not permitted to use vacation, sick
leave, personal leave, "floating" holidays, or any other compensable time
or similar benefit for the time during which he/she is being furloughed.
2) Notwithstanding any other Section in this Part, or the fact that an
employee's work hours or pay is reduced by the requirement to take a
furlough, :A) furlough time will be credited as if the employee were in pay
status for employee benefit programs such as health, life, dental and vision
insurance and any similar benefits.; and
B) pension credit for furlough time can be purchased by an employee
as provided under Section 15-113.11 of the Illinois Pension Code
[40 ILCS 5] (i.e., for furlough time taken between July 1, 2015 and
June 30, 2017, pension credit can be purchased; otherwise, it
cannot).
3) A furloughed employee shall be entitled to the same benefits to which
he/she was entitled on the paid workday immediately preceding the
furlough day. These benefits include, but are not limited to, continued
ILLINOIS REGISTER 15230
17
STATE UNIVERSITIES CIVIL SERVICE SYSTEM
NOTICE OF PROPOSED AMENDMENT
accumulation of vacation and sick leave, holiday benefits, and benefits
established by the Merit Board Policy Relating to Employee Benefits as
approved by the Merit Board, and other benefits approved by the
Governing Boards of the universities and agencies served by the
University System.
4) A furloughed employee shall continue to accrue seniority during any and
all furlough work days.
kg) Maximum Number of Furlough Work Days. A furlough program shall only be
instituted for a maximum of 15 work days in any fiscal year (July 1 through June
30).
lh) Employer's Tracking of Furlough Days. TheIn order for an employee to continue
under the State Employees Group Insurance Act of 1971 [5 ILCS 375], the
employer is required to track designated furlough days for each employee.
i) Accumulation of Seniority during a Furlough Status. An employee shall continue
to accrue seniority during any and all furlough work days.
mj) Military Leave during a Furlough Program. An employee on military leave shall
not be scheduled for any furlough days during his/her leave and may be scheduled
for furlough days that may be prorated dependent upon the date the employee
returns to work, if a furlough program remains in effect.
k) Furlough Program Stipulations. A furlough program shall not be used by an
employer for the following reasons:
1) Permanent shutdown;
2) As a substitute for permanent part-time employment; or
3) As a disciplinary measure.
nl) Collective Bargaining Agreements. Implementation of furloughs for employees
covered under a collective bargaining agreement is subject to applicable State and
federal labor laws and regulations. This Section is not intended to circumvent or
supersede other State or federal labor laws and/or regulations that apply.
ILLINOIS REGISTER 15231
17
STATE UNIVERSITIES CIVIL SERVICE SYSTEM
NOTICE OF PROPOSED AMENDMENT
om) Notification to the State Universities Civil Service System of a Furlough Program.
An employer may institute a voluntary or mandatory furlough program upon
notification to the Executive Director at least 30 calendar days prior to the
implementation of any employee being furloughed. The employer shall include in
the notification the following:
1) Whether the furlough program is for the entire employer or designated
divisions or programs;
12) What considerations have been contemplated or invoked for other
employees, such as those listed in Section 36e(1) through (5) of the Act;
23) An explanation of the facts related to the temporary nature of the event
causing the furlough program;
34) The funding deficit related to the affected work areas;
45) The approximate number of employees affected by the furlough program;
and
56) The beginning date and ending datesdate of the furlough program for the
employer.
p) Reporting Requirements for a Furlough Program. An employer shall provide
specific reports to the University System office within 10 calendar days following
the implementation of a furlough program. These reports shall contain the
following:
1) Summary of positions affected by the furlough program:
A) Headcount of total employees impacted and their classifications;
B) Number of furlough days being implemented;
C) Approximate amount of savings for the designated
positions/employees; and
ILLINOIS REGISTER 15232
17
STATE UNIVERSITIES CIVIL SERVICE SYSTEM
NOTICE OF PROPOSED AMENDMENT
D) Impact of furloughs invoked for other employees, such as those
listed in Section 36e(1) through (5) of the Act.
2) An explanation of the facts related to the temporary nature of the event
causing the furlough program.
3) Other related documentation as requested by the University System office.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 15233
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
1) Heading of the Part: Community Care Program
2) Code Citation: 89 Ill. Adm. Code 240
3) Section Numbers: Adopted Actions:
240.237 Amendment
240.1543 Amendment
240.1955 Amendment
240.1957 Amendment
4) Statutory Authority: 20 ILCS 105/4.02 and 4.01(11)
5) Effective Date of Rules: January 1, 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 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. 3251; March 24, 2017
10) Has JCAR issued a Statement of Objection to this rulemaking? No
11) Differences between Proposal and Final Version: Changes made to this rulemaking were
technical, grammatical, and editorial at the recommendation of the Joint Committee on
Administrative Rules.
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 an emergency rule currently in effect? No
14) Are there any rulemakings pending on this Part? No
15) Summary and Purpose of Rulemaking: This rulemaking makes changes in the
description of and minimum equipment specifications for the automated medication
ILLINOIS REGISTER 15234
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
dispenser (AMD) service under the Community Care Program (CCP). The changes are
intended to encourage willing and qualified providers to apply for certification by the
Department to provide this service. There are no certified providers for this service under
the program at this time. The rulemaking also revises terminology to improve
consistency throughout the rules.
16) Information and questions regarding these adopted rules shall be directed to:
Tracey Trigillo
Deputy General Counsel
Illinois Department on Aging
One Natural Resources Way, Suite 100
Springfield IL 62702-1271
217/785-3346
The full text of the Adopted Amendments begins on the next page:
ILLINOIS REGISTER 15235
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
TITLE 89: SOCIAL SERVICES
CHAPTER II: DEPARTMENT ON AGING
PART 240
COMMUNITY CARE PROGRAM
SUBPART A: GENERAL PROGRAM PROVISIONS
Section
240.100 Community Care Program
240.110 Department Prerogative
240.120 Services Provided
240.130 Maintenance of Effort
240.140 Program Limitations
240.150 Completed Applications Prior to August 1, 1982 (Repealed)
240.160 Definitions
SUBPART B: SERVICE DEFINITIONS
Section
240.210 In-home Service
240.220 Chore-Housekeeping Service (Repealed)
240.230 Adult Day Service
240.235 Emergency Home Response Service
240.237 Automated Medication Dispenser Service
240.240 Information and Referral
240.250 Demonstration/Research Projects
240.260 Case Management Service
240.270 Alternative Provider
240.280 Individual Provider
SUBPART C: RIGHTS AND RESPONSIBILITIES
Section
240.300 Applicant/Client Rights and Responsibilities
240.310 Right to Apply
240.320 Nondiscrimination
240.330 Freedom of Choice
ILLINOIS REGISTER 15236
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
240.340 Confidentiality/Safeguarding of Case Information
240.350 Applicant/Client/Authorized Representative Cooperation
240.360 Reporting Changes
240.370 Voluntary Repayment
SUBPART D: APPEALS
Section
240.400 Appeals and Fair Hearings
240.405 Representation
240.410 When the Appeal May Be Filed
240.415 What May Be Appealed
240.420 Group Appeals
240.425 Informal Review
240.430 Informal Review Findings
240.435 Withdrawing an Appeal
240.436 Cancelling an Appeal
240.440 Examining Department Records
240.445 Hearing Officer
240.450 The Hearing
240.451 Conduct of Hearing
240.455 Continuance of the Hearing
240.460 Postponement
240.465 Dismissal Due to Non-Appearance
240.470 Rescheduling the Appeal Hearing
240.475 Recommendations of Hearing Officer
240.480 The Appeal Decision
240.485 Reviewing the Official Report of the Hearing
SUBPART E: APPLICATION
Section
240.510 Application for Community Care Program
240.520 Who May Make Application
240.530 Date of Application
240.540 Statement to be Included on Application
SUBPART F: ELIGIBILITY
ILLINOIS REGISTER 15237
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
Section
240.600 Eligibility Requirements
240.610 Establishing Eligibility
240.620 Home Visit
240.630 Determination of Eligibility
240.640 Eligibility Decision
240.650 Continuous Eligibility
240.655 Frequency of Redeterminations
240.660 Extension of Time Limit
SUBPART G: NON-FINANCIAL REQUIREMENTS
Section
240.710 Age
240.715 Determination of Need
240.720 Clients Prior to Effective Date of This Section (Repealed)
240.725 Clients After Effective Date of This Section (Repealed)
240.726 Emergency Budget Act Reduction (Repealed)
240.727 Minimum Score Requirements
240.728 Maximum Payment Levels for Plans of Care Including In-home Service
240.729 Maximum Payment Levels for Plans of Care Including Adult Day Service
240.730 Plan of Care
240.735 Supplemental Information
240.740 Assessment of Need
240.741 Prerequisites for Automated Medication Dispenser Service
240.750 Citizenship
240.755 Residence
240.760 Furnishing of Social Security Number
SUBPART H: FINANCIAL REQUIREMENTS
Section
240.800 Financial Factors
240.810 Assets
240.815 Exempt Assets
240.820 Asset Transfers
240.825 Income
ILLINOIS REGISTER 15238
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
240.830 Unearned Income Exemptions
240.835 Earned Income
240.840 Potential Retirement, Disability and Other Benefits
240.845 Family
240.850 Monthly Average Income
240.855 Applicant/Client Expense for Care
240.860 Change in Income
240.865 Application For Medical Assistance (Medicaid)
240.870 Determination of Applicant/Client Monthly Expense for Care
240.875 Client Responsibility
SUBPART I: DISPOSITION OF DETERMINATION
Section
240.905 Prohibition of Institutionalized Individuals From Receiving Community Care
Program Services
240.910 Written Notification
240.915 Service Provision
240.920 Reasons for Denial
240.925 Frequency of Redeterminations (Renumbered)
240.930 Suspension of Services
240.935 Discontinuance of Services to Clients
240.940 Penalty Payments
240.945 Notification
240.950 Reasons for Termination
240.955 Reasons for Reduction or Change
SUBPART J: SPECIAL SERVICES
Section
240.1010 Nursing Facility Screening
240.1020 Interim Services
240.1040 Intense Service Provision
240.1050 Temporary Service Increase
SUBPART K: TRANSFERS
Section
ILLINOIS REGISTER 15239
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
240.1110 Individual Transfer Request – Vendor to Vendor – No Change in Service
240.1120 Individual Transfer Request – Vendor to Vendor – With Change in Service
240.1130 Individual Transfers – Case Coordination Unit to Case Coordination Unit
240.1140 Transfer of Pending Applications
240.1150 Interagency Transfers
240.1160 Temporary Transfers – Case Coordination Unit to Case Coordination Unit
240.1170 Caseload Transfer – Vendor to Vendor
240.1180 Caseload Transfer – Case Coordination Unit to Case Coordination Unit
SUBPART L: ADMINISTRATIVE SERVICE CONTRACT
Section
240.1210 Administrative Service Contract
SUBPART M: CASE COORDINATION UNITS AND PROVIDERS
Section
240.1310 Standard Contractual Requirements for Case Coordination Units and Providers
240.1320 Vendor or Case Coordination Unit Fraud/Illegal or Criminal Acts
240.1330 General Vendor and CCU Responsibilities (Repealed)
240.1396 Payment for Services (Repealed)
240.1397 Purchases and Contracts (Repealed)
240.1398 Safeguarding Case Information (Repealed)
240.1399 Termination of a Vendor or Case Coordination Unit (CCU)
SUBPART N: CASE COORDINATION UNITS
Section
240.1400 Community Care Program Case Management
240.1410 Case Coordination Unit Administrative Minimum Standards
240.1420 Case Coordination Unit Responsibilities
240.1430 Case Management Staff Positions, Qualifications and Responsibilities
240.1440 Training Requirements For Case Management Supervisors and Case Managers
SUBPART O: PROVIDERS
Section
240.1505 Administrative Requirements for Certification
ILLINOIS REGISTER 15240
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
240.1510 Provider Administrative Minimum Standards
240.1520 Provider Responsibilities
240.1525 Standard Requirements for In-home Service Providers
240.1530 General In-home Service Staffing Requirements
240.1531 Electronic Visit Verification (EVV) Requirements for In-home Service Providers
240.1535 In-home Service Staff Positions, Qualifications, Training and Responsibilities
240.1540 General Chore-Housekeeping Staffing Requirements (Repealed)
240.1541 Minimum Equipment Specifications for Emergency Home Response Service
240.1542 Administrative Requirements for Emergency Home Response Service Providers
240.1543 Minimum Equipment Specifications for Automated Medication Dispenser Service
240.1544 Administrative Requirements for Automated Medication Dispenser Service
Providers
240.1545 Chore-Housekeeping Staff Positions, Qualifications and Responsibilities
(Repealed)
240.1550 Standard Requirements for Adult Day Service Providers
240.1555 General Adult Day Service Staffing Requirements
240.1560 Adult Day Service Staff
240.1565 Adult Day Service Satellite Sites
240.1570 Service Availability Expansion
240.1575 Adult Day Care Site Relocation
240.1580 Standards for Alternative Providers
240.1590 Standard Requirements for Individual Provider Services
SUBPART P: PROVIDER PROCUREMENT
Section
240.1600 Provider Agency Certification
240.1605 Emergency Certification
240.1607 Standard CCP Provider Agreement
240.1610 Procurement Cycle for Provider Services (Repealed)
240.1615 Provider Initiated Service Area Modifications
240.1620 Issuance of Provider Proposal and Guidelines (Repealed)
240.1625 Content of Provider Proposal and Guidelines (Repealed)
240.1630 Criteria for Number of Provider Contracts Awarded (Repealed)
240.1635 Evaluation of Provider Proposals (Repealed)
240.1640 Determination and Notification of Provider Awards (Repealed)
240.1645 Objection to Certification Decision
240.1650 Classification, Identification and Receipt of Provider Service Violations
ILLINOIS REGISTER 15241
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
240.1655 Method of Identification of Provider Service Violations (Repealed)
240.1660 Provider Performance Reviews
240.1661 Provider and Case Coordination Unit Right to Appeal
240.1665 Contract Actions for Failure to Comply with Community Care Program
Requirements
SUBPART Q: CASE COORDINATION UNIT PROCUREMENT
Section
240.1710 Procurement Cycle For Case Management Services
240.1720 Case Coordination Unit Performance Review
SUBPART R: ADVISORY COMMITTEE
Section
240.1800 Community Care Program Advisory Committee
240.1850 Technical Rate Review Advisory Committee (Repealed)
SUBPART S: PROVIDER RATES
Section
240.1910 Establishment of Fixed Unit Rates
240.1920 Contract Specific Variations
240.1930 Fixed Unit Rate of Reimbursement for Homemaker Service
240.1940 Fixed Unit Rates of Reimbursement for Adult Day Service and Transportation
240.1950 Adult Day Care Fixed Unit Reimbursement Rates
240.1955 Fixed Unit Rates of Reimbursement for Emergency Home Response Service
240.1957 Fixed Unit Rates of Reimbursement for Automated Medication Dispenser Service
240.1960 Case Management Fixed Unit Reimbursement Rates
240.1970 Enhanced Rate for Health Insurance Costs
SUBPART T: FINANCIAL REPORTING
Section
240.2020 Financial Reporting of In-home Service
240.2023 Financial Reporting of Rate-Based Increases for Direct Service Workers
240.2030 Unallowable Costs for In-home Service
240.2040 Minimum Direct Service Worker Costs for In-home Service
ILLINOIS REGISTER 15242
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
240.2050 Cost Categories for In-home Service
AUTHORITY: Implementing Section 4.02 and authorized by Section 4.01(11) and 4.02 of the
Illinois Act on the Aging [20 ILCS 105/4.02 and 4.01(11)].
SOURCE: Emergency rules adopted at 4 Ill. Reg. 1, p. 67, effective December 20, 1979, for a
maximum of 150 days; adopted at 4 Ill. Reg. 17, p. 151, effective April 25, 1980; amended at 4
Ill. Reg. 43, p. 86, effective October 15, 1980; emergency amendment at 5 Ill. Reg. 1900,
effective February 18, 1981, for a maximum of 150 days; amended at 5 Ill. Reg. 12090, effective
October 26, 1981; emergency amendment at 6 Ill. Reg. 8455, effective July 6, 1982, for a
maximum of 150 days; amended at 6 Ill. Reg. 14953, effective December 1, 1982; amended at 7
Ill. Reg. 8697, effective July 20, 1983; codified at 8 Ill. Reg. 2633; amended at 9 Ill. Reg. 1739,
effective January 29, 1985; amended at 9 Ill. Reg. 10208, effective July 1, 1985; emergency
amendment at 9 Ill. Reg. 14011, effective August 29, 1985, for a maximum of 150 days;
amended at 10 Ill. Reg. 5076, effective March 15, 1986; recodified at 12 Ill. Reg. 7980; amended
at 13 Ill. Reg. 11193, effective July 1, 1989; emergency amendment at 13 Ill. Reg. 13638,
effective August 18, 1989, for a maximum of 150 days; amended at 13 Ill. Reg. 17327, effective
November 1, 1989; amended at 14 Ill. Reg. 1233, effective January 12, 1990; amended at 14 Ill.
Reg. 10732, effective July 1, 1990; emergency amendment at 15 Ill. Reg. 2838, effective
February 1, 1991, for a maximum of 150 days; amended at 15 Ill. Reg. 10351, effective July 1,
1991; emergency amendment at 15 Ill. Reg. 14593, effective October 1, 1991, for a maximum of
150 days; emergency amendment at 15 Ill. Reg. 17398, effective November 15, 1991, for a
maximum of 150 days; emergency amendment suspended at 16 Ill. Reg. 1744; emergency
amendment modified in response to a suspension by the Joint Committee on Administrative
Rules and reinstated at 16 Ill. Reg. 2943; amended at 15 Ill. Reg. 18568, effective December 13,
1991; emergency amendment at 16 Ill. Reg. 2630, effective February 1, 1992, for a maximum of
150 days; emergency amendment at 16 Ill. Reg. 2901, effective February 6, 1992, to expire June
30, 1992; emergency amendment at 16 Ill. Reg. 4069, effective February 28, 1992, to expire
June 30, 1992; amended at 16 Ill. Reg. 11403, effective June 30, 1992; emergency amendment at
16 Ill. Reg. 11625, effective July 1, 1992, for a maximum of 150 days; amended at 16 Ill. Reg.
11731, effective June 30, 1992; emergency rule added at 16 Ill. Reg. 12615, effective July 23,
1992, for a maximum of 150 days; modified at 16 Ill. Reg. 16680; amended at 16 Ill. Reg.
14565, effective September 8, 1992; amended at 16 Ill. Reg. 18767, effective November 27,
1992; amended at 17 Ill. Reg. 224, effective December 29, 1992; amended at 17 Ill. Reg. 6090,
effective April 7, 1993; amended at 18 Ill. Reg. 609, effective February 1, 1994; emergency
amendment at 18 Ill. Reg. 5348, effective March 22, 1994, for a maximum of 150 days; amended
at 18 Ill. Reg. 13375, effective August 19, 1994; amended at 19 Ill. Reg. 9085, effective July 1,
1995; emergency amendment at 19 Ill. Reg. 10186, effective July 1, 1995, for a maximum of 150
ILLINOIS REGISTER 15243
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
days; emergency amendment at 19 Ill. Reg. 12693, effective August 25, 1995, for a maximum of
150 days; amended at 19 Ill. Reg. 16031, effective November 20, 1995; amended at 19 Ill. Reg.
16523, effective December 1, 1995; amended at 20 Ill. Reg. 1493, effective January 10, 1996;
emergency amendment at 20 Ill. Reg. 5388, effective March 22, 1996, for a maximum of 150
days; amended at 20 Ill. Reg. 8995, effective July 1, 1996; amended at 20 Ill. Reg. 10597,
effective August 1, 1996; amended at 21 Ill. Reg. 887, effective January 10, 1997; amended at 21
Ill. Reg. 6183, effective May 15, 1997; amended at 21 Ill. Reg. 12418, effective September 1,
1997; amended at 22 Ill. Reg. 3415, effective February 1, 1998; amended at 23 Ill. Reg. 2496,
effective February 1, 1999; amended at 23 Ill. Reg. 5642, effective May 1, 1999; amended at 26
Ill. Reg. 9668, effective July 1, 2002; emergency amendment at 26 Ill. Reg. 10829, effective July
1, 2002, for a maximum of 150 days; amended at 26 Ill. Reg. 17358, effective November 25,
2002; emergency amendment at 28 Ill. Reg. 923, effective December 26, 2003, for a maximum
of 150 days; amended at 28 Ill. Reg. 7611, effective May 21, 2004; emergency amendment at 30
Ill. Reg. 10117, effective June 1, 2006, for a maximum of 150 days; emergency amendment at 30
Ill. Reg. 11767, effective July 1, 2006, for a maximum of 150 days; amended at 30 Ill. Reg.
16281, effective September 29, 2006; amended at 30 Ill. Reg. 17756, effective October 26, 2006;
amended at 32 Ill. Reg. 7588, effective May 5, 2008; emergency amendment at 32 Ill. Reg.
10940, effective July 1, 2008, for a maximum of 150 days; emergency expired November 27,
2008; amended at 32 Ill. Reg. 17929, effective November 10, 2008; amended at 32 Ill. Reg.
19912, effective December 12, 2008; amended at 33 Ill. Reg. 4830, effective March 23, 2009;
amended at 34 Ill. Reg. 3448, effective March 8, 2010; emergency amendment at 34 Ill. Reg.
10854, effective July 15, 2010, for a maximum of 150 days; emergency expired December 11,
2010; emergency amendment at 34 Ill. Reg. 12224, effective August 4, 2010, for a maximum of
150 days; emergency expired December 31, 2010; amended at 35 Ill. Reg. 8919, effective June
2, 2011; emergency amendment at 35 Ill. Reg. 13936, effective July 28, 2011, for a maximum of
150 days; amended at 35 Ill. Reg. 20130, effective December 6, 2011; emergency amendment at
37 Ill. Reg. 11381, effective July 1, 2013, for a maximum of 150 days; emergency expired
November 27, 2013; amended at 38 Ill. Reg. 5800, effective February 21, 2014; amended at 38
Ill. Reg. 14230, effective June 25, 2014; amended at 41 Ill. Reg. 15233, effective January 1,
2018.
SUBPART B: SERVICE DEFINITIONS
Section 240.237 Automated Medication Dispenser Service
a) Service Description
ILLINOIS REGISTER 15244
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
1) Automated Medication Dispenser (AMD) service is defined as a portable,
mechanical system for individual use that can be programmed to dispense
or alert the individualparticipant to take non-liquid oral medications
through auditory, visual or voice reminders; to provide notification of a
missed medication dose; and to provide 24 hour technical assistance for
the AMD service in the individual'sparticipant's residence. The service
may include medication specific directions or reminders to take other
types of medications such as liquid medications or injections based on
individual need. The AMD unit is connected to a Department approved
support center through a telephone line or wireless/cellular connection in
the individual'sparticipant's residence.
2) The purpose of the service is to provide eligible individualsparticipants
with medication reminders to foster timely and safe administration of a
complex medication schedule, thereby promoting independence and safety
of all individualsthe participants in their own residence, as well as
reducing the need for nursing home care.
3) The authorization to receive this service is determined by the care
coordinator through a screening process set forth in Section 240.741,
which requires the individualparticipant/authorized representative to
designate a responsible party to manage the AMD unit and medications as
set forth in Section 240.741.
4) This service does not include medication management, oversight or
handling of the individual'sparticipant's medications.
5) Provision of this service is contingent upon it being approved by the
federal government as a State Medicaid Waiver service.
b) Specific components of AMD service must include, at a minimum, the following:
1) an AMD unit installed in the individual'sparticipant's residence with all
connectors, parts and equipment necessary for installation, and adaptations
for operation by individuals who have functional, hearing or visual
impairments, or who exhibit language barriers.
ILLINOIS REGISTER 15245
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
2) delivery of the AMD unit to the individualparticipant and installation of
the unit into a functioning telephone or wireless/cellular system in the
individual'sparticipant's residence within 48 hours after the referral when
the individualparticipant is at imminent risk of institutionalization and
within 15 calendar days from the date of the referral in all other instances.
A) This timeline can be extended if requested by the
individualparticipant/authorized representative/responsible party.
B) This service shall not be subcontracted and shall be provided by
trained employees who will identify themselves by picture
identification that can be verified by the
individualparticipant/authorized representative.
C) Delivery and installation of the AMD unit may include
coordination of emergency home response service (see Section
240.235) for an individuala participant/authorized representative.
3) training for the individualparticipant/authorized representative and
responsible party on the proper use of the AMD system at the time of
installation and subsequently when needed. The training will include:
A) demonstration of the use, general care and maintenance of the
unit/equipment;
B) explanation of the AMD provider's services and notification
processes;
C) instruction on any testing or monitoring used to assure the proper
functioning of the AMD unit/equipment, including how to report
any malfunctions; and
D) providing the individual with easy to understand written
instructions in the use, general care and maintenance of the AMD
unit/equipment. These instructions will be available in options
such as non-English languages, large print, Braille, and audible
recordings to meet the individual's needs.
ILLINOIS REGISTER 15246
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
4) provision of verbal and written instructions that are easy to understand in
the following areas:
A) demonstration of the AMD unit and equipment, including, but not limited
to:
i) activation, use and maintenance of the unit;
ii) programming the unit;
iii) filling the unit with medications;
iv) sanitization and proper handling of medications that could cause
medication poisoning or cross-contaminate other medications;
v) message options;
vi) early dose features;
vii) ocking features;
viii) volume control;
ix) manual requirements for operation;
x) voice, text, buttons and flashing light features;
xi) battery back-up systems in case of power failure;
xii) HIPAA-compliant (e.g., privacy-protected and secure) methods of
communicating with the support center and web-based systems, including
toll free help-lines and other language options, if needed;
xiii) options for pick-up or return of the AMD equipment when no longer used;
xiv) description of other troubleshooting interventions; and
xv) explanation of how ongoing training needs are met.
ILLINOIS REGISTER 15247
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
B) explanation of the AMD provider's services, including how the participant
and family member or other individuals designated as a responsible party
for the unit may communicate through a HIPAA-compliant (e.g., privacy-
protected and secure) website, fax, or phone call to change the
programming of medications, such as adding new medications, changing
the schedule of medications or discontinuing medications.
C) explanation of the notification process for missed medication doses;
agreed mode of notification; and access to participant-specific information
through other modalities, such as a HIPAA-compliant (e.g., privacy-
protected and secure) website, texts or phone calls or written reports.
D) provision of instructions on any testing or monitoring required to assure
the proper functioning of the AMD equipment, including how to report a
malfunction of the equipment.
E) provision of appropriate training adaptations for individuals who have
functional, hearing or visual impairments, or who exhibit language
barriers, i.e., instructions in large print, Braille, audible recordings or other
languages to meet individual needs.
45) ensuring the individualparticipant/authorized representative reviews his or
her responsible party designation at least every 6 months. Any changes in
this designation must be sent to the Care Coordination Unit (CCU) within
5 calendar days from the date of execution of the responsible party
change. If there is a change in designation, the AMD provider must
complete new training as required under subsection (b)(3) within 7
calendar days from the date of execution of the responsible party change.
56) obtaining the signature of the individualparticipant/authorized
representative and responsible party to verify that the AMD
unit/equipment was delivered and installed and that instructions and
demonstration were given and understood by the
individualparticipant/authorized representative and responsible party,
including acknowledgement of their responsibilities in managing
medications, medication administration and oversight of medications and
of the limited role of the Department in approving of and paying for the
ILLINOIS REGISTER 15248
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
AMD service. A copy of this receipt and acknowledgment must be sent to
and kept at the CCU.
67) ownership and operation of a support center to provide live monitoring on
a continuous basis, notify the individualparticipant/authorized
representative/responsible party of missed medication doses and provide
necessary technical support for fault conditions, including a language line
that provides interpreter service for at least 140 languages and
communication facilitated by a teletypewriter (TTY) communication
device for the deaf, as appropriate.
78) ownership and operation of a back-up support center that provides all
components specified in subsection (b)(67) and that operates on a separate
power grid.
89) maintaining adequate local staffing levels of qualified personnel to
conduct and provide necessary administrative activities, installation, in-
home training, unit/equipment monitoring, technical support, medication
program changes and repair requests in a timely manner. An AMD
provider must have a written training program for personnel and be able to
demonstrate that its staff members are qualified and have passed
background checks.
910) repairing or replacing the AMD unit/equipment within 24 hours after
receiving a malfunction report. This timeline will be extended if requested
by the individual/authorized representative/responsible party.
1011) alerts to the individualparticipant/authorized representative and
responsible party when electric power to the AMD unitequipment has
been interrupted (e.g., unplugged) and the unit is operating on a standby
power source.
1112) notification to the CCU within 1 business day after activation of the AMD
unit and working with the appropriate care coordinator to resolve service
complaints from the individualparticipant/authorized
representative/responsible party.
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DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
1213) notification to the CCU within 2 calendar days if the AMD service cannot
be initiated or must be terminated.
1314) maintaining records in accordance with Section 240.1544 relating to
individualparticipant referral and service statistics, including
unit/equipment delivery; unit activation and programming;
individualparticipant/authorized representative and responsible party
training; missed medication notifications and dispositions; other AMD
unit/equipment monitoring and test transmission activity; unit/equipment
malfunction, repair and replacement; power interruption alerts;
notifications to the CCUs; billing and payment information; and personnel
qualifications, training and background checks.
1415) making available individual reports on missed medication doses, power
and battery status, and other reporting features on an ongoing basis to the
responsible party and care coordinators via a HIPAA-compliant (e.g.,
privacy-protected and secure) website or other modality.
1516) providing access to individual and aggregate reports, consumer
satisfaction surveys, and AMD system performance measures on an
ongoing basis to authorized persons through a HIPAA-compliant (e.g.,
privacy-protected and secure) website or other modality.
1617) providing ad hoc reports to the Department upon request.
c) Units of Service
1) One unit of installation service is the one-time fee to the AMD provider
for the activity associated with the installation of the AMD unit/equipment
in the individual'sparticipant's residence and training of the
individualparticipant/authorized representative and responsible party.
2) One unit of monthly service is the fixed unit rate of reimbursement, per
month, for the provider agency activity associated with providing the
AMD service to each individualparticipant.
(Source: Amended at 41 Ill. Reg. 15233, effective January 1, 2018)
ILLINOIS REGISTER 15250
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
SUBPART O: PROVIDERS
Section 240.1543 Minimum Equipment Specifications for Automated Medication
Dispenser Service
a) AnAll AMD unit/equipment must be capable of portability to be temporarily
transferred to another non-institutional residence in Illinois without additional
activation fees.
b) AMD Unit Specifications
1) The AMD unit must be a portable, waterproof, mechanical system
configured with:
A) all the cords and interfaces needed for installation;
B) an internal battery capable of operating as a power source for a
minimum of 3 years;
C) a battery back-up that charges automatically when unit is powered
and maintains a charge for at least 12 hours when the electric
power to the AMD unit is interrupted;
D) a low battery charge signal;
E) components certified as appropriate by the Federal
Communications Commission (FCC) under 47 CFR 15 and 68;
and
F) appropriate Underwriters Laboratories (UL) safety standards (UL
60950 and 60950-1) certification for battery powered technology
equipment.
2) The AMD unit must have the following operating features:
A) ability to be loaded, programmed and changed to add and remove
prescriptions, including:
ILLINOIS REGISTER 15251
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DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
i) local or remote accessibility to the AMD unit in order to
program it in accordance with physician orders for
medication administration; the unit must allow medication
to be dispensed at least 4 times a day; and
ii) to alert the individualparticipant at the times programmed
for dispensing medication;
B) ability to be filled with medications by the responsible party,
including:
i) holding at least 7 days' supply of prescription medications;
ii) holding multiple8 or more different medications in
individual compartments;
iii) access to medication for an early dose option; and
iv) locking after the medication is loaded;
C) ability to alert the individualparticipant when it is time to take
medications at least every 5 to 10 minutes for at least 60 minutes
until the dose is taken or the dose is locked, including:
i) using verbal, auditory or visual prompts such as flashing
lights and audible tones or verbal instructions, which may
also provide messages to take medication that cannot be
stored in the machine (e.g., take medications with food;
time to take insulin) based on the individual'sparticipant's
needs; and
ii) dispensing medications at the correct time of day in the
correct combinations and in the correct quantities; and
iii) easy adjustment of the volume on auditory or verbal
features;
ILLINOIS REGISTER 15252
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DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
D) use of HIPAA-compliant (e.g., privacy-protected and secure)
methods of communication with the individualparticipant/
authorized representative/responsible party, including:
i) notification when battery is low or unit is jammed, or if the
individualparticipant has not taken the medication within
90 minutes after the prescribed time;
ii) contact by the unit or call center to the individual
participant/authorized representative/responsible party to
assure adherence or needed intervention; and
E) ability to securely transmit information and provide data to the
individualparticipant/authorized representative/responsible party,
the Department or its designees.
3) The AMD unit must be capable of conducting automatic battery testing
and transmitting the results through the AMD unit to the support center on
an ongoing basis.
4) If an AMD unit is a Class I medical device, the AMD unit is subject to the
General Controls mandated by the Federal Food and Drug Administration,
including provisions that relate to adulteration (21 USC 351); misbranding
(21 USC 352); device registration and listing (21 USC 360); notification,
including repair, replacement, or refund (21 USC 360h); records and
reports (21 USC 360i); and restricted devices (21 USC 520(e)). In
addition, the manufacturer of the device must fulfill requirements under 21
CFR 820.180 (Record keeping) and 820.198 (Complaint files). If an
AMD unit has enhanced features, such as remote capability, it may be
classified as a Class II medical device and must then meet applicable
Special Controls under the FDA.
5) The AMD unit must have adaptations for operation by individuals who
have functional, hearing or visual impairments, and language barriers at no
extra cost to the individualparticipant.
c) AMD Unit Specifications
ILLINOIS REGISTER 15253
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DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
1) The AMD unit must have:
A) an integrated unit that connects to either a rotary dial or touchtone
telephone via a modular jack or wireless/cellular system that does
not interfere with the normal use of the telephone or other devices
using the telephone line, such as Emergency Home Response
Service;
B) an Underwriters Laboratory (UL) approved plug as the connector
to a standard residential electrical outlet for its power supply;
C) the abilityan easily identifiable "ready" light to verify whether the
batteries on the base unit are charged;
D) a battery that automatically charges whenever the base unit is
powered and that maintains a charge for at least 12 hours when the
electric power to the base unit is interrupted; and
E) transmission capability to signal the support center or notify the
individual/authorized representative/responsible party if the base
unit battery fails or has a low charge, or electric power to the base
unit is interrupted.;
F) configuration that allows signaling services through more than one
unit for more than one participant in a residence; and
G) an easy method to control the volume of the unit.
2) The AMD unit must give both audible and visual technology and lighting
cues to provide medication alerts.
3) The AMD unit must provide repeated alerts or messages until the
medication is taken, or until the time limit on reminders is met, at which
time the dose is unable to be accessed by the individualtransferred to a
locked storage area and the responsible party is notified of the missed
medication dose.
d) Support Center Specifications
ILLINOIS REGISTER 15254
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DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
1) The AMD support center must have back-up monitoring capacity to take
over all medication dispenser notification functions, monitoring and
technical support functions.
2) The AMD back-up monitoring center must be at a location different from
the primary center, on a different power grid system, and on a different
telephone trunk line. It must have a back-up battery and electrical
generating capacity, as well as telephone line and wireless/cellular system
monitoring abilities. If the back-up center is in the same city as the
support center, the AMD provider must provide assurances that back-up
can be maintained in the event of a natural disaster.
3) All AMD support center and back-up center equipment, at a minimum,
must:
A) monitor the AMD system for the receipt of incoming signals from
an installed and programmed AMD unitunits in an individual'sa
participant's residence, including missed medication doses, power
interruptions and outages, and test transmissions and fault
conditions, on a continuous basis;
B) direct an appropriate response to the receipt of a signal
immediately via texts/emails to the responsible party and call the
responsible party within 90 minutes after missed medications and
within 8 hours after power interruptions and outages;
C) provide technical support as required, 24 hours a day, 365 days a
year;
D) identify each individualparticipant and simultaneously record all
communication between the individualparticipant/authorized
representative/responsible party and the support center, as
applicable, for all signals, including missed medication doses, test
transmissions and fault conditions;
E) display, print and archive the individualparticipant identifier, date,
time, communication and response for each signal, test and fault
ILLINOIS REGISTER 15255
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DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
condition, which must be maintained for at least a 3-year period of
time for quality control and liability purposes;
F) have an uninterruptible power supply (UPS) back-up that will
automatically take over system operation in the event electric
power to the support center is interrupted, other type of
malfunction occurs, or repairs are needed. The back-up power
supply must be sufficient to operate the entire system for a
minimum of 7 calendar days;
G) have separate and independent primary and back-up systems,
computer servers, databases, and other components to provide an
uninterruptible monitoring system in the event of equipment
malfunction;
H) perform self-diagnostic testing for malfunctions in the
unit/equipment in an individual'sa participant's residence and at the
support center, and for fault conditions in the primary and back-up
operating systems and power supply at the support center, that
could interfere with receiving and responding to signals, such as
non-operational AMD units, messages sent from the AMD unit to
the individualparticipant/authorized representative/responsible
party without confirmation of receipt, telephone line outages,
power loss, etc.;
I) capability to centrally generate medication compliance data and
reports as requested by the Department;
J) have quality management systems that include tracking and
trending of data, response times and dispositions; and
K) maintain appropriate certification by the FCC under 47 CFR 15
and 68.
(Source: Amended at 41 Ill. Reg. 15233, effective January 1, 2018)
SUBPART S: PROVIDER RATES
ILLINOIS REGISTER 15256
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
Section 240.1955 Fixed Unit Rates of Reimbursement for Emergency Home Response
Service
Emergency home response service (EHRS) providers executing a contractual agreement with the
Department pursuant to Section 240.1600 shall be uniformly reimbursed for the provision of
EHRS at fixed unit rates of reimbursement established by the Department. The reimbursable
units of EHRS shall be as follows:
a) Installation and Removal
The Department shall pay a one-time installation fee at a fixed unit
reimbursement rate established by the Department for the installation of the base
unit in the individual'sparticipant's home. The Department shall not pay any fee
for expenses incurred by the EHRS provider if service could not be provided due
to either the individual'sparticipant's absence or the individual'sparticipant's
refusal to admit the EHRS provider's employee into the home. The Department
shall not pay any fee for removal of the base unit.
b) Monthly Service
The Department shall pay a monthly service fee per individualparticipant at a
fixed unit reimbursement rate established by the Department for providing EHRS
to individualsparticipants. The Department shall not pay for the cost of
maintaining telephone service for the individualparticipant or any associated
charges or fees.
c) Rate for EHRS and Automated Medication Dispenser (AMD) Provided by the
Same Provider:
1) For individual participant households, the Department shall pay a single
installation fee and a single monthly service fee for EHRS and AMD when
these services are installed and provided at the same time, by the same
provider.
2) For dual participant households when both participants are utilizing EHRS
and AMD services, the Department shall pay a single installation fee, an
AMD monthly service fee per participant, and a shared EHRS monthly
service fee when these services are installed and provided at the same
time, by the same provider.
ILLINOIS REGISTER 15257
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DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
d) The rates will be reviewed annually, at a minimum, and adjustments may be made
to conform to the appropriation, service requirements and/or changes in federal
and State laws, regulations and/or rules affecting the service.
de) In establishing the rates of reimbursement, the Department will comply with
federal requirements for Medicaid waivers, which are described in the State
Medicaid Plan maintained by HFS and posted on the HFS website. The
Department will use a Request for Information process to obtain rate information
from providers and then consider whether the resulting average is supported by
the appropriation level for the program in light of trend analyses on use of the
service and current market conditions. The goal is to ensure adequate provider
participation and individualparticipant choice. The specific amount that the
service provider will be reimbursed for a unit of service is reflected in the
provider contract and is listed on the Department's website.
ef) Upon written notification from the Department of a change in the rates of
reimbursement, an AMD provider may exercise its 30 calendar day termination
rights if the EHRS provider no longer wishes to provide services thereafter at the
new rates of reimbursement.
(Source: Amended at 41 Ill. Reg. 15233, effective January 1, 2018)
Section 240.1957 Fixed Unit Rates of Reimbursement for Automated Medication
Dispenser Service
Automated Medication Dispenser (AMD) service providers executing a contractual agreement
with the Department pursuant to Section 240.1600 shall be uniformly reimbursed for the
provision of AMD units at fixed unit rates of reimbursement established by the Department. The
reimbursable units of AMD service shall be as follows:
a) Installation, Initial Training and Removal
The Department shall pay a one-time installation fee at a fixed unit
reimbursement rate established by the Department for the installation and initial
training of the individualparticipant/authorized representative/responsible party of
the AMD unit in the individual'sparticipant's residence. The Department shall not
pay any fee for expenses incurred by the AMD provider if service could not be
provided due to either the individual'sparticipant's absence or the
ILLINOIS REGISTER 15258
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DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
individual'sparticipant's refusal to admit the AMD provider's employee into the
residence. The Department shall not pay any fee for removal of the AMD unit.
b) Monthly Service
The Department shall pay a monthly service fee per individualparticipant at a
fixed unit reimbursement rate established by the Department for providing AMD
service which includes maintaining administrative and technical support to
program machines; providing 24 hour technical assistance and additional training;
signal monitoring, troubleshooting, machine maintenance, repair and replacement;
notifications to the responsible party on missed medication doses and power
outage; tracking and analyzing data; and providing reports as requested by the
Department. The Department will not pay for the cost of maintaining telephone
service for the individualparticipant or any associated charges or fees.
c) Rate for AMD and Emergency Home Response Services (EHRS) Provided by the
Same Provider:
1) For individual participant households, the Department shall pay a single
installation fee and a single monthly service fee for AMD and EHRS when
these services are installed and provided at the same time, by the same
provider.
2) For dual participant households when both participants are utilizing AMD
and EHRS, the Department shall pay a single installation fee, an AMD
monthly service fee per participant, and a shared EHRS monthly service
fee when these services are installed and provided at the same time, by the
same provider.
cd) The rates will be reviewed annually, at a minimum, and adjustments may be made
to conform to the appropriation, service requirements and/or changes in federal
and State laws, regulations and/or rules affecting the service.
de) In establishing the rates of reimbursement, the Department may consider any of
the following factors:
1) appropriation levels;
2) cost information provided by the providers; and/or
ILLINOIS REGISTER 15259
17
DEPARTMENT ON AGING
NOTICE OF ADOPTED AMENDMENTS
3) current market conditions and trend analyses.
ef) Upon written notification from the Department of a change in the rates of
reimbursement, an AMD provider may exercise its 30 calendar day termination
rights if the AMD provider no longer wishes to provide services thereafter at the
new rates of reimbursement.
(Source: Amended at 41 Ill. Reg. 15233, effective January 1, 2018)
ILLINOIS REGISTER 15260
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
1) Heading of the Part: Appeal of Child Abuse and Neglect Investigation Findings
2) Code Citation: 89 Ill. Adm. Code 336
3) Section Numbers: Adopted Actions:
336.20 Amend ment
336.30 Amendment
336.40 Repealed
336.50 Amendment
336.60 Amendment
336.80 Amendment
336.85 Amendment
336.90 Amendment
336.100 Repealed
336.105 New Section
336.110 Repealed
336.115 New Section
336.120 Amendment
336.130 Amendment
336.140 Amendment
336.150 Amendment
336.160 Amendment
336.170 Amendment
336.180 Amendment
336.190 Amendment
336.200 Amendment
336.210 Amendment
336.220 Amend ment
4) Statutory Authority: Authorized by Section 5 of the Children and Family Services Act
[20 ILCS 505/5]; implementing Section 7.16 of the Abused and Neglected Child
Reporting Act [325 ILCS 5/7.16].
5) Effective Date of Rules: December 6, 2017
6) Does this rulemaking contain an automatic repeal date? No
7) Does this rule contain incorporations by reference? No
ILLINOIS REGISTER 15261
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DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
8) A copy of the adopted rules, 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: 40 Ill. Reg. 16013; December 9,
2016
10) Has JCAR issued a Statement of Objection to this rulemaking? Yes
11) Differences between Proposal and Final Version: Changed the definition of "Child Care
Worker" as follows:
"Child care worker" means any person who is employed to work directly with children
and any person who is an owner/operator of a child care facility, regardless of whether
the facility is licensed by the Department. "Child care worker" also means persons
employed as full-time nannies. "Child care worker" also includes a person currently
enrolled in an academic program that leads to a position as a child care worker; or who
has applied for a license required for a child care worker position. A person will be
considered to be a child care worker under this Part if, at the time of the notice of the
investigation, he or she: has applied for, or will apply within 180 days for, a position as a
child care worker; is enrolled in, or will commence within 180 days, an academic
program that leads to a position as a child care worker; or has applied for a license as a
child care worker. A child care worker may be subject to this Part if alleged to be
responsible for child abuse or neglect outside of his or her employment.
For the purposes of this definition, any person who is employed full or part-time
at or is the owner of any of the following shall be considered a child care worker:
child care institutions; child welfare agencies; day care/night care centers; day
care/night care homes; day care/night care group day care homes; group homes;
hospitals or health care facilities; schools, including school aides, bus drivers,
school teachers and administrators, but not tenured school teachers or
administrators who have other disciplinary processes available to them; and
before and after school programs, recreational programs and summer camps;
Established that, in addition to amending or unfounding an indicated case of child abuse
or neglect, the Department may administer other remedies permitted under the law;
Included several amendments to clarify and correct technical and readability issues;
ILLINOIS REGISTER 15262
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DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
Reinstated the definition of "credible evidence";
The Department agreed that an appellant and the Department's legal representative may
subpoena any witness identified on the witness list and "….any witness and documents
discussed at the pre-hearing conference."; and
The Department agreed to add to Section 336.50 Who May Appeal that an agency named
as a perpetrator in an indicated report of child abuse or neglect has the right to appeal the
final finding determination.
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 amendments to the process of appealing an
indicated finding of abuse or neglect are required in order to comply with recent changes
made to ANCRA in PA 98-453 and 98-487 and to codify how the Department will satisfy
its obligation in the Dupuy settlement agreement (concerning the rights of child care
workers to appeal indicated findings).
16) Information and questions regarding these adopted rules shall be directed to:
Jeff Osowski
Office of Child and Family Policy
Department of Children and Family Services
406 E. Monroe, Station #65
Springfield IL 62701-1498
217/ 524-1983
TDD: 217/524-3715
e-mail: [email protected]
The full text of the Adopted Amendments begins on the next page:
ILLINOIS REGISTER 15263
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
TITLE 89: SOCIAL SERVICES
CHAPTER III: DEPARTMENT OF CHILDREN AND FAMILY SERVICES
SUBCHAPTER b: PROGRAM AND TECHNICAL SUPPORT
PART 336
APPEAL OF CHILD ABUSE AND NEGLECT
INVESTIGATION FINDINGS
Section
336.10 Purpose
336.20 Definitions
336.30 Written Notification of the Final Finding in Child Abuse and Neglect
InvestigationsNotice of Department Decision
336.40 Notice of the Right to Appeal and Receive an Administrative Hearing (Repealed)
336.50 Who May Appeal
336.60 What May Be Appealed
336.70 Appearance/Authorization to Represent
336.80 How to Request an Administrative Appeala Hearing/Sufficiency
336.85 Expedited Administrative Appeals for Child Care Workers
336.90 Confidentiality During the Expungement Process
336.100 Rights and Responsibilities in Administrative Hearings (Repealed)
336.105 The Administrative Appeal Hearing
336.110 The Administrative Hearing and Pre-Hearing Conference (Repealed)
336.115 Rights and Responsibilities During the Administrative Appeal
336.120 The Administrative Law Judge
336.130 Consolidating and Severing Issues and Parties
336.140 Exchange of Information
336.150 Continuances
336.160 Attendance of Witnesses
336.170 Testimony by Telephone
336.180 Interpreters and Translation of Documents
336.190 Grounds for Dismissal
336.200 Abandonment of Appeal/Default
336.210 Record of an Administrative Hearing
336.220 Final Administrative Decision
336.230 Severability of This Part
AUTHORITY: Authorized by Section 5 of the Children and Family Services Act [20 ILCS
ILLINOIS REGISTER 15264
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
505/5]; implementing Section 7.16 of the Abused and Neglected Child Reporting Act [325 ILCS
5/7.16].
SOURCE: Adopted at 17 Ill. Reg. 1026, effective January 15, 1993; amended at 19 Ill. Reg.
3465, effective March 1, 1995; emergency amendment at 20 Ill. Reg. 4817, effective March 15,
1996, for a maximum of 150 days; amended at 20 Ill. Reg. 10317, effective August 1, 1996;
amended at 24 Ill. Reg. 7660, effective June 1, 2000; emergency amendment at 25 Ill. Reg. 3700,
effective February 23, 2001, for a maximum of 150 days; emergency expired on July 22, 2001;
amended at 26 Ill. Reg. 4175, effective March 8, 2002; peremptory amendment at 29 Ill. Reg.
21091, effective December 8, 2005; amended at 41 Ill. Reg. 15260, effective December 6, 2017.
Section 336.20 Definitions
"Abused child" means a child whose parent or immediate family member, or any
person responsible for the child's welfare, or any individual residing in the same
home as the child, or a paramour of the child's parent:"Abused child" means a
child whose parent or immediate family member, or any person responsible for
the child's welfare, or any individual residing in the same home as the child, or a
paramour of the child's parent:
inflicts, causes to be inflicted, or allows to be inflicted upon such child
physical or mental injury, by other than accidental means, which causes
death, disfigurement, impairment of physical or emotional health, or loss
or impairment of any bodily function;
creates a substantial risk of physical or mental injury to such child by
other than accidental means which would be likely to cause death,
disfigurement, impairment of physical or emotional health, or loss or
impairment of any bodily function;
commits or allows to be committed any sex offense against such child, as
such sex offenses are defined in the Criminal Code of 2012 [720 ILCS 5]
or in the Wrongs to Children Act [720 ILCS 150],1961, as amended, and
extending those definitions of sex offenses to include children under 18
years of age;
commits or allows to be committed an act or acts of torture upon such
child; or
ILLINOIS REGISTER 15265
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
inflicts excessive corporal punishment or, in the case of a person working
for an agency who is prohibited from using corporal punishment, inflicts
corporal punishment upon a child or adult resident with whom the person
is working in his or her professional capacity;, or
commits or allows to be committed the offense of female genital
mutilation, as defined in Section 12-34 of the Criminal Code of 20121961,
against the child. [325 ILCS 5/3]
causes to be sold, transferred, distributed or given to such child under 18
years of age a controlled substance as defined in Section 102 of the
Illinois Controlled Substances Act [720 ILCS 570] or in violation of the
Methamphetamine Control and Community Protection Act [720 ILCS
646], except for controlled substances that are prescribed in accordance
with Article III of the Illinois Controlled Substances Act and are dispensed
to such child in a manner that substantially complies with the
prescription; or
commits or allows to be committed the offense of involuntary servitude,
involuntary sexual servitude of a minor, or trafficking in persons as
defined in Section 10-9 of the Criminal Code of 2012 against the child.
A child shall not be considered abused for the sole reason that the child has
been relinquished in accordance with the Abandoned Newborn Infant
Protection Act. [325 ILCS 5/3]
"Administrative hearing", in the context of this Part, means a formal review of a
final finding determinationdecision made by the Division of Child Protection at
the conclusion of a child abuse and neglect investigationa Department child
protection investigator.
"Administrative Law Judge" or "ALJ" means a licensed attorney who is appointed
by the Director of the Department and is responsible for conducting the
administrative hearingshearing, including pre-hearings, and issuing a
recommended decision.
ILLINOIS REGISTER 15266
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
"Adult resident" means any person between 18 and 22 years of age who resides in
any facility licensed by the Department under the Child Care Act of 1969 [225
ILCS 10]. For the purpose of this Part, the definitions of "abused child" and
"neglected child" include adult residents who meet the criteria set forth in those
definitions.
"Agency" means a child care facility licensed under Section 2.05 or Section 2.06
of the Child Care Act of 1969 and includes a transitional living program that
accepts children and adult residents for placement who are in the guardianship of
the Department. [325 ILCS 5/3]
"Amend", as used in this Part, means changing the final finding determination of
an allegation contained in an indicated report of child abuse or neglect or
changing identifying information ofregarding the subjects of an indicated report
of child abuse or neglect report.
"Administrative appeal" or "appeal"Appeal process" means the pre-
hearingprehearing conference and formal administrative hearing.
"Appellant" means the person who requests a review or administrative hearing or
in whose behalf a review and administrative hearing is requested.
"Authorized representative" means a person, including an attorney, authorized in
writing by a party to assist in an administrative appealthe appeals process. If the
party is unable to reduce thesuch authorization to writing, the Department, on
request, shall assist the party in doing so.
"Blatant disregard" means an incident where the real, significant and imminent
risk of harm would be so obvious to a reasonable parent or caretaker that it is
unlikely that a reasonable parent or caretaker would have exposed the child to
the danger without exercising precautionary measures to protect the child from
harm. With respect to a person working at an agency in his or her professional
capacity with a child or adult resident, "blatant disregard" includes a failure by
the person to perform job responsibilities intended to protect the child's or adult
resident's health, physical well-being, or welfare, and, when viewed in light of the
surrounding circumstances, evidence exists that would cause a reasonable person
to believe that the child was neglected. With respect to an agency, "blatant
disregard" includes a failure to implement practices that ensure the health,
ILLINOIS REGISTER 15267
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
physical well-being, or welfare of the children and adult residents residing in the
facility. [325 ILCS 5/3]
"Chief Administrative Law Judge" or "Chief ALJ" means the person who is
responsible for the supervision of the Administrative Law Judges and the
coordination of the administrative hearing appeal process.
"Child care worker" means any person who is employed to workworks directly
with children and any person who is an owner/operator of a child care facility,
regardless of whether the facility is licensed by the Department. "Child care
worker" also means persons employed as full-time nannies. "Child care worker"
also includes a person currently enrolled in an academic program that leads to a
position as a child care worker; or who has applied for a license required for a
child care worker position. A person will be considered to be a child care worker
under this Part if, at the time of the notice of the investigation, he or she:
has applied for, or will apply within 180 days for, a position as a child care
worker;
is enrolled in, or will commence within 180 days, an academic program
that leads to a position as a child care worker; or
has applied for a license as a child care worker.
A child care worker may be subject to this Part if alleged to be responsible for
child abuse or neglect outside of his or her employment.
For the purposes of this definition, any person who is employed full- or
part-time at or is the owner of any of the following shall be considered a
child care worker:
child care institutions;
child welfare agencies;
day care/night care centers;
day care/night care homes;
ILLINOIS REGISTER 15268
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DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
day care/night care group day care homes;
group homes;
hospitals or health care facilities;
schools, including school aides, bus drivers, school teachers and
administrators, but not tenured school teachers or administrators
who have other disciplinary processes available to them; and
before and after school programs, recreational programs and
summer camps.
"Child" means any person under the age of 18 years, unless legally emancipated
by reason of marriage or entry into a branch of the United States armed services.
[325 ILCS 5/31]
"Credible evidence of child abuse or neglect" means that the available facts, when
viewed in light of surrounding circumstances, would cause a reasonable person to
believe that a child was abused or neglected.
"Date of action" means the date on which any Department action becomes
effective.
"Day", for purposes of computation of time, means businesscalendar day, unless
otherwise specified.
"Department" means the Illinois Department of Children and Family Services.
"Department's legal representative" means an attorney who is licensed to practice
law in the State of Illinois andthe person who is responsible for presenting the
Department's case.
"Discovery,", for purposes of this Part, means the rights of any party to request
and have access to, in advance of the hearingpre-hearing, any materialsdocuments
relevant to the investigation and indicated finding and a list of witnesses in the
possession of any other party.
ILLINOIS REGISTER 15269
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DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
"Expedited appeal" means an appeal that may be requested only by a child care
worker who is the subject of a Department determination of indicated child abuse
and/or neglect. Expedited appeals require that the Director issue a final
administrative decision within 35 calendar days after the date of receipt by the
Department's Administrative Hearings Unit of a written request for an expedited
appeal, excluding any continuances at the request of, or with the agreement of, the
appellant. The 35 day time period excludes any time attributable to an appellant's
request for a continuance or to any continuance or date set by the agreement of
the parties. The appellant must specifically request an expedited appeal in writing
at the time of the initial request for appeal filed with the Unit. Any request for an
appeal that is received by the Unit that does not expressly request an expedited
appeal will automatically be treated as a regular appeal.
"Expunge", as used in this Part, means removing identifying information
regarding the subjects of an indicated child abuse or neglect report from the
computer file of the State Central Register and from paper records kept by the
Department.
"Final administrative decision" means the Department's final decision, order or
determination on an appealed issue rendered by the Director in a particular case
that, which affects the legal rights, duties or privileges of participants, and that
terminates the proceedings on the specific appeal before the Department's
Administrative Hearings Unit, and that may be further appealed to the circuit
court under the Illinois Administrative Procedure Act which may be further
appealed to the circuit court under the Administrative Review Law.
"Indicated report" means any report made under the Abused and Neglected Child
Reporting Act [325 ILCS 5] (ANCRA)of child abuse or neglect made to the
Department for which it is determined, after an investigation, that credible
evidence of the alleged abuse or neglect exists [325 ILCS 5/3].
"Individual legally acting on a person's behalf" means an individual who has been
appointed by a court of competent jurisdiction to act on behalf of a person when
the person is incompetent, incapacitated, or otherwise determined unable to
represent himself or herself.
ILLINOIS REGISTER 15270
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DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
"Member of the clergy" means a clergyman or practitioner of any religious
denomination accredited by the religious body to which he or she belongs.
"Neglected child" means any child:
who is not receiving:
the proper or necessary nourishment or medically indicated
treatment, including food or care not provideddenied solely on the
basis of the present or anticipated mental or physical impairment
as determined by a physician acting alone or in consultation with
other physicians; or otherwise is not receiving
the proper or necessary support or medical or other remedial care
recognized under State law as necessary for a child's well-being;
(including where there is harm or substantial risk of harm to the
child's health or welfare), or
other care necessary for his or hera child’s well-being, including
adequate food, clothing and shelter;
who is subjected to an environment which is injurious insofar as:
the child's environment creates a likelihood of harm to the child's
health, physical well-being, or welfare; and
the likely harm to the child is the result of a blatant disregard of
parent, caretaker, or agency responsibilities;
who is abandoned by his or her parents or other person responsible for
the child's welfare without a proper plan of care;
who has been provided with interim crisis intervention services under
Section 3-5 of the Juvenile Court Act of 1987 [705 ILCS 405] and whose
parent, guardian or custodian refuses to permit the child to return home
and no other living arrangement agreeable to the parent, guardian or
custodian can be made, and the parent, guardian or custodian has not
made any other appropriate living arrangement for the child; or
ILLINOIS REGISTER 15271
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DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
who is a newborn infant whose blood, urine or meconium contains any
amount of a controlled substance as defined in subsection (f) of Section
102(f) of the Illinois Controlled Substances Act or a metabolite thereof,
with the exception of a controlled substance or metabolite thereof whose
presence in the newborn infant is the result of medical treatment
administered to the mother or the newborn infant.
A child shall not be considered neglected for the sole reason that:
the child's parent or other person responsible for his or her welfare has
left the child in the care of an adult relative for any period of time;
the child has been relinquished in accordance with the Abandoned
Newborn Infant Protection Act [325 ILCS 2].
A child shall not be considered neglected or abused for the sole reason that:
the such child's parent or other person responsible for his or her welfare
depends upon spiritual means through prayer alone for the treatment or
cure of disease or remedial care as provided under Section 4 of ANCRA;
orthe Abused and Neglected Child Reporting Act. Where the
circumstances indicate harm or substantial risk of harm to the child's
health or welfare and necessary medical care is not being provided to treat
or prevent that harm or risk of harm because such parent or other person
responsible for the child's welfare depends upon spiritual means alone for
treatment or cure, such child is subject to the requirements of this Act for
the reporting of, investigation of, and provision of protective services with
respect to such child and his health needs, and in such cases spiritual
means through prayer alone for the treatment or cure of disease or for
remedial care will not be recognized as a substitute for such necessary
medical care, if the Department or, as necessary, a juvenile court
determines that medical care is necessary. A child shall not be considered
neglected or abused solely because
the child is not attending school in accordance with the requirements of
Article 26 of the School Code [105 ILCS 5]. [325 ILCS 5/3]
ILLINOIS REGISTER 15272
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DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
"Parents" means the child’s legal parents whose rights have not been terminated.
"Parties" means the Department and those persons who have appealed the final
finding determinationdecisions made by the Department. No person may join in
an appeal unless that person would have standing to appeal the
determinationdecisions himself or herself.
"Perpetrator" means a person who, as a result of investigation, has been
determined by the Department to have caused child abuse or neglect. [325 ILCS
5/3]
"Person responsible for the child's welfare" means:
the child's parent, guardian, foster parent or relative caregiver;
any person responsible for the child's welfare in, operator, supervisor, or
employee of a public or private residential agency or institution;
any person responsible for the child's welfare within a, or public or
private profit or not-for-profit child care facility; or
any other person responsible for the child's welfare at the time of the
alleged abuse or neglect, including:
any person that is the custodian of a child under 18 years of age
who commits or allows to be committed, against the child, the
offense of involuntary servitude, involuntary sexual servitude of a
minor, or trafficking in persons for forced labor or services (see
Section 10-9(b), (c) and (d) of the Criminal Code of 2012);, or
any other person responsible for the child's welfare at the time of
the alleged abuse or neglect, or any person who came to know the
child through an official capacity or position of trust, including but
not limited to health care professionals, educational personnel,
recreational supervisors, members of the clergy, and volunteers or
support personnel in any setting where children may be subject to
abuse or neglect. [325 ILCS 5/3]
ILLINOIS REGISTER 15273
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DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
"Preponderance of the evidence" means the greater weight of the evidence which
renders a fact more likely than not.
"Regular appeal" means an appeal that may be requested by a perpetrator,
including child care workers, in which the final administrative decision by the
Director is issued within 90 calendar days after the date of receipt by the
Department's Administrative Hearings Unit of a written request for an appeal,
excluding any requests for a continuance by the perpetrator or any continuances
by the agreement of the parties.child care worker or any other person for whom
the Department has determined that an allegation of child abuse and/or neglect is
indicated. Regular appeals require that the Director issue a final administrative
decision within 90 days after receipt by the Department's Administrative Hearings
Unit of a written request for the appeal. The 90 day time period excludes any time
attributable to an appellant's request for a continuance or to any continuance or
date set by the agreement of the parties. Any written request for an appeal that is
received by the Unit that does not expressly request an expedited appeal will
automatically be treated as a regular appeal.
"Request for an appeal" means the written request by an appellant for an
administrative hearing to determine whether the record of the report should be
amended, expunged, or removed on the grounds that it is inaccurate or being
maintained in a manner inconsistent with the Abused and Neglected Child
Reporting Act. If the appellant is unable to request an appeal in writing, the
Department or purchase of service agencyAgency shall help the appellant put the
request in writing.
"State Central Register" or "SCR" is the record of child abuse and/or neglect
reports maintained by the Department pursuant to ANCRA. The State Central
Register is also referred to as the Department's statewide toll-free child abuse and
neglect hotline.means the specialized Department unit that receives and transmits
reports of alleged child abuse and neglect.
"Stipulation" means an agreement by the parties that certain facts are true orand
can be introduced into evidence without further proof.
"Subject of report" means any child or adult resident reported to the central
register of child abuse and neglect established under Section 7.7 of ANCRA as an
alleged victim of child abuse or neglect and the parent or guardian of the alleged
ILLINOIS REGISTER 15274
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
victim or other person responsible for the alleged victim's welfareState Central
Register, and his or her parent, personal guardian, or other person responsible for
the child's welfare, who is also named in the report or added to the report as an
alleged perpetrator of child abuse or neglect. [325 ILCS 5/3]
"Timely written notice" means a notice which complies with the requirements of
Section 336.80(b) of this part.
"Unfounded report" means any report made under ANCRAof child abuse or
neglect for which it is determined, after an investigation, that no credible
evidence of the alleged abuse or neglect exists. [325 ILCS 5/3]
"Unknown perpetrator" means a person who caused or is alleged to have caused
child abuse or neglect and whose identity or identifying information has not been
determined by the Department.who may have caused specific abuse or neglect,
but has not been identified or made known to the authorities.
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.30 Written Notification of the Final Finding in Child Abuse and Neglect
InvestigationsNotice of Department Decision
a) The State Central Register shall provide a written notification of the final finding
determinationdisposition of each child abuse and neglect investigation. The
written notification that is sent to persons who are indicated for child abuse or
neglect shall include, but not be limited to, the following: to mandated reporters
who reported suspected child abuse or neglect as well as the child's parent,
personal guardian, or legal custodian; the Juvenile Court Judge (when a State
ward is involved); the Cook County Public Guardian, Juvenile Division (Cook
County Department wards only); and the alleged perpetrator. The notice shall
provide the following information:
1a) a specific statement that the person has been indicated for child
abusewhether the Department has determined the report indicated or
unfounded as a result of an investigation;
2b) the name of the perpetrator indicated for child abuse or neglect;
ILLINOIS REGISTER 15275
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DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
3c) the allegations determined to be indicated;
4d) the length of time the indicated findingcase shall be retained in the State
Central Register; andby the Department;
5e) an explanation of how to request an administrative appeal of the
Department's indicated finding and the address or facsimile number where
the written request for an administrative appeal must be sent. The
explanation shall specify that the request:
A) must be in writing; and
B) must be postmarked within 60 days after the date of the official
notification letter, except when the person indicated for child abuse
or neglect has a case pending in any criminal or juvenile court
concerning the same set of facts as the indicated final finding.a
statement that a Department review of an indicated decision is
available;
b) The written notification of the final finding determination of the child abuse and
neglect investigation shall be provided to the person indicated for child abuse and
neglect within 10 days after the final determination to indicate has been entered
into the State Central Register. The written notification of the final finding
determination of the child abuse and neglect investigation shall be in the primary
language of the person to whom the notice is sent.
c) When requested, Department staff shall assist persons indicated for child abuse or
neglect in preparing a written request for an administrative appeal. The
Department shall not hinder a person who wishes to appeal an indicated finding
determination of child abuse or neglect.
f) a statement that, if a review of the Department's decision is desired, it must be
requested in writing within 60 days after notification of the completion of the
investigation by the Child Protective Service Unit, as determined by the date of
the notifications sent by the Department; and
g) the name and address of the individual who must be contacted in order to request
a review of the Department's decision.
ILLINOIS REGISTER 15276
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DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.40 Notice of the Right to Appeal and Receive an Administrative Hearing
(Repealed)
a) The Department shall provide clear instructions on how to request and receive an
administrative hearing. This explanation shall be provided within 10 days after
the final determination has been entered into the State Central Register.
b) Language of Notices
All written notices used in this Part shall be in the primary language of the person
to whom the notice is sent.
c) To begin the appeal process the subject shall request in writing that the
Department review its decision. The request must be mailed or faxed to the
address or fax number designated in the written notice within 60 days after
notification of the completion of the investigation by the Child Protective
Services Unit, as determined by the date of the notification sent by the
Department.
d) Upon receipt of a timely request for an appeal, the Department shall send the
appellant within 20 days after the receipt of the request a copy of the investigative
file from which confidential information has been deleted in accordance with 89
Ill. Adm. Code 431, Confidentiality of Personal Information of Persons Served by
the Department.
e) When requested, Department staff shall assist the subjects of a child abuse or
neglect report in preparing a written brief of appeal.
f) The Department shall not hinder an appellant who wishes to proceed with the
appeal process.
g) Other Notices
The following notices shall be hand-delivered with a certificate of delivery or sent
by certified mail, return receipt requested, to "the addressee only":
1) notice of pre-hearing conference and administrative hearing dates; and
ILLINOIS REGISTER 15277
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
2) notice of final administrative decision.
(Source: Repealed at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.50 Who May Appeal
Any person or agency who has been named as a perpetratorsubject in an indicated or unfounded
report of child abuse or neglect has the right to appeal any of the actions or inactions listed in
Section 336.60 of this Part. The appeal may be filed by:
a) the appellant personally; or
b) the appellant's authorized representative or attorney; or
c) the parent or legal guardian who appeals on behalf of a child who has been named
as a perpetrator in an indicated report; or
dc) an individual legally acting on a person's behalf. If the appeal is filed by an
individual legally acting on a person's behalf, the individual must provide a
certified copy of the court order authorizing the individual to act on behalf of the
appellant.
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.60 What May Be Appealed
The following issues may be appealed through an administrativethe appeal process:
a) an indicated finding of child abuse or neglect, with the exception that there is no
right to an appeal on the ground of the report's inaccuracy if there is a court
finding of child abuse or neglect or a criminal finding of guilt as to the perpetrator
concerning the circumstances that gave rise to the indicated report;
b) failure to remove an unfounded report of child abuse or neglect from the State
Central Register involving any of the situations described in this subsection (b).
The criteria in this subsection apply unless the unfounded report is being retained
longer as an intentionally false report at the unfounded perpetrator's request.
ILLINOIS REGISTER 15278
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
1) Thethe death of a child, the sexual abuse of a child, or serious physical
injury to a child after the passage of three years from the date the final
finding is entered into the State Central Register;, unless the report is
being retained as an intentionallya false report at the subject's request;
2) Any allegation other than death, sexual abuse or serious physical injury of
a child after the passage of 12 months from the date the final finding is
entered into the State Central Register; or
3) Whenever a subsequent report is received concerning a perpetrator of an
existing unfounded report and the unfounded report is retained longer than
12 months after the conclusion of the subsequent report.
c) failure to remove an unfounded report made by a mandated reporterreport
involving a report as described in 89 Ill. Adm. Code 431.30(b)(5)(B)
(Confidentiality of Personal Information of Persons Served by the Department of
Children and Family Services)designated as a Priority One or Two in Appendix B
of 89 Ill. Adm. Code 300 (Reports of Child Abuse and Neglect) after the passage
of 12 months from the date the final finding is entered into the State Central
Register, unless the report is being retained longer under subsection (b) of this
Section or the report is being retained as an intentionallya false report at the
unfounded perpetrator'ssubject's request;
d) failure to remove an unfounded report made by a mandated reporter involving a
report as described in 89 Ill. Adm. Code 431.30(b)(5)(B) designated as a Priority
Three in Appendix B of 89 Ill. Adm. Code 300 after passage of 60 days from the
date the final finding is entered into the State Central Register, unless the report is
being retained longer under subsection (b) or (c) of this Section or the report is
being retained as an intentionallya false report at the unfounded
perpetrator'ssubject's request;
e) failure to remove any other unfounded report, not retained for a longer period of
time under any of the preceding subsections, within 30 days from the date the
final finding is entered into the State Central Register, unless the report is being
retained as an intentionallya false report at the unfounded perpetrator'ssubject's
request;
ILLINOIS REGISTER 15279
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
f) failure to expunge or remove information about an indicated report of child abuse
or neglect that the appellant believes is maintained in a manner inconsistent with
ANCRAthe Abused and Neglected Child Reporting Act; and
g) whether the Department determined retention period assigned to the indicated
report is in accordance with 89 Ill. Adm. Code 431 (Confidentiality of Personal
Information of Persons Served by DCFS).
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.80 How to Request an Administrative Appeala Hearing/Sufficiency
After the Department has indicated a report and issued a notice of the final finding determination
and thea right to an administrative hearing, the perpetrator named in the notificationa subject of a
report may appeal by filing a timely and sufficient written Request for Appeal with theat the
offices of the Administrative Hearings Unit (AHU). The request must be filed in person, mailed,
faxed or delivered by a third-party commercial carrier to the AHU address or fax number within
60 days after the notification sent by the State Central Register (SCR); however, the 60 days is
tolled for those exceptions in subsection (e). Upon receipt of a timely request for a regular
appeal, the Department shall send the appellant, prior to the scheduled pre-hearing, a copy of the
investigative file from which confidential information has been deleted in accordance with 89 Ill.
Adm. Code 431.
a) For purposes of determining timeliness, an appeal shall be deemed filed:
1) as of the date of the postmark; or
2) as of the date of receipt by the AHUAdministrative Hearings Unit, if the
appeal was filed in person at the AHU office of Administrative Hearings
Unit; or
3) the date the appeal was received by electronic facsimile transmission at
the AHUAdministrative Hearings Unit office or the date of electronic
filing (email), when available.
b) When the last day for the filing of an appeal falls upon a day on which the
AHUAdministrative Hearings Unit is not open for business, an appeal shall be
deemed timely if filed by the first regular business day thereafter.
ILLINOIS REGISTER 15280
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
c) An appeal shall be deemed sufficient if it provides the following information in
legible form:
1) name, address and phone number (if any) of the appellant and the
SCRState Central Register number; and
2) name, address and phone number of the appellant's representative (if
applicable).
d) In the event that the Chief Administrative Law Judge finds an appeal to be timely
but not sufficient (see subsectionsubsections (c)(1) and (2) above), the appeal and
a request for the required missing information shall be returned to the appellant
within 5five days after receipt by the AHUAdministrative Hearings Unit. If the
appellant re-files a sufficient appeal within 5five days from the postmark of the
date that appeal is returned, the appeal shall be considered timely. The
AHUAdministrative Hearings Unit shall not consider an appeal actionable, and no
time frames shall begin to run, until receipt of a sufficient appeal. If the appeal
does not have a legible name or address, the Chief ALJAdministrative Law Judge
may dismiss the appeal.
e) The 60-day deadline for filing a request to amend the record or remove the record
of the report from the State Central Register shall be tolled until after the
conclusion of any criminal court action in the circuit court or after adjudication
in any juvenile court action concerning the circumstances that give rise to an
indicated report. [325 ILCS 5/7.16]
f) If the appellant requests an expedited hearing, and the Chief ALJ is unable to
determine if the appellant is a child care worker, the Chief ALJ shall request that
the appellant provide documentation to validate his or her child care worker status
as soon as is practicable, but not later than 5 days after receiving the appellant's
request. Any documentation requested by the Chief ALJ should be provided by
the appellant within 10 days after the request. If no such documentation is
provided, the appeal will be deemed non-expedited and scheduled accordingly. If
the appellant makes a timely submission of the requested documentation, the
Chief ALJ shall make a written ruling on the child care worker's status as
promptly as possible, but no later than 5 days after receiving the appellant's
documentation. A written notification of the Chief ALJ's decision shall be sent to
ILLINOIS REGISTER 15281
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
the appellant. Any time expended for the request, review and determination by
the Chief ALJ as to the appellant's status as a child care worker shall not be
attributed to the Department.
ge) Appellants unable to file a written request for an appeal may request and receive
appropriate assistance from Department field office staff to ensure that a proper
written request for an appeal is made.
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.85 Expedited Administrative Appeals for Child Care Workers
a) Child care workers who are the subject of a Department finding that an allegation
of child abuse and/or neglect is indicated may request from the Department's
Administrative Hearings Unit an expedited appeal. The written request for an
appeal must specifically state that an expedited appeal is being requested. The
Department may request that an appellant requesting an expedited appeal provide
documentation to confirm his or her status as a child care worker. Any time
expended for the request, review and determination by the Chief ALJ as to the
appellant's status as a child care worker shall not be attributed to the Department.
b) Within seven calendar days after AHU'sthe Unit's receipt of the request for an
expedited appeal, the Department will set pre-hearing and hearing dates and send
the appellant and his or her representative a notice by certified mail of the dates,
along with a copy of the investigative file.
c) The pre-hearing date will be set within 14 calendar days after receipt of the
request for expedited appeal. The parties should be prepared to have the
Department issue any subpoenas after the conclusion of the pre-hearing
conference.
d) The hearing date will be set within seven calendar days after the pre-hearing
conference and within 21 calendar days after receipt of the request for expedited
appeal. The Department will set aside two consecutive days for the administrative
hearing.
ILLINOIS REGISTER 15282
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
e) If the appellant in an expedited appeal requests any extension of time that is in
excess of seven calendar days, the appeal shall automatically be converted from
an expedited appeal to a regular appeal under Section 336.80.
fe) The ALJAdministrative Law Judge will provide the Director with a recommended
decision within 7seven calendar days or five working days after completion of the
expedited appeal hearing.
gf) The Director will issue a final administrative decision within seven calendar days
after receipt of the ALJ'sAdministrative Law Judge's recommended decision and
the Director's decision will be sent to the appellant and his or her representative
by certified mail within 35 calendar days after the date on which the expedited
appeal request was received.
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.90 Confidentiality During the Expungement Process
a) The Department has an affirmative duty to protect the confidentiality of personal
information, in accordance with 89 Ill. Adm. Code 431 (Confidentiality of
Personal Information of Persons Served by the Department of Children and
Family Services) and the Adoption Assistance and Child Welfare Act of 1980 (42
USC 671(a)(8)). Confidentiality shall be preserved throughout the administrative
hearing, the transmittal of the ALJ'sAdministrative Law Judge's recommendation
to the Director and the release of the final administrative decision. All parties
shall be advised of the Department's duty to protect confidentiality during the
administrative appeal.
b) The ALJAdministrative Law Judge has the right to exclude any individual or
agency thatwho does not have the right of access to the information being
presented in accordance with the federal Adoption Assistance and Child Welfare
Act of 1980, the Children and Family Services Act, ANCRAthe Abused and
Neglected Child Reporting Act, and any other pertinent Act.
c) The ALJAdministrative Law Judge has the authority to bifurcate the hearing into
separate segments thatwhich deal with issues of other parties in order to preserve
confidentiality as mandated under applicable statutes and rules and to prohibit
discussion or introduction of evidence that is outside of the scope of the issues
ILLINOIS REGISTER 15283
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
being presented in that segment.
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.100 Rights and Responsibilities in Administrative Hearings (Repealed)
a) An appellant may bring an Authorized Representative to the hearing. Expenses of
a representative or of an appellant's witnesses shall be paid by the appellant.
b) At the appellant's request, the Department shall arrange for an interpreter at no
cost to the appellant if English is not the appellant's primary language or shall
provide a sign interpreter or other assistance for communication if the appellant is
hearing impaired.
c) During the administrative hearing, the appellant and the Department have the
right to:
1) present and question witnesses;
2) present any information relevant to the issues;
3) question or disprove any information, including an opportunity to question
opposing witnesses; and
4) dispose of any disputed issue by mutually agreeing to a resolution any
time prior to the conclusion of the administrative hearing.
d) Before and during the administrative hearing:
1) the appellant may withdraw the appeal; and
2) the Department may expunge the indicated finding or amend the indicated
finding to delete any information which identifies the appellant as a
perpetrator.
e) In an administrative hearing concerning child abuse or neglect reports:
1) the Department carries the burden of proof of justifying the refusal to
ILLINOIS REGISTER 15284
17
DEPARTMENT OF CHILDREN AND FAMILY SERVICES
NOTICE OF ADOPTED AMENDMENTS
amend, expunge or remove the record; and
2) the Department must prove that a preponderance of the evidence supports
the indicated finding, or that the record of the report is being maintained in
a manner consistent with the Abuse and Neglected Child Reporting Act
and in accordance with 89 Ill. Adm. Code 300 (Reports of Child Abuse
and Neglect).
f) Hearings shall be recorded on audiotapes. However, any party wishing to have the
proceedings recorded by a certified court reporter may do so at the party's own
expense.
g) The Department has an obligation to present evidence which creates a full and
complete record, subject to Department rules and statutes on confidentiality.
h) At any time prior to the commencement of the administrative hearing, the
Department representative may add or amend the allegations which support the
indicated finding against the appellant. The Department representative must
notify the appellant and the Administrative Hearings Unit, in writing, of the new
or amended allegation and provide the appellant with a concise statement of the
facts that form the basis for the new or amended allegation. If the Department
representative adds or amends an allegation after the pre-hearing conference, but
prior to the commencement of the administrative hearing, the appellant, upon
request, shall be entitled to a continuance for a reasonable period of time. This
continuance shall not be attributed to the appellant.
(Source: Repealed at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.105 The Administrative Appeal Hearing
The administrative appeal hearing shall consist of a pre-hearing conference and a hearing date
during which testimony is taken and evidence is received. The appellant or the appellant's
authorized representative shall be prepared to participate at all pre-hearing conferences and
hearings. Hearings shall be recorded; however, any party wishing to have the proceedings
recorded by a certified court reporter may do so at the party's own expense.
a) Pre-Hearing Conference
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The pre-hearing conference shall be convened by telephone unless the ALJ and
the parties agree that the pre-hearing conference shall be held in person. The ALJ
shall place all telephone calls. The cost of telephone calls will be borne by the
Department. The AHU shall arrange for the appellant to use a telephone at a
Department Field Office if the appellant has previously notified the Department
that he/she does not have access to a telephone.
1) At the pre-hearing conference, the ALJ shall provide the parties with
standard admonishments that shall include a statement of the rights of the
parties and the right to have a timely hearing within the applicable
timeframe, as well as the setting of dates for the administrative appeal
hearing.
2) During the pre-hearing conference, the appellant and the Department
should be prepared to discuss:
A) potential witnesses;
B) exhibits that might be offered;
C) timeframes for the administrative appeal hearing;
D) any potential motions that could be filed;
E) any other issues that would impact the timing and length of the
administrative appeal hearing, such as, but not limited to, whether
any of the witnesses require a special accommodation or a
translator; and
F) The Department's legal representative and the appellant and his or
her representative have an affirmative duty to determine if there is,
and to report to the ALJ before any hearing is scheduled, any
pending criminal case or juvenile court case concerning the
circumstances that gave rise to the indicated report.
b) The ALJ shall address the following issues during the pre-hearing conference:
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1) If the appellant asserts, at the pre-hearing conference, that he or she is a
child care worker who was not afforded an Administrator's Teleconference
during the child abuse and neglect investigation (see 89 Ill. Adm. Code
300 (Reports of Child Abuse and Neglect)), the appellant may request a
review of the investigation. The ALJ may request documentation to
validate the child care worker status of the appellant. The review shall be
conducted jointly by the Division of Child Protection and the Office of
Legal Services and shall determine if the case should be unfounded or if a
hearing date will be set. The review must be conducted within 14 days
from the date of the pre-hearing conference in which the appellant claims
he or she is a child care worker who was not afforded an Administrator's
Teleconference during the child abuse and neglect determination. Any
time expended for the review process will be attributed to the appellant
and not to the Department (see Section 336.220(a)(1) or (2)).
2) Whether parties have exchanged lists of the names of persons who may
provide testimony during the administrative hearing.
3) Whether children may testify or be involved in the hearing.
A) Either party requesting that a child be subpoenaed to testify or be
involved in the hearing process must demonstrate at the pre-
hearing conference that:
i) the child's testimony or involvement is essential to a
determination of an issue on appeal;
ii) the likelihood of inflicting emotional harm to the particular
child involved can be minimized with conditions and
restrictions and the child's testimony is necessary for the
interests of justice; and
iii) no alternatives, such as stipulations or transcripts from
prior court hearings, exist that may be used as a substitute
for the child's testimony.
B) In determining whether a child will testify, the ALJ must consider,
when available, the opinion of the child's treating clinician
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regarding the impact on the child if the child is permitted to testify
or not permitted to testify, and how any negative impact could best
be minimized for the particular child.
i) The ALJ must balance the hardship on the child, taking into
account possible restrictions or modifications described in
subsection (c)(3)(B)(ii), against the interests of justice and
the harm to the child if an appeal is improperly denied or an
indicated finding is improperly expunged.
ii) If an ALJ allows a child to testify, the ALJ may set any
conditions or restrictions, and may use any techniques
allowed in any juvenile, civil or criminal court (including
but not limited to in camera interviews, video conferences,
questions submitted in writing, exclusion of parties to the
proceeding (including but not limited to the parents), or
change of hearing room or location) that will help minimize
any emotional impact on the child.
4) Whether:
A) the parties agree to hold the hearing by telephone or video
conference;
B) whether witnesses should be scheduled to testify at specific times;
C) there are any witnesses, such as medical professionals, that should
be permitted to testify telephonically; and
D) whether there are any non-professional witnesses who should be
allowed to testify telephonically.
5) Whether the parties have or will have exchanged records or documents
prior to the administrative hearing.
6) Whether the parties can agree upon any facts as true.
7) Motions Filed by Any Party
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A) Any motions from the appellant or the Department shall be filed
with the ALJ and served upon the AHU and the opposing party
within a reasonable time prior to the hearing.
B) Any motion that is consistent with administrative practice and
procedure and does not infringe upon the Director's authority may
be heard.
C) Motions filed shall be filed in accordance with any motion practice
and timelines established by the ALJ responsible for hearing the
case.
D) If any party believes that a finding in a juvenile court proceeding is
dispositive to an issue on a pending administrative appeal, he or
she may file a motion, with supporting documentation, requesting
the appropriate relief.
8) The need of either party for an interpreter in his/her preferred language or
for communication assistance.
9) Whether any juvenile or criminal cases related to the indicated finding on
appeal are pending in circuit court. If the ALJ discovers during the pre-
hearing conference that there is a pending juvenile or criminal case arising
from the same set of facts as the indicated finding, the appeal will be
dismissal as premature. The perpetrator shall be informed orally that,
within 60 days after the conclusion of any criminal court action in the
circuit court, or after adjudication in any juvenile court action concerning
the circumstances that give rise to an indicated report, he or she may again
file a request, except that there shall be no such right to a hearing on the
ground of the report's inaccuracy if there has been a court finding of child
abuse or neglect or a criminal finding of guilt as to the perpetrator. The
dismissal order shall also state that the perpetrator may file an
administrative appeal within 60 days after the conclusion of the criminal
court action in circuit court or after adjudication in any juvenile court
action, except that there shall be no right to an administrative appeal if
there has been a court finding of child abuse or neglect or a criminal
finding of guilt as to the perpetrator.
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10) Upon notification from the Department's legal representative or the
perpetrator that a criminal or juvenile court action is pending, based on the
same facts or circumstances as the administrative expungement appeal, the
appeal will be dismissed as premature. The dismissal order shall state that
the perpetrator may file an administrative appeal within 60 days after the
conclusion of the criminal court action in circuit court or after adjudication
in any juvenile court action, except that there shall be no right to an
administrative appeal if there has been a court finding of child abuse or
neglect or a criminal finding of guilt as to the perpetrator.
(Source: Added at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.110 The Administrative Hearing and Pre-Hearing Conference (Repealed)
a) The Chief Administrative Law Judge shall:
1) Upon notification from the Department's representative that a criminal or
juvenile court action is pending based on the same facts as the
administrative expungement appeal, issue a stay of the appeal process for
all appellants named as defendants or respondents until a final judicial
decision has been made. The time period, from the filing of the criminal
charges or the juvenile petition, shall not be considered a delay on the part
of the Department in issuing and implementing its final administrative
decision.
A) If the circuit court makes a final decision favorable to the
appellant, the appellant shall notify the Administrative Hearings
Unit in writing that a final order has been entered in the criminal or
juvenile case and the Administrative Hearings Unit shall schedule
a hearing on the appeal. The appellant shall notify the
Administrative Hearings Unit within 45 days after any such
decision. If the appellant fails to notify the Administrative
Hearings Unit of these findings of fact within 45 days, the
appellant shall not be entitled to a hearing under this Part.
B) If the circuit court makes a finding that the alleged perpetrator
abused or neglected a child, the Chief Administrative Law Judge
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or an Administrative Law Judge shall enter an order upholding
each indicated finding based on the same facts as the court finding
of abuse or neglect and the alleged perpetrator shall not be entitled
to a hearing on those indicated findings. If, after entering such an
order, there are no remaining indicated findings of abuse or
neglect, the Chief Administrative Law Judge or an Administrative
Law Judge shall dismiss the appeal.
C) The Administrative Hearings Unit may schedule status hearings to
determine the status of any appeal stayed because of circuit court
action;
2) in the absence of a pending criminal or juvenile court action or an
agreement of the parties, schedule a pre-hearing conference at least 15
days before the first hearing date and a hearing at a date within 70
calendar days after the date of receipt of the appellant's request for an
administrative hearing;
3) ensure that the administrative hearing is scheduled at a time and place
reasonably convenient for all parties;
4) provide a written notice to the parties within 10 calendar days after the
receipt of a sufficient request for an administrative hearing, which shall
contain the following information:
A) the date and time of the pre-hearing conference;
B) the date, time, place and nature of the hearing;
C) the reasons which may be deemed an abandonment of the request
for a hearing, thus constituting a waiver of the right to a hearing;
D) a citation to the provision in the Abused and Neglected Child
Reporting Act which grants the Department of Children and
Family Services the legal authority and jurisdiction to hold this
hearing;
E) a reference to the particular Sections of the statutes and
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administrative rules involved;
F) the allegations that were indicated;
G) the consequences of the appellant's failure to appear at the pre-
hearing conference;
H) the docket number assigned to this case;
I) the name and mailing address of the Administrative Law Judge and
all parties, unless the names or addresses are confidential under the
Abused and Neglected Child Reporting Act or Department of
Children and Family Services Act; and
J) a statement of the parties' rights during the administrative hearing.
b) The Administrative Law Judge shall address the following issues during the pre-
hearing conference:
1) Whether parties have exchanged lists of the persons who will provide
testimony during the administrative hearing.
2) Whether children under 14 years of age may testify or be involved in the
hearing.
A) Either party requesting that a child under 14 years of age be
subpoenaed to testify or be involved in the hearing process must
demonstrate at the pre-hearing conference that:
i) the child's testimony or involvement is essential to a
determination of an issue on appeal; and
ii) there is no likelihood of inflicting emotional harm to the
particular child involved; and
iii) no alternatives, such as stipulations or transcripts from
prior court hearings, exist which may be used as a
substitute for the child's testimony.
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B) If an Administrative Law Judge allows a child to testify, the
Administrative Law Judge may set any conditions or restrictions,
and may use any techniques allowed in any juvenile, civil or
criminal court (including but not limited to in camera interviews,
questions submitted in writing, exclusion of parties to the
proceedings, including but not limited to the parents, or change of
hearing room or location) that will help minimize any emotional
impact on the child.
3) Whether witnesses should be scheduled to testify at specific times.
4) Whether the parties have or will have exchanged records or documents
prior to the administrative hearing.
5) Whether the parties can agree upon any facts as true.
6) Motions filed by any party.
A) Any motions from the appellant or the Department shall be filed
with the Administrative Law Judge at least 10 calendar days before
the pre-hearing.
B) Copies of the motion shall be served upon the Administrative Law
Judge, the Administrative Hearings Unit, and the opposing party at
least 10 days before the date set for pre-hearing.
C) Any motion that is consistent with administrative practice and
procedure and does not infringe upon the Director's authority may
be heard.
7) The need for an interpreter for a party whose primary language is not
English or who requires communication assistance.
8) Whether any juvenile or criminal cases related to the indicated finding on
appeal are pending in circuit court.
c) The pre-hearing conference shall be convened by telephone unless the
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Administrative Law Judge and the parties agree that the pre-hearing conference
shall be held in person. The Administrative Law Judge shall place all telephone
calls. The cost of telephone calls shall be borne by the Department. The
Administrative Hearings Unit shall arrange for the appellant to use a telephone at
a Department Field Office if the appellant has previously notified the Department
that he/she does not have access to a telephone.
d) The Administrative Law Judge may order the parties to attend the pre-hearing
conference in person without the consent of all parties. If the Administrative Law
Judge orders personal attendance, the Administrative Law Judge shall:
1) give written notice to the parties of the date, time and place of the pre-
hearing conference; and
2) hold the pre-hearing conference at a place and time convenient for the
parties.
(Source: Repealed at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.115 Rights and Responsibilities During the Administrative Appeal
a) Rights of the Minor
1) If the minor, who is the victim named in the report sought to be amended
or removed from the State Central Register, is the subject of a pending
action under Article II of the Juvenile Court Act of 1987, or the report
was made while a guardian ad litem (GAL) and/or attorney was appointed
for the minor under Section 2-17 of the Juvenile Court Act of 1987, then
the minor shall, through the minor's attorney or GAL appointed under
Section 2-17 of the Juvenile Court Act of 1987, have the right to
participate and be heard in such hearing. [325 ILCS 5/7.16]
2) The minor, through the minor's attorney and/or GAL, has the right to
participate and be heard during the administrative appeal. "Participate"
means that the attorney/GAL may submit an offer of proof regarding
testimony and documentary evidence not presented by the parties and may
ensure that proper protections are in place for clients who are called to
testify during the hearing. "Be heard" means the attorney/GAL may
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submit a closing argument or position statement. The minor's
attorney/GAL may request a continuance only on the basis that notice, as
required by Section 336.105(a)(3), was not provided. The minor's
attorney/GAL does not thereby become a party to the proceeding or have
standing or intervenor status in the administrative appeal proceeding, and
shall not have the right to request a continuance or to present, question or
cross-examine witnesses.
3) Once it is identified that the subject matter of the hearing concerns a minor
being represented by a GAL/attorney, the Department shall notify the
GAL/attorney, as provided in Section 105(a)(3), and shall provide the
GAL/attorney a copy of the "Intent to Participate" form. The
GAL/attorney shall file the completed form within 5 days after receipt.
Filing the form shall ensure the GAL/attorney is notified of all dates
regarding the hearing.
b) Rights of the Parties
1) During the administrative hearing, the appellant and the Department have
the right to:
A) present and question witnesses;
B) present any information relevant to the issues;
C) question or cross-examine witnesses, including an opportunity to
question opposing witnesses, and dispute any information; and
D) present stipulations to facts or issues.
2) An appellant may bring an authorized representative to the hearing. All
expenses of an authorized representative or of an appellant's witnesses
shall be paid by the appellant.
3) Before and during the administrative hearing:
A) the appellant may withdraw the appeal;
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B) the Department may expunge the indicated finding; or
C) the Department may amend the indicated finding to remove any
information that identifies the appellant as the perpetrator of child
abuse or neglect.
4) At any time prior to the commencement of the administrative hearing, the
Department's legal representative may add or amend the allegations that
support the indicated finding against the appellant. The Department's legal
representative must notify the appellant and the AHU, in writing, of the
new or amended allegation and provide the appellant with a concise
statement of the facts that form the basis for the new or amended
allegation. If the Department's legal representative adds or amends an
allegation after the pre-hearing conference, but prior to the
commencement of the administrative hearing, the appellant, upon request,
may be entitled to a continuance for a reasonable period of time. This
continuance shall not be attributed to the appellant.
c) The Responsibility of the Department
1) At any time subsequent to the filing of an appeal, when the Department
attorney determines that the appeal involves a minor who is the subject of
a pending action under Article II of the Juvenile Court Act, he or she shall
notify the minor's GAL/attorney as soon as is practicable, but not later
than 7 days prior to the first hearing date.
2) In an administrative hearing:
A) the Department carries the burden of proof of justifying the refusal
to amend, expunge or remove the record; and
B) the Department must prove that a preponderance of the evidence
supports the indicated finding, or that the record of the report is
being maintained in a manner consistent with ANCRA and in
accordance with 89 Ill. Adm. Code 431 (Confidentiality of
Personal Information of Persons Served by the Department of
Children and Family Services).
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3) The Department has an obligation to present evidence that creates a full
and complete record, subject to Department rules and statutes on
confidentiality.
(Source: Added at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.120 The Administrative Law Judge
a) Appointment of the ALJAdministrative Law Judge
The Chief Administrative Law Judge shall select a trained, impartial
ALJAdministrative Law Judge from the available pool to conduct the appeal
hearing. The ALJAdministrative Law Judge shall:
1) be an attorney licensed to practice law in the State of Illinois;
2) possess knowledge and information acquired through training and/or
experience relevant to the field of child and family welfare law, including
familiarity with Department rules, procedures and functions;
3) not have been involved in the decision to take the action being appealed or
have rendered legal advice to the decision-maker on the issue; and
4) not have a personal or professional interest that interferes with exercising
objectivity or have any bias against the parties or issues appealed. An
adverse ruling, in and of itself, shall not constitute bias or conflict of
interest.
b) Functions of the ALJAdministrative Law Judge
The Administrative Law Judge shall have all authority allowed under the Illinois
Administrative Procedure Act [5 ILCS 100]. This authority shall include, but is
not limited to, the following:
1) conduct a fair, impartial and formal hearing in which the strict rules of
evidence do not apply;
2) provide for the recording of the hearing;
3) inform participants of their individual rights and their responsibilities;
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4) conduct pre-hearing telephone conferences between the parties or their
authorized representatives to provide information about the procedural
aspects of the hearing, narrow the issues and discuss possible stipulations
and contested points of law, in order to expedite the actual hearing;
5) have the authority to recommend changes in the child abuse and neglect
report in the State Central Register;
6) take necessary steps to develop a full and fair record that contains all
relevant facts;
7) administer an oath or an affirmation to all witnesses;
8) quash or modify subpoenas for good cause, including but not limited to
relevance, scope, materiality and emotional harm or trauma to the
subpoenaed witness;
9) allow into evidence all inculpatory and exculpatory evidence helpful in
determining whether an indicatedalleged perpetrator abused or neglected a
child, including oral and written reports, and the investigative file,
thatwhich the ALJAdministrative Law Judge and the Director may rely
upon to the extent of its probative value, even though not competent under
the civil rules of evidence;
10) allow into evidence previous statements made by the child relating to
abuse or neglect as hearsay exceptions;
11) preserve all documents and evidence for the record;
12) rule upon evidentiary issues and contested issues of law at the hearing or
take matters under advisement pending issuance of the written opinion and
recommendation;
13) order the removal of any person from the hearing room who is creating a
disturbance, whether by physical actions, profanity or conduct, thatwhich
disrupts the hearing;
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14) identify the issues, consider all relevant facts and receive or request any
additional information necessary to decide the matter in dispute, including
but not limited to additional testimony, documents, exhibits, briefs,
memoranda of law or post hearing briefs; and
15) present a written opinion and recommendation to the Director within 15
calendar days after the record of the administrative hearing is completed
or transcript is received, whichever is later. The written opinion and
recommendationThis report shall include a recommended decision on
whether there is a preponderance of evidence of abuse or neglect based on
information in the administrative record. The opinion shall contain
findings of fact, summary of testimony and evidence, conclusions of law
and a recommendation; and.
16) the written opinion and recommendation must also include the basis for
excluding any evidence or disallowing a physician or other professional
from testifying by telephone pursuant to Section 336.170 (Testimony by
Telephone).
c) The Chief ALJ shall also:
1) ensure that the administrative hearing is scheduled at a time and place
reasonably convenient for all parties;
2) provide a written notice to the parties within 10 days after the receipt of a
sufficient request for an administrative hearing, that shall contain the
following information:
A) the date and time of the pre-hearing conference;
B) the reasons that may be deemed an abandonment of the request for
a hearing, thus constituting a waiver of the right to a hearing;
C) a citation to the ANCRA provision that grants the Department of
Children and Family Services the legal authority and jurisdiction to
hold this hearing;
D) a reference to the particular Sections of the statutes and
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administrative rules involved;
E) the allegations that were indicated;
F) the consequences of the appellant's failure to participate at the pre-
hearing conference;
G) the docket number assigned to this case;
H) the name and contact information of the Administrative Law Judge
and all parties; and
I) a statement of the parties' rights during the administrative hearing.
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.130 Consolidation and Severing Issues and Parties
a) When common issues of fact or law are raised in more than one appeal, the Chief
ALJAdministrative Law Judge may consolidate the appeals into a single group
hearing. Individuals shall be permitted to present their own cases separately.
Nothing in this Section shall override confidentiality considerations.
b) The Chief ALJAdministrative Law Judge may also combine all appeals and issues
involving a single appellant, whether arising under this Part or any other Part, into
one hearing.
c) The Chief ALJAdministrative Law Judge, if required for the fair and efficient
administration of the administrative appeal hearing or to prevent possible
prejudice to the appellant, may sever any party or any issue from the consolidated
hearing. The party or issue severed from the consolidated hearing shall be heard
separately.
d) The Chief ALJAdministrative Law Judge shall decide the order in which to hear
any appeal or issue thatwhich has been severed.
e) The Chief ALJAdministrative Law Judge may delegate any decision under this
Sectionsection to any ALJAdministrative Law Judge who has been assigned to
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hear one or more of the appeals.
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.140 Exchange of Information
a) All requests for information must be in writing and sent, in advance of the
hearing, to the party from whom the information is sought at least 10 days in
advance of the pre-hearing conference. Any requests for information from a party
must be served on the party and on the AHUThe requestor must send a copy of
the request to the Administrative Hearings Unit. A party, without leave of the
ALJAdministrative Law Judge, may request from any other party:
1) a list of witnesses to be called at the hearing; and
2) copies of all documents that a party intends to present to the
Administrative Law Judge at the hearing. The Department does not need
to send a copy of the investigative file to the appellant when the
Department has previously sent a copy of the investigative file to the
appellant pursuant to Section 336.80336.40(d).
b) A party may not request this information until the first hearing date has been set.
All requests for information shall be served on all other parties or their authorized
representative. Copies of all requests for information shall be filed with the
AHUAdministrative Hearings Unit. All requests for information shall be
answered within 10 calendar days after receipt unless, upon good cause shown,
leave is sought for additional time to answer.
c) A party may exercise any rights to access any Department record relevant to the
investigation and indicated finding under 89 Ill. Adm. Code 431 (Confidentiality
of Personal Information of Persons Served by the Department of Children and
Family Services).
d) No discovery, described in Supreme Court Rule 201 et seq., shall be permitted
prior to a hearing except by permission of the ALJAdministrative Law Judge,
when good cause is shown.
e) Hearings shall not be delayed to permit the exchange of information unless
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timeliness and due diligence is shown by the party seeking the information.
f) If a party fails to answer a request for information, the ALJAdministrative Law
Judge may enter any just and appropriate order to advance the disposition of the
matter, including but not limited to:
1) a continuance of any hearing until the request for information is answered.
The ALJ shall make a determination as to which party should be attributed
the time for the continuance;stay any further proceeding until the request
for information is answered;
2) prohibitbar the testimony of any witness not disclosed in the answer to the
request for information; or
3) prohibit the introduction of, or any testimony concerning, any document or
evidence not disclosed in an answer to the request for information; or.
4) in determining whether to prohibit a witness from testifying or prohibit the
introduction of evidence, the ALJ shall consider the need to develop a full
and accurate record, including the reasons why a witness or document was
not disclosed, and the interests of justice. The ALJ shall entertain an offer
of proof that will be made part of the record.
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.150 Continuances
a) No continuance of a scheduled hearing or pre-hearing conference or hearing shall
be granted by the ALJAdministrative Law Judge to any party except for good
cause shown.
1) Good cause includes, but is not limited to:
A1) sickness or death in the immediate family of the appellant, the
Department's legalDepartment representative or the authorized
representative of the appellant;
B2) court or administrative hearing dates scheduled prior to the
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issuance of the notice of hearing; and
C3) the unavailability of a witness due to unforeseen and unavoidable
circumstances.
2) A continuance for good cause shall not be considered delay on the part of
any party.
b) No request for a continuance shall be granted without notice to theall parties,
including, but not limited to, the Department's legal representative and a minor's
attorney/GAL. Only the parties shall have and an opportunity to object on the
record. All requestsmotions for continuancescontinuance shall be disposed of by
written order. All requests for continuances shall be addressed by the ALJ in a
timely manner.
c) If a continuance is requested or agreed to by an appellant, the time period between
the request for continuance and the continued hearing date shall not be considered
a delay on the part of the Department in issuing and implementing its final
administrative decision.
d) If a continuance is requested due to the lack of a certified court reporter or
interpreter, the party seeking a continuance must demonstrate due diligence in
seeking that service for the hearing date.
e) Notices of a continued hearing date need not include any restatement of the rights
of the parties.
f) If a hearing is commenced and needs to be continued to another date, the time
period between the commenced hearing date and the continued hearing date shall
be tolled.
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.160 Attendance of Witnesses
The appellant and the Department's legal representative may subpoena any witness identified on
the witness list and any witness or documents discussed at the pre-hearing conference, pursuant
to Section 336.140, by requesting that the Chief ALJ request a subpoena within the timeframe
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ordered by the ALJ. Witness fees and travel expenses for persons other than Department
employees are the responsibility of the party requesting the subpoena.
a) An appellant may require any child protective investigator who was part of the
investigation being appealed to attend the hearing by writing to the Department
representative no earlier than receipt of the notice of hearing and no later than 14
days before the hearing and requesting that the investigator, who must be
identified by name, attend the hearing.
b) The appellant may subpoena any other witness, no earlier than receipt of the
notice of hearing and no later than 14 days before the hearing, by requesting that
the Chief Administrative Law Judge issue a subpoena to compel the attendance of
the witness. Witness fees and travel expenses for persons other than Department
employees are the responsibility of the party requesting the subpoena.
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.170 Testimony by Telephone
a) For good cause shown, the ALJ may, on the ALJ's own motion or the motion of
any party, allow a witness to testify at the administrative hearing by telephone.
b) It is presumed that physicians and other professionals, in their professional
capacity, shall be permitted to testify by telephone, unless good cause is shown as
to why in-person testimony is necessary. For the purposes of this Part,
"professionals" shall include, but not be limited to, medical personnel, school
employees, social service and mental health staff, law enforcement personnel, and
child care workers. If in-person testimony is necessary, the opinion and
recommendation of the ALJ shall set forth that testimony by telephone was
disallowed and provide the basis for the decision.For good cause shown, the
Administrative Law Judge may, on the judge's own motion or the motion of any
party, allow a witness to testify at the administrative hearing by telephone.
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.180 Interpreters and Translation of Documents
a) A party whose primary language of preference is not English, or who will
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requirerequires communication assistance, shall declare his or her language of
preference to the ALJ or the Department's legal representative at the pre-hearing
conference or at the earliest opportunitymay request an interpreter. The
Department shall provide an interpreter at no cost to the party. Unless the
interpreter has been requested at least 14 calendar days before the prehearing
conference or hearing, the time between the request for the interpreter and any
continued hearing date occasioned by that request shall not be construed as delay
on the part of the Department in issuing and implementing its decision.
b) At the time of the pre-hearing conference, if the ALJ determines that translation
of documents is necessary to the conducting of a full and fair hearing, an order
shall be entered directing the Department to translate the relevant documents. All
due diligence shall be applied to the Department's translation of relevant
documents. A request for translation of documents shall not be considered a delay
on the part of the Department or the appellant.
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.190 Grounds for Dismissal
a)The Chief ALJAdministrative Law Judge or the ALJAdministrative Law Judge shall dismiss
the appeal on his or her own motion or on the motion of any party:
1) the Department has already made a final administrative decision on the
issue as a result of a previous appeal;
a2) when the issue is not regarding a child abuse or neglect report as defined in 89 Ill.
Adm. Code 300 (Reports of Child Abuse and Neglect);
b) when there is a pending juvenile court action or criminal court action involving
the same set of circumstances that gave rise to the indicated finding;
c3) when there has been a court finding of child abuse or neglect or a criminal finding
of guilt as to the perpetrator; a court has made a judicial decision on the issue
being appealed or a judicial finding of child abuse or neglect has been made on
the issue and the appellant is requesting that the record of the report of child abuse
or neglect be expunged, amended or removed;
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d4) when the request for the appeal was not received within 60 calendar days after the
postmarked date of the notice that the report was indicated;
e) when the request for the appeal is not received within 60 calendar days following
the conclusion of any criminal court action in the circuit court or after
adjudication in any juvenile court action concerning the circumstances that give
rise to the indicated finding;
f5) when the appeal has been withdrawn in writing;
g6) when the appeal has been abandoned pursuant to Section 336.200; or
h7) when the issue is not within the jurisdiction of the AHUAdministrative Hearings
Unit as set forth in Section 336.60 of this Part.
b) If the Chief Administrative Law Judge finds that the issue is not appealable under
this Part but can be appropriately heard through another appeal process, in
accordance with 89 Ill. Adm. Code 435 (Administrative Appeals and Hearings),
the Department shall forward the appeal to the proper hearing authority and notify
the appellant of this action.
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.200 Abandonment of Appeal/Default
a) The AHUAdministrative Hearings Unit will declare that the Department or
appellant has abandoned the appeal when, during the pre-hearing conference or
the hearing:
1) the Department's legalDepartment representative, the appellant or the
appellant's authorized representative, without good cause, fails to
participate after receiving written notice from the AHU and after the ALJ
has waited a reasonable time for the Department's legal representative,
appellant or appellant's authorized representative to appearappear at a
hearing or pre-hearing conference without having received a continuance;
or
2) the appellant failed to notify the Chief ALJAdministrative Law Judge of a
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change of address and a notice of the administrative hearing, sent to the
appellant's last known address, was returned as "undeliverable,",
"unclaimed,", "refused,", "moved,", or "no forwarding address.", or for
similar circumstances by the US Postal Service or other third party
delivery service.
b) Good cause for failure to appear includes, but is not limited to:
1) death or serious illness in the immediate family of the appellant, or the
appellant's representative, any witness, or the Department's legal
representative;
2) failure of the AHUAdministrative Hearings Unit to give notice of the
proceeding to the appellant or the appellant's representative at the last
known address available to the AHUAdministrative Hearings Unit; or
3) failure of the AHUAdministrative Hearings Unit to give notice by fax,
inter-office mail or electronic mail, to the Department's legalDepartment
representative. or the present supervisor of the child protection team with
primary case responsibility for the investigation.
c) When the Department's legal representativeDepartment fails to appear at a pre-
hearing conference or hearing, without good cause, and without having received a
continuance, the ALJAdministrative Law Judge may issue orders as are
appropriate, including, but not limited to, a finding of default for failure to appear
or participate. All orders regarding a Department legal representative's failure to
appear at a pre-hearing or hearing shall be sent to the attention of the
Department's General Counsel.
d) Any party seeking to vacate an order of abandonment or default shall file a
motion within 14 days after notice of the entry of an order of abandonment or
default, showing good cause why the party failed to appear or participate. All
such motions will be timely ruled upon by the ALJ. Copies of the motion shall be
served upon the ALJ, the AHU and the opposing party.
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.210 Record of an Administrative Hearing
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The record of the administrative hearing and the final administrative decision shall be maintained
by the AHU and includes the recorded proceedings, any exhibits admitted into evidence, and any
offers of proof.Chief Administrative Law Judge. All final administrative decisions shall be
available to any party for public inspection during regular business hours. However, personal
identifying information and other confidential information shall be deleted in accordance with 89
Ill. Adm. Code 431 (Confidentiality of Personal Information of Persons Served by the
Department of Children and Family Services).
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
Section 336.220 Final Administrative Decision
a) TheMaking the Final Administrative Decision
1) The Director of the Department shall issue the final decisionreceive the
Administrative Law Judge's recommended decision within 35 calendar
days after receipt of a timely and sufficient request for an expedited
appeal, unless extended by action of the appellant. or a stay pending a
final judicial decision of a criminal or juvenile court proceeding based
upon the same set of facts. Within the same 35 day time period, the
Director shall receive and accept, reject, amend or return to the
AHUAdministrative Hearings Unit for further proceedings the
ALJ'sAdministrative Law Judge's recommendation with respect to the
expedited appeal. The Director's decision is the final administrative
decision of the Department. If the decision requires corrective action by
the Department, the Director shall insure compliance with the decision.
2) The Director of the Department shall issuereceive the finalAdministrative
Law Judge's recommended decision within 90 calendar days after receipt
of a timely and sufficient request for an appeal, unless extended by action
of the appellant. or a stay pending a final judicial decision of a criminal or
juvenile court proceeding based upon the same set of facts. Within the
same 90 day period, the Director shall receive and accept, reject, amend or
return to the AHUAdministrative Hearings Unit for further proceedings
the ALJ'sAdministrative Law Judge's recommendation. The 90 day time
period may be extended by the actions of the appellant. The Director's
decision is the final administrative decision of the Department. If the
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decision requires corrective action by the Department, the Director shall
appoint a Department staff person who shall be responsible for insuring
compliance with the decision.
b) Notice of the Availability of Judicial Review
The Department shall include a notice to appellants as part of the final
administrative decision. This notice shall include the name of the person
responsible for compliance, if applicable, and shall advise the appellants that,
under the Administrative Review Lawprovisions of the Administrative Review
Law [735 ILCS 5/Art. III], they may seek judicial review of the final
administrativeDepartment's decision within the statutory time frame, if the final
administrative decisionit is unfavorable to them, within the statutory time frame.
c) Who Receives Copies of the Final Administrative Decision
The appellant or authorized representative, the Department's legal representative,
the Department child protectionprotective investigation unit, the Department's
representative, the Department's Office of Legal Services, the ALJAdministrative
Law Judge, the Chief ALJAdministrative Law Judge, and the SCRState Central
Register shall receive a copy of the final administrative decision.
d) Notifying Others of the Decision
1) The following persons shall receive a notice of the final administrative
decision from the AHUState Central Register:
A) the Illinois Department of Financial and Professional Regulation,
district, regional and private school superintendents and the State
Board of Education when they have been notified that an appeal
has been filed in accordance with 89 Ill. Adm. Code 300 (Reports
of Child Abuse and Neglect), Section 300.140;
B) administrators of child care facilities and Department licensing
staff when the appellant is an employee of a child care facility; and
C) supervisors or administrators notified in accordance with 89 Ill.
Adm. Code 300.100(i).
2) The following persons shall receive a notice of the final administrative
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decision, if the decision amends, expunges or removes any record made
under ANCRA Section 7.17 of the Abused and Neglected Child Reporting
Act [325 ILCS 5/7.17]:
A) parents or personal guardians of the child victims if they are not
the same as the appellant;
B) the mandated reporter who originally made the report of child
abuse or neglect; and
C) the juvenile court judge and guardian ad litem and/or attorney for a
minor (when a State ward is involved or the minor is the subject of
a petition under Article II of the Juvenile Court Act).
(Source: Amended at 41 Ill. Reg. 15260, effective December 6, 2017)
ILLINOIS REGISTER 15310
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1) Heading of the Part: Health Care Worker Self-Referral
2) Code Citation: 77 Ill. Adm. Code 1235
3) Section Numbers: Adopted Actions:
1235.10 Amendment
1235.20 Repealed
1235.30 Amendment
1235.40 Amendment
1235.50 Amendment
1235.100 Amendment
1235.110 Amendment
1235.200 Amendment
1235.210 Amendment
1235.220 Amendment
1235.230 Amendment
1235.240 Amendment
1235.250 Amendment
1235.310 Amendment
4) Statutory Authority: Health Care Worker Self-Referral Act [225 ILCS 47/30]
5) Effective Date of Rules: December 5, 2017
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 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 Proposed published in the Illinois Register: 41 Ill. Reg. 6317; June 2, 2017
10) Has JCAR issued a Statement of Objection to this rulemaking? No
11) Differences between Proposal and Final Version: None
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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 made.
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: Streamline the process for reviewing applications
for exception and requests for advisory opinions. For both types of requests, Board staff
will determine completeness. Incomplete requests will be considered withdrawn if not
remedied within 30 days. Remove the reference to the Open Meetings Act as it is no
longer applicable. Update terminology and citations. Other technical changes.
16) Information and questions regarding these adopted rules shall be directed to:
Jeannie Mitchell
General Counsel
Health Facilities and Services Review Board
69 W. Washington Street, Suite 3501
Chicago IL 60602
312/814-2678
The full text of the Adopted Amendments begins on the next page:
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TITLE 77: PUBLIC HEALTH
CHAPTER II: HEALTH FACILITIES AND SERVICES REVIEW BOARD
SUBCHAPTER b: OTHER BOARD RULES
PART 1235
HEALTH CARE WORKER SELF-REFERRAL
SUBPART A: AUTHORITY, PUBLIC HEARINGS, PURPOSE AND DEFINITIONS
Section
1235.10 Statutory Authority
1235.20 Public Hearings (Repealed)
1235.30 Purpose
1235.40 Applicability
1235.50 Definitions
SUBPART B: REFERRALS
Section
1235.100 Prohibited Referrals
1235.110 Allowable Referrals
SUBPART C: COMMUNITY NEED EXCEPTION
Section
1235.200 Introduction
1235.210 Community Need
1235.220 Alternative Financing
1235.230 Assurances
1235.240 Application for Exception – Completeness Review
1235.250 Application for Exception – State Board Review
SUBPART D: STATE BOARD ADVISORY OPINIONS
Section
1235.300 Introduction
1235.310 Request for Opinion – Completeness Review
1235.320 Request for Opinion – State Board Review
ILLINOIS REGISTER 15313
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AUTHORITY: Implementing and authorized by the Health Care Self-Referral Act (Public Act
87-1207, effective January 1, 1993.)
SOURCE: Emergency rule adopted 17 Ill. Reg. 402, effective January 4, 1993, for a maximum
of 150 days; adopted at 17 Ill. Reg. 8498, effective June 4, 1993; amended at 41 Ill. Reg. 15310,
effective December 5, 2017.
SUBPART A: AUTHORITY, PUBLIC HEARINGS, PURPOSE AND DEFINITIONS
Section 1235.10 Statutory Authority
This Part is promulgated by authority granted to the Illinois Health Facilities and Services
ReviewPlanning Board (State Board or Board) under the Illinois Health Facilities Planning Act
(Planning Act) (Ill. Rev. Stat. 1991, ch. 111½, pars. 1151 et seq.) [20 ILCS 3960] and under
Public Act 87-1207, the Health Care Worker Self-Referral Act [225 ILCS 47].
(Source: Amended at 41 Ill. Reg. 15310, effective December 5, 2017)
Section 1235.20 Public Hearings (Repealed)
In accordance with the provisions of Section 12 of the Health Facilities Planning Act, public
hearings on this Part were held on February 17, 1993. Copies of the public hearing record are
available for inspection at the headquarters of the State Board at 525 West Jefferson Street,
Springfield, Illinois 62761.
(Source: Repealed at 41 Ill. Reg. 15310, effective December 5, 2017)
Section 1235.30 Purpose
The General Assembly recognizes that patient referrals by health care workers for health
services to an entity in which the referring health care worker has an investment interest may
present a potential conflict of interest. It…it is the intent of the General Assembly to provide
guidance to health care workers regarding acceptable patient referrals, to prohibit patient
referrals to entities providing health services in which the referring health care worker has an
investment interest, and to protect the citizens of Illinois from unnecessary and costly health care
expenditures. It…it is not the intent of the General Assembly to limit appropriate delivery of
care, nor force unnecessary changes in the structures created by workers for the health and
ILLINOIS REGISTER 15314
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convenience of their patients. [225 ILCS 47/5](Section 5 of the Act)
(Source: Amended at 41 Ill. Reg. 15310, effective December 5, 2017)
Section 1235.40 Applicability
The Health Care Worker Self-Referral Act applies to referrals for health services made on or
after January 1, 1993. However, if a health care worker acquired an investment interest before
July 1, 1992, thethis Act shall not apply to referrals made for health services before January 1,
1996. [225 ILCS 47/10](Section 10 of the Act)
(Source: Amended at 41 Ill. Reg. 15310, effective December 5, 2017)
Section 1235.50 Definitions
The following definitions shall apply to the terms used in this Part:
"Act" means the Health Care Worker Self-Referral Act. [225 ILCS 47]
"Board" or "State Board" means the Health Facilities and Services
ReviewPlanning Board. [224 ILCS 47/15(a)](Section 15(a) of the Act)
"Community" means a metropolitan area for a city, and a county for a rural area.
[225 ILCS 47/20(b)](Section 20(b) of the Act)
"Entity" means any individual, partnership, firm, corporation, or other business
that provides health services but does not include an individual who is a health
care worker who provides professional services to an individual. [225 ILCS
47/15(b)](Section 15(b) of the Act)
"Group Practice" means a group of 2 or more health care workers legally
organized as a partnership, professional corporation, not-for-profit corporation,
faculty practice plan or a similar association in which occurs:
each health care worker who is a member or employee or an independent
contractor of the group provides substantially the full range of services
that the health care worker routinely provides, including consultation,
diagnosis, or treatment, through the use of office space, facilities,
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equipment, or personnel of the group;
the services of the health care workers are provided through the group,
and payments received for health services are treated as receipts of the
group; and
the overhead expenses and the income from the practice are distributed by
methods previously determined by the group. [225 ILCS 47/15(c)]
(Section 15(c) of the Act)
"Health Care Worker" means any individual licensed under the laws of this State
to provide health services, including but not limited to: dentists licensed under
the Illinois Dental Practice Act [225 ILCS 25]; dental hygienists licensed under
the Illinois Dental Practice Act; nurses and advanced practice nurses licensed
under the Illinois Nurse PracticeNursing Act [225 ILCS 65]of 1987; occupational
therapists licensed under the Illinois Occupational Therapy Practice Act [225
ILCS 75]; optometrists licensed under the Illinois Optometric Practice Act of
1987 [225 ILCS 80]; pharmacists licensed under the Pharmacy Practice Act [225
ILCS 85]of 1987; physical therapists licensed under the Illinois Physical Therapy
Act [225 ILCS 90]; physicians licensed under the Medical Practice Act of 1987
[225 ILCS 60]; physician assistants licensed under the Physician Assistant
Practice Act of 1987 [225 ILCS 95]; podiatrists licensed under the Podiatric
Medical Practice Act of 1987 [225 ILCS 100]; clinical psychologists licensed
under the Clinical Psychologist Licensing Act [225 ILCS 15]; clinical social
workers licensed under the Clinical Social Work and Social Work Practice Act
[225 ILCS 20]; speech-language pathologists and audiologists licensed under the
Illinois Speech-Language Pathology and Audiology Practice Act [225 ILCS 110];
or hearing aid dispensers licensed under the Hearing InstrumentAid Consumer
Protection Act [225 ILCS 50] or any of their successor Acts. [225 ILCS
47/15(d)](Section 15(d) of the Act)
"Health Services" means health care procedures and services provided by or
through a health care worker. [225 ILCS 47/15(e)](Section 15(e) of the Act)
"Immediate Family Member" means a health care worker's spouse, child, child's
spouse, or a parent. [225 ILCS 47/15(f)](Section 15(f) of the Act)
"Investment Interest" means an equity or debt security issued by an entity,
ILLINOIS REGISTER 15316
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including, without limitation, shares ofor stock in a corporation, units or other
interests in a partnership, bonds, debentures, notes, or other equity interests or
debt instruments except that investment interest does not include interest in a
hospital licensed under the laws of the State of Illinois. [225 ILCS
47/15(g)](Section 15(g) of the Act)
"Investor" means an individual or entity directly or indirectly owning a legal or
beneficial ownership or investment interest, (such as through an immediate family
member, trust, or another entity related to the investor). [225 ILCS
47/15(h)](Section 15(h) of the Act)
"Metropolitan Area" means a geographically identified area consisting of
community areas or townships (as applicable) not to exceed a population of
50,000 people.
"Office Practice" includes the facility or facilities at which a health care worker,
on an ongoing basis, provides or supervises the provision of professional health
services to individuals. [225 ILCS 47/15(i)](Section 15(i) of the Act)
"Referral" means any referral of a patient for health services, including, without
limitation:
The forwarding of a patient by one health care worker to another health
care worker or to an entity outside the health care worker's office practice
or group practice that provides health services. (Section 15(j) of the Act)
The request or establishment by a health care worker of a plan of care
outside the health care worker's office practice or group practice that
includes the provision of any health services. [225 ILCS 47/15(j)](Section
15(j) of the Act)
"Rural Area" means any geographic area located outside a metropolitan statistical
area as defined by the U.S. Census Bureau.
(Source: Amended at 41 Ill. Reg. 15310, effective December 5, 2017)
SUBPART B: REFERRALS
ILLINOIS REGISTER 15317
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Section 1235.100 Prohibited Referrals
The following patient referrals are prohibited under the Act:
a) patient referrals to an entity outside the health care worker's office or group
practice in which the health care worker is an investor, unless:
1) the health care worker directly provides health services within the entity
and will be personally involved with the provision of care to the referred
patient [225 ILCS 47/20(a)];(Section 20(a) of the Act), or
2) the State Board approves an exception pursuant to Section 1235.200;
b) patient referrals to another health care worker or entity based upon the condition
that the health care worker or entity will make referrals with an intent to evade
the prohibitions of the Self-Referral Act by inducing patient referrals thatwhich
would be prohibited if the health care worker or entity made the referral directly
[225 ILCS 47/20(e)](Section 20(e) of the Act);
c) patient referrals to a publicly traded entity in which the health care worker has an
investment interest that does not comply with the following provisions:
1) The entity is listed for trading on the New York Stock Exchange or on the
American Stock Exchange, or is a national market system security traded
under an automated inter-dealer quotation system operated by the
National Association of Securities Dealers [225 ILCS
47/20(c)(1)](Section 20(c)(1) of the Act); and
2) The entity had, at the end of the corporation's most recent fiscal year, total
net assets of at least $30,000,000 related to the furnishing of health
services [225 ILCS 47/20(c)(2)](Section 20(c)(2) of the Act); and
3) Any investment interest obtained after January 1, 1993 is traded on the
exchanges listed in subsectionSection 1235.100(c)(1) above after the
entity became a publicly traded corporation [225 ILCS
47/20(c)(3)](Section 20(c)(3) of the Act); and
4) The entity markets or furnishes its services to referring health care worker
ILLINOIS REGISTER 15318
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investors and other health care workers on equal terms [225 ILCS
47/20(c)(4)](Section 20(c)(4) of the Act); and
5) All stock held in such publicly traded companies, including stock held in
the predecessor privately held company, shall be of one class without
preferential treatment as to status or remuneration [225 ILCS
47/20(c)(5)](Section 20(c)(5) of the Act); and
6) The entity does not loan funds or guarantee any loans for health care
workers who are in a position to be referred to an entity [225 ILCS
47/20(c)(6)](Section 20(c)(6) of the Act); and
7) The income on the health care worker's investment is tied to the health
care worker's equity in the entity rather than to the volume of referrals
made [225 ILCS 47/20(c)(7)](Section 20(c)(7) of the Act); and
8) The investment interest does not exceed ½ of 1% of the entity's total
equity. [225 ILCS 47/20(c)(8)](Section 20(c)(8) of the Act)
(Source: Amended at 41 Ill. Reg. 15310, effective December 5, 2017)
Section 1235.110 Allowable Referrals
All patient referrals other than those prohibited by Section 1235.100 are allowable under the Act.
In addition, a health care worker may refer a patient, who is a member of a health maintenance
organization ("HMO)" licensed in this State, for health services to anany entity, outside the
health care worker's office or group practice, in which the health care worker is an investor,
provided that any such referral is made pursuant to a contract with the HMO. [225 ILCS
47/20(h)](Section 20(h) of the Act)
(Source: Amended at 41 Ill. Reg. 15310, effective December 5, 2017)
SUBPART C: COMMUNITY NEED EXCEPTION
Section 1235.200 Introduction
One of the stated goals of the Health Care Worker Self-Referral Act is to "prohibit patient
referrals to entities providing health services in which the referring health care worker has an
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HEALTH FACILITIES AND SERVICES REVIEW BOARD
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investment interest". [225 ILCS 47/5](Section 5 of the Act) This provision can be tempered
through the use of an exception for community need. AAs a concept community need can be
segmented into two principal components: need for a particular service and the existence and
availability of alternative financing. An applicant for a community need exception must
document compliance with both principal components.
(Source: Amended at 41 Ill. Reg. 15310, effective December 5, 2017)
Section 1235.210 Community Need
a) A health care worker may invest in, and refer to, an entity if the State Board
determines that:
1) in a referral arrangement, alternative financing does not exist; and
2) that a demonstrated need for the service is present in the community.
b) The health care worker must document any of the following to demonstrate
community need:
1) there is no other entity within the community that provides the medical
service proposed; or
2) if the health service currently exists within the community, the use of
these facilities can be shown to be a hardship for patients due to factors
such as excessive (over 45 minutes) travel time to obtain service, existing
admission or treatment policies of other entities thatwhich restrict the
availability of the service, or perceived quality concerns by the general
public involving existing providers thatwhich restrict the use of thesuch
services; or
3) the entity is formed to own or lease medical equipment thatwhich will
replace obsolete or otherwise inadequate equipment that is in or under the
control of a hospital located in a federally designated health manpower
shortage area [225 ILCS 47/20(b)(3)](Section 20(b)(3) of the Act) as
documented by:
A) excessive downtime and high maintenance costs; or
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B) the equipment representing an advancement in technology
thatwhich will make available medical procedures not possible on
existing equipment.
(Source: Amended at 41 Ill. Reg. 15310, effective December 5, 2017)
Section 1235.220 Alternative Financing
a) A health care worker may invest in and refer to an entity if the State Board
determines a demonstrated community need exists and that alternative financing
is not, or was not, available.
b) The health care worker must document that:
1) individuals who are not in a position to refer patients to an entity are or
were given a bona fide opportunity to also invest in the entity on the same
terms as those offered a referring health care worker [225 ILCS
47/20(b)(1)](Section 20(b)(1) of the Act); and that
2) thesuch investment was not forthcoming.
c) Documentation shall consist of copies of all information that supports this
position.
(Source: Amended at 41 Ill. Reg. 15310, effective December 5, 2017)
Section 1235.230 Assurances
In addition to documenting compliance with Sections 1235.210 and 1235.220, a health care
worker must document compliance with the assurances and conditions of this Section.
Documentation shall consist of a written profile demonstratingas to how compliance will occur
and copies of all supporting documentation. Assurances and conditions are that:
a) That no health care worker who invests shall be required or encouraged to make
referrals to the entity or otherwise generate business as a condition of becoming
or remaining an investor; and
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b) That the entity shall market or furnish its services to referring health care worker
investors and other investors on equal terms; and
c) That the entity shall not loan funds or guarantee any loans for health care
workers who are in a position to refer to an entity; and
d) That the income on the health care worker's investment shall be tied to the health
care worker's equity in the facility, rather than to the volume of referrals made;
and
e) That any investment contract between the entity and the health care worker shall
not include any covenant or non-competition clause that prevents a health care
worker from investing in other entities; and
f) That when making a referral, a health care worker must disclose his or her
investment interest in an entity to the patient being referred to thatsuch entity. If
alternative facilities are reasonably available, the health care worker must
provide the patient with a list of alternative facilities. The health care worker
shall inform patients that they have the option to use an alternative facility other
than one in which the health care worker has an investment interest. The and the
patient will not be treated differently by the health care worker if the patient
chooses to use another entity. This shall be applicable to all health care worker
investors, including those who provide direct care or services for their patients in
entities outside their office practices; and
g) That if a third party payer requests information with regard to a health care
worker's investment interest, the same shall be disclosed; and
h) That the entity shall establish an internal utilization review program to ensure
that investing health care workers provided appropriate or necessary utilization;
and
i) That if a health care worker's financial interest in an entity is incompatible with a
referred patient's interest, the health care worker shall make alternative
arrangements for the patient's care [225 ILCS 47/20(b)(2) through (10)](Section
20(b) of the Act); and
j) That all documentation required by the State Board to confirm that all assurances
ILLINOIS REGISTER 15322
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HEALTH FACILITIES AND SERVICES REVIEW BOARD
NOTICE OF ADOPTED AMENDMENTS
have been met will be provided upon request for a period of two years following
exception issuance.
(Source: Amended at 41 Ill. Reg. 15310, effective December 5, 2017)
Section 1235.240 Application for Exception – Completeness Review
a) Each application for exception must be submitted to the State Board in writing at
the offices of the Executive Secretary, 525 W. Jefferson Street, 2nd Floor,
Springfield IL 62761.
b) The application must contain the following information in order to be complete:
1) The name and identifying information of the health care worker requesting
the exception;
2) The information and documentation regarding community need required
in Section 1235.210;
3) The information and documentation regarding alternative financing
required in Section 1235.220;
4) Documentation of the assurances required in Section 1235.230;
5) Certification and notarized signature of the applicant health care worker
that the information and documentation contained in the application for
exception is true and correct to the best of his or her information and
belief.
c) Board staffThe Executive Secretary shall review the application to determine if all
required information of completion has been submitted. Board staffThe
Executive Secretary may request the health care worker to submit additional
information regarding completion.
d) The Executive Secretary shall provide to the State Board a copy of the application
and any additional information received from the health care worker for a
determination of completeness. The State Board staff shall determine whether the
request is substantially complete within 10have no more than 45 days from
ILLINOIS REGISTER 15323
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HEALTH FACILITIES AND SERVICES REVIEW BOARD
NOTICE OF ADOPTED AMENDMENTS
receivingthe date of receipt of the application for exception to determine
completeness. A determination of completeness requires seven affirmative votes
and shall be based on a finding by the State Board that the health care worker has
provided the required information. Failure to obtain seven affirmative votes
results in a finding that the application is incomplete.
e) A health care worker may submit additional information to the State Board for an
application for exception thatwhich has been deemed incomplete. The State
Board staff shall re-evaluate the application for completeness based upon the
additional information received. Any application for exception thatwhich is not
complete within 3060 days afterof a State Board finding of incompleteness shall
be null and void and considered withdrawn.
f) All information submitted in conjunction with an application for exception shall
be considered public information and shall be subject to disclosure in the course
of the State Board deliberations in conformance with the provisions of the Open
Meetings Act [5 ILCS 120). Such information may be further disclosed in
conformance with the provisions of the Freedom of Information Act [5 ILCS
140]) and 2 Ill. Adm. Code 1925the rules and regulations promulgated thereunder.
(Source: Amended at 41 Ill. Reg. 15310, effective December 5, 2017)
Section 1235.250 Application for Exception – State Board Review
a) The State Board shall approve or deny an application for exception within 90 days
from the date on which the application was deemed complete. Failure to act on an
application within the 90 day review period, shall mean that no alternative is
practical based upon the factsfactors set forth in the completed application and
shall constitute approval of the application. [225 ILCS 47/20(b)](Section 20(b) of
the Act)
b) During the course of review, the State Board may request supplemental
information from the health care worker. The State Board may, within the 90 day
review period, defer action on the application until such time as the supplemental
information has been received.
c) Approval of an application for exception requires seven affirmative votes and
shall be based on a finding by the State Board that the health care worker has
ILLINOIS REGISTER 15324
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HEALTH FACILITIES AND SERVICES REVIEW BOARD
NOTICE OF ADOPTED AMENDMENTS
documented compliance with the provisions of this Subpart and the Act. Failure
to obtain seven affirmative votes shall constitute denial of the application for
exception.
cd) Action taken by the State Board on an application for exception shall constitute a
final administrative decision and shall be subject to the provisions of the
Administrative Review Law [735 ILCS 5/Art. III].
de) Pursuant to an approved application for exception, a health care worker may
invest in, and refer patients to, the specific entity identified in the application,
whether or not the health care worker provides direct services within thatsaid
entity, based upon his or her having demonstrated community need for the entity
and the unavailability of alternative financing.
(Source: Amended at 41 Ill. Reg. 15310, effective December 5, 2017)
SUBPART D: STATE BOARD ADVISORY OPINIONS
Section 1235.310 Request for Opinion – Completeness Review
a) A request for an advisory opinion must be made by a health care worker, in
writing, on forms as may be prescribed by the State Board and submitted to the
State Board atOffice of the Executive Secretary, 525-535 West Jefferson Street,
2nd Floor, Springfield IL, Illinois 62761.
b) The request must contain the following information in order to be complete:
1) The name and identifying information of the health care worker requesting
the opinion;
2) Identification of the entity and description of the health care services being
provided or proposed by or through the entity;
3) The type and amount of existing or proposed investment interest in the
entity;
4) A description of the nature of the investment interest and copies of any
existing or proposed documents between the health care worker and the
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HEALTH FACILITIES AND SERVICES REVIEW BOARD
NOTICE OF ADOPTED AMENDMENTS
entity, including but not limited to leases, contracts, organizational
documents, etc.
5) Certification and notarized signature of the health care worker requesting
the opinion that the information contained in the request for opinion and
supporting documentation is true and correct to the best of his or her
information and belief.
c) Board staffThe Executive Secretary shall review the request to determine whether
all required information has been submitted. Board staffThe Executive Secretary
may request the health care worker to submit additional information.
d) Board staffThe Executive Secretary shall submit a copy of the request for
advisory opinion and any additional information received from the health care
worker to the State Board. The State Board shall determine whether the request is
substantially complete within 1045 days after receiving from the date of receipt of
the request for advisory opinion. A determination of completeness requires seven
affirmative votes and shall be based on a finding by the State Board that the
health care worker has provided the required information. A request which fails
to receive seven affirmative votes shall be deemed incomplete.
e) A health care worker may submit additional information to the State Board for a
request for advisory opinion thatwhich has been deemed incomplete. The State
Board staff shall re-evaluate the request for completeness based upon the
additional information received. Any incomplete request for advisory opinion
thatwhich is not complete within 3060 days afterof a State Board determination
shall be considered withdrawn.
f) All information submitted in conjunction with a request for advisory opinion shall
be considered public information and shall be subject to disclosure in the course
of the State Board deliberations in conformance with the provisions of the Open
Meetings Act [5 ILCS 120]. Such information may be further disclosed in
conformance with the provisions of the Freedom of Information Act [5 ILCS 140]
and 2 Ill. Adm. Code 1925the rules and regulations promulgated thereunder.
(Source: Amended at 41 Ill. Reg. 15310, effective December 5, 2017)
ILLINOIS REGISTER 15326
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
1) Heading of the Part: Illinois Cycle Rider Safety Training Program
2) Code Citation: 92 Ill. Adm. Code 455
3) Section Numbers: Adopted Actions:
455.30 Amendment
455.40 Amendment
455.50 Amendment
455.70 Amendment
455.80 Amendment
455.APPENDIX A Amendment
4) Statutory Authority: Implementing and authorized by Sections 1 through 7 of the Cycle
Rider Safety Training Act [625 ILCS 35].
5) Effective Date of Rules: December 5, 2017
6) Does this rulemaking contain an automatic repeal date? No
7) Does this rulemaking contain incorporations by reference? Yes
8) A copy of the adopted rules, including any materials incorporated by reference, is on file
at the Agency's principal office at 2300 S. Dirksen Parkway, Springfield, IL 62764 and
will be made available for public inspection.
9) Notice of Proposal published in the Illinois Register: 41 Ill. Reg. 10879; August 25, 2017
10) Has JCAR issued a Statement of Objection to this rulemaking? No
11) Differences between Proposal and Final Version: The following substantive changes
were made:
Section 455.40 – Incorrect publication dates for the materials incorporated in subsections
(a)(1) and (2) were changed to reflect the correct dates. The CFR edition date under
subsection (a)(4) was changed to October 2017 because a new CFR was published during
the rulemaking process.
ILLINOIS REGISTER 15327
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
Section 455.50 – Pursuant to public comment, subsection (f)(1) was replaced with "All
records are subject to the State Records Act and shall be maintained in accordance with
the Department's records retention schedule as approved by the State Records
Commission."
Section 455.70 –The text "[b]oth documents are to be maintained at the Regional Center
for at least five years" was removed from subsection (e)(7) pursuant to public comment.
Section 455.80 – Subsection (c) was modified pursuant to public comment.
12) Have all changes agreed upon by the Agency and JCAR been made as indicated in the
agreements issued by JCAR? JCAR did not issue an agreements for this rulemaking.
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 Department proposed this rulemaking to
update definitions, addresses, incorporated materials, and to identify the current regional
centers that administer the program.
16) Information and questions regarding these adopted rules shall be directed to:
Greg Stucka, Rules Manager
Illinois Department of Transportation
Office of Chief Counsel
2300 South Dirksen Parkway, Room 317
Springfield IL 62764
The full text of the Adopted Amendments begins on the next page:
ILLINOIS REGISTER 15328
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DEPARTMENT OF TRANSPORTATION
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TITLE 92: TRANSPORTATION
CHAPTER I: DEPARTMENT OF TRANSPORTATION
SUBCHAPTER e: TRAFFIC SAFETY (EXCEPT HAZARDOUS MATERIALS)
PART 455
ILLINOIS CYCLE RIDER SAFETY TRAINING PROGRAM
Section
455.10 Purpose and Authority
455.20 Applicability
455.30 Definitions
455.40 Incorporations by Reference
455.50 Program Requirements
455.60 Contracts
455.70 Cycle Rider Safety Training Courses
455.80 Reimbursement Process
455.APPENDIX A Regional Centers and Counties
AUTHORITY: Implementing and authorized by Sections 1 through 7 of the Cycle Rider Safety
Training Act [625 ILCS 35].
SOURCE: Old Part repealed at 33 Ill. Reg. 1812, and new Part adopted at 33 Ill. Reg. 1785,
effective January 16, 2009; amended at 35 Ill. Reg. 15457, effective September 7, 2011;
amended at 40 Ill. Reg. 2065, effective January 8, 2016; amended at 41 Ill. Reg. 15326, effective
December 5, 2017.
Section 455.30 Definitions
"Act" means the Cycle Rider Safety Training Act [625 ILCS 35].
"Advanced Rider Course" or "ARC" means a course designed to develop
advanced braking and steering skills while the student is astride his/her own
cycle. Classroom materials cover cycle handling dynamics and traction
management.
"Beginner Course" means a training course that includes both classroom and on-
cycle instruction. The course is designed to reduce the likelihood and severity of
ILLINOIS REGISTER 15329
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
cycle crash involvement by teaching essential street riding skills and developing
riding strategies.
"Assistant Coordinator" means the person who assists the Program Coordinator
with day-to-day operations of the Program.
"Chief Instructor" means the person who is qualified under this Part to train and
certify Program instructors. (See Section 455.50(a)(4) for qualifications.)
"Code" or "IVC" means the Illinois Vehicle Code [625 ILCS 5].
"Contract" means an annual written agreement between the Illinois Department of
Transportation, Division of Traffic Safety, and each Regional Center. The
contract year begins December 1 and ends the following November 30. A
contract will specify the requirements of the Program and the amount of money
provided from the Cycle Rider Safety Training Fund to implement the Program as
provided in Section 6 of the Act.
"Cycle" means a motorcycle, motor driven cycle or moped as defined in the
Illinois Vehicle Code. (Section 2.01 of the Act)
"Cycle Rider" means every person who rides and is in actual physical control of a
cycle. (Section 2.02 of the Act)
"Cycle Rider Safety Training Courses" or "Courses" means beginner and
advanced courses of instruction in the use and operation of cycles, including
instruction in the safe on-road operation of cycles, the rules of the road and the
laws of Illinois relating to motor vehicles. These courses must meet the minimum
requirements of the Act and this Part and must be approved by the Department as
meeting those requirements. (See Section 2.03 of the Act.)
"Department" means the Illinois Department of Transportation. (Section 2.04 of
the Act)
"Division" means the Illinois Department of Transportation, Division of Traffic
Safety.
ILLINOIS REGISTER 15330
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
"Driver's License" means any license or permit to operate a motor vehicle under
the laws of Illinois. (Section 2.05 of the Act)
"Instructor" means the person or persons qualified under this Part to teach both
on-cycle and classroom sessions of the Program. Instructors must successfully
complete an Instructor Training Course prior to performing the duties of an
instructor.
"Instructor Update Seminar" means an annual seminar conducted at a Regional
Center that Program instructors must attend annually to update and review
curriculum and other issues related to the Program.
"Moped" means a motor-driven cycle, with or without optional power derived
from manually operated pedals, whose speed attainable in one mile is at least 20
mph but not greater than 30 mph, and is equipped with a motor that produces 2
brake horsepower or less. If an internal combustion engine is used, the
displacement shall not exceed 50 cubic centimeter displacement and the power
drive system shall not require the operator to shift gears. (IVC Section 1-148.2 of
the Code)
"Motor Driven Cycle" means every motorcycle and every motor scooter with less
than 150 cubic centimeter piston displacement, including motorized pedalcycles.
(IVC Section 1-145.001 of the Code)
"Motorcycle" means every motor vehicle having a seat or saddle for the use of the
rider and designed to travel on not more than 3 wheels in contact with the
ground, but excluding an autocycle ora tractor. (IVC Section 1-147 of the Code)
"Program" means the Illinois Cycle Rider Safety Training Program.
"Program Coordinator" means the person employed at a Regional Center who is
responsible for the day-to-day management of the Program within a Region. The
Program Coordinator must meet the Division's Chief Instructor criteria within 18
months after becoming a Program Coordinator.
"Program Director" means the person employed by the State college or
community college, the State university or the community agency designated by
ILLINOIS REGISTER 15331
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
the Department to have the overall responsibility for management of the Program
within a Region.
"Range" means the paved area that is used to conduct the "on-cycle" portion of
the training course.
"Range Aide" means the person employed at a Regional Center who is
responsible for preparing the range, cycles, and other equipment for on-cycle
instruction and for maintaining cycles in a safe operating condition. Range Aides
must successfully complete a beginner course under Section 455.50 prior to
employment.
"Region" means the geographic area made up of a group of counties that
constitutes an area served by each Regional Cycle Rider Safety Training Center.
"Regional Cycle Rider Safety Training Center" or "Regional Center" means any
State college or community college, a State university or a community agency
selected by the DepartmentDivision to administer the Program within a defined
Region.
"Training Site" means the physical location of the training range or ranges, the
classroom or classrooms and the storage facility. Each Region may have more
than one training site. A training site may have more than one training range
and/or classroom. All training sites shall be selected by the Program Coordinator
and approved by the Division prior to use. (See Section 455.50(b) for criteria
used to approve training site.)
"USDOT" means the United States Department of Transportation.
(Source: Amended at 41 Ill. Reg. 15326, effective December 5, 2017)
Section 455.40 Incorporations by Reference
a) Incorporations by Reference
The Department incorporates by reference the following:
1) As the curriculum for the beginner courses, The Department incorporates
by reference the Motorcycle Safety Foundation's RiderCoach Guide
ILLINOIS REGISTER 15332
17
DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
(January 2017), as it was in effect as of February 2009, as the curriculum
for the beginner courses. No later amendments to or editions of the
Motorcycle Safety Foundation's RiderCoach Guide are incorporated.
Copies of the appropriate material are available from the Division of
Traffic Safety, 1340 North 9th Street, Springfield, Illinois 62702 or by
calling 217/785-1181.
2)b) As the curriculum for the advanced courses, The Department incorporates
by reference the Motorcycle Safety Foundation's Advanced Rider Course
(ARC) (May 2017)Experienced RiderCourse Suite, as it was in effect as of
May 2010, as the curriculum for the advanced courses. No later
amendments to or editions of the Motorcycle Safety Foundation's
Experienced RiderCourse Suite are incorporated. Copies of the
appropriate material are available from the Division of Traffic Safety,
1340 North 9th Street, Springfield, Illinois 62702 or by calling 217/785-
1181.
3)c) As the curriculum for the Chief Instructor courses, The Department
incorporates by reference the Motorcycle Safety Foundation's RiderCoach
Trainer Guide (January 2016)as it was in effect as of May 2008, as the
curriculum for the Chief Instructor courses. No later amendments to or
editions of the Motorcycle Safety Foundation's RiderCoach Trainer Guide
are incorporated. Copies of the appropriate material are available from the
Division of Traffic Safety, 1340 North 9th Street, Springfield, Illinois
62702 or by calling 217/785-1181.
4)d) Every helmet used in the Program must conform to the applicable
provisions of 49 CFR 571.218 (Motorcycle helmets) of the Federal Motor
Vehicle Safety Standard (FMVSS) (October 1, 2017). Those applicable
provisions of the FMVSS are incorporated by reference as that part of the
FMVSS was in effect on October 1, 2010. No later amendments to or
editions of 49 CFR 571.218 are incorporated.
b) All the materials incorporated by reference in this Section are incorporated as of
the date specified and include no later amendments or editions.
c)e) Copies of the above materials incorporated by reference in this Section are
available for inspection at the Department, 2300 South Dirksen Parkway, Room
ILLINOIS REGISTER 15333
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
007, Springfield IL 62764Division of Traffic Safety, 1340 North 9th Street,
Springfield, Illinois 62702 or by calling 217/782-3568217/785-1181. The federal
standards are available on the National Archives and Records Administration's
website at http://www.ecfr.govhttp://ecfr.gpoaccess.gov. This Part is available on
the Department's Highway and Traffic Safety Information website at
http://www.dot.il.gov/safety.html.
(Source: Amended at 41 Ill. Reg. 15326, effective December 5, 2017)
Section 455.50 Program Requirements
a) Regional Centers
The DepartmentDivision will enter into an annual contract with a State college or
a community college, a State university or a community agency of its choice to
act as a Regional Center for purposes of administering the Program. Training
courses will be offered at a Regional Center or at any of the training sites within a
Region. Regional Centers shall administer and operate the Program in
compliance with this Part.
1) Regional Boundaries
Regional boundaries are established by the DepartmentDivision through
the assignment of counties to a specific Region. Factors used to determine
which Region a county is assigned to include the county's proximity to a
Regional Center as well as population factors within the State. (See
Appendix A for county assignments.) The designated Regions and county
assignments are also available on the Program's websiteinternet link at
www.startseeingmotorcycles.orghttp://www.dot.il.gov/gif/cyclemap2.htm.
Larger counties may be divided between two Regional Centers to
accommodate all students in that county.
2) Program Directors
Each State college or community college, State university or community
agency shall appoint a Program Director who shall be responsible for the
overall management of the Program. The Program Director shall be
experienced in program management, including fiscal management,
personnel management, and preparation of contract proposals and shall
have a technical understanding of the Program.
ILLINOIS REGISTER 15334
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
3) Program Coordinators and Assistant Coordinators
A) Each Regional Center shall employ a Program Coordinator to
manage the day-to-day operations of the Program. Each Regional
Center may appoint an Assistant Coordinator to assist the Program
Coordinator. The Program Coordinator, and Assistant Coordinator
if applicable, shall:
i) The Program Coordinator (and the Assistant Coordinator, if
the Regional Center employs an Assistant Coordinator)
must successfully complete a beginner course instructor
program under this Section;.
ii) The Program Coordinator (and Assistant Coordinator) shall
be a Chief Instructor or shall become a Chief Instructor
within 18 months after becoming a Program Coordinator
(or Assistant Coordinator);.
iii) The Program Coordinator (and Assistant Coordinator) shall
be knowledgeable of cycle safety as well as administrative
and personnel management issues;.
iv) The Program Coordinator (and Assistant Coordinator) must
have the ability to effectively teach the concepts and
lessons of the Program; and.
v) The Program Coordinator (and Assistant Coordinator) must
teach either one beginner course and one instructor
preparation course or four beginner courses annually. The
Program Coordinator or Assistant Coordinator will not be
compensated for teaching these annual minimum
requirement courses.
B) Responsibilities of the Program Coordinator and Assistant
Coordinator include, but are not limited to:
i) Preparation of contract proposals;
ILLINOIS REGISTER 15335
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
ii) Management of program costs;
iii) Training activities, as well as monitoring training activities
performed by other instructors;
iv) Supervision and evaluation of instructors;
v) Selection and equipping of training sites;
vi) Development and distribution of course schedules;
vii) Procurement and management of cycles and related
training equipment;
viii) Preparation of reports; and
ix) Documentation of costs for reimbursement purposes.
4) Chief Instructor Qualifications
Chief Instructors shall meet the following requirements:
A) Complete a Chief Instructor Course, as required by the course
curricula (see Section 455.40 for course curricula); and
B) Maintain Chief Instructor recertification requirements, as required
by the course curricula.
5) Beginner Course Instructor Qualifications
Instructors of the beginner course shall meet the following requirements:
A) Possess a Student Completion Card (see Section 455.70(i));
B) Possess a valid Class M driver's license (i.e., motorcycle (150 or
more cubic centimeters displacement)) or the equivalent license of
another state;
ILLINOIS REGISTER 15336
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
C) Possess a valid Red Cross Basic First Aid Card or
DepartmentDivision-approved equivalent (e.g., military first aid
training, emergency medical technician);
D) Be knowledgeable of and able to perform basic cycle maintenance;
E) Be able to operate a 5 pound (minimum) dry-chemical (Type A, B
or C) fire extinguisher;
F) Successfully complete an instructor training course that meets the
standards of the DepartmentDivision-approved curriculum and
demonstrate riding ability to the satisfaction of the Chief Instructor
(see Section 455.40 for DepartmentDivision-approved curriculum);
G) Successfully practice teach designated portions of a beginner
course under the supervision and in the presence of a Chief
Instructor;
H) Maintain instructor certification in accordance with the curriculum;
I) Attend an annual Instructor Update Seminar conducted by a
Regional Center; and
J) Possess a safe riding and driving record (an out-of-state instructor
shall furnish a copy of his or her driving record) that, for purposes
of this Program, means having no more than two convictions for
violations of traffic regulations governing the movement of
vehicles committed within a 12-month period, and no possibility
that the instructor's license could be suspended. An instructor or
instructor candidate convicted of any traffic violation that could
result in the suspension or revocation of his or her driving
privileges, including, but not limited to, DUI (Driving Under the
Influence) or DWI (Driving While Intoxicated), shall be
disqualified for a period of three years from the date of the
suspension.
6) Advanced Course Instructor Qualifications
Instructors of the advanced course shall meet the following requirements:
ILLINOIS REGISTER 15337
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
A) Maintain beginner course instructor certification in accordance
with the curriculum;
B) Complete a one-day advanced instructor course taught by a
qualified Chief Instructor; and
C) Complete an annual Instructor Update Seminar conducted by a
Regional Center.
7) Range Aide Qualifications
Persons employed as Range Aides shall meet the following requirements:
A) Possess a Beginner Course Student Completion Card (see Section
455.70(i));
B) Possess a valid Class M Illinois driver's license or Class L driver's
license (i.e., motor driven cycle (under 150 cubic centimeters
displacement)) or the equivalent license of another state; and
C) Be knowledgeable of and able to perform basic cycle maintenance
and repair.
b) Training Sites
Courses may be conducted at various training sites established as needed
throughout a Region. The Program Coordinator shall consider the following
factors when selecting a training site: cycle crash data by county, cycle
registrations by county, the number of requests for courses, and the availability of
an acceptable site.
1) All training sites shall be approved by the DepartmentDivision prior to
use. The DepartmentDivision will approve a training site when the
following requirements of this subsectionsubsections (b)(1)(A) through
(b)(1)(C) are met.
A) Range Areas
ILLINOIS REGISTER 15338
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
i) A range area shall be a paved surface free from street
traffic and surface obstructions. All range areas must be
approved by the DepartmentDivision. Adequate room must
be provided on the range to conduct maneuvers. A range
drawing indicating the location, area dimensions and
exercise layouts specified shall be submitted to the
DepartmentDivision two weeks prior to use and shall
indicate any potential hazards on or adjacent to the range.
Potential hazards may include, but are not limited to, light
poles, fences, raised medians, or parking blocks. If the
range or adjacent area changes, an updated drawing shall be
submitted to the DepartmentDivision at the following
address within one week after the Program Coordinator's
knowledge of the change.
Manager, Motorcycle SafetyRegulations and
Training Unit
Illinois Department of Transportation
Bureau of Safety Programs and
EngineeringDivision of Traffic Safety
2300 South Dirksen Parkway, Room 007P.O. Box
19212
1340 North 9th Street
Springfield IL 6276462794-9212
ii) The paved range area must meet standards established by
the DepartmentDivision in subsection (b)(1)(A)(i). The
DepartmentDivision may approve exceptions to the
standards based on an on-site evaluation of the range.
Exceptions may include reduced range size and changes to
layouts and exercise areas due to potential hazards such as
those listed in subsection (b)(1)(A)(i).
B) Classroom Facilities
The classroom shall be a room that is usually within walking
distance of the range area. The classroom shall be equipped with
desks that provide a writing space for each student. A desk or
ILLINOIS REGISTER 15339
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
podium and chair shall be provided for the instructor, along with a
table to accommodate any audio-visual equipment.
C) Storage Facilities
A locked storage facility shall be provided with space adequate for
the storage of cycles and related training equipment kept at the site
overnight (e.g., helmets, course cones).
2) Training Equipment
For a beginner course, the Regional Centers shall furnish the cycles and
helmets used during the course. Cycle size and type shall be determined
by the DepartmentDivision. For an advanced course, the student will be
required to furnish a helmet and a cycle.
A) Helmet Standards
All helmets shall meet or exceed FMVSS 218.
B) Cycle Acquisition
Cycles may be acquired through dealer loan agreements or the
DepartmentDivision may purchase cycles for each Regional
Center. Cycles are usually purchased from funds deposited into
the Cycle Rider Safety Training Fund as authorized in Section 6 of
the Act. Cycles are sometimes donated by cycle manufacturers,
dealers, clubs, organizations, and/or individuals. The
DepartmentDivision may also authorize a Regional Center to
purchase cycles used in its Region.
c) Insurance
1) The Regional Center shall obtain liability insurance for each cycle used by
a beginner course student in the Program.
2) Minimum insurance limitations and coverages shall be:
A) Bodily injury and property damage liability;
B) A combined single limit of $1,000,000 for each occurrence and
$2,000,000 aggregate;
ILLINOIS REGISTER 15340
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
C) $500 deductible per crash (paid by the Regional Center);
D) Comprehensive and collision coverage for motorcycles shall be
based on their actual cash value as determined annually by the
Regional Center using the most current edition of the Kelley Blue
Book or National Automobile Dealers Association (NADA) blue
book values; and
E) Excess medical coverage in the amount of $10,000 per person.
3) Proof of insurance shall be submitted to the DepartmentDivision by the
Regional Center prior to the start of any beginner or advanced course. The
insurance policy shall contain a 30-day written notice (to the Regional
Center) of cancellation clause. Insured entities shall include:
A) the Regional Center;
B) the Department, and itsthe Division, their guests, officers, and
employees;
C) the owners of selected training sites; and
D) the participating cycle dealers (if applicable).
4) All advanced course students must provide their own cycle or have the
owner's written permission to use a borrowed cycle. All cycles used by
advanced course students must be properly registered and insured for
liability damage.
5) Regional Centers carry excess medical insurance coverage for students
enrolled in the Program. If a student is injured while participating in the
Program, he/she must first submit the medical bills to his/her own
insurance carrier. The Regional Center's coverage is considered a
secondary policy. If the student does not have medical insurance, the
Regional Center's medical coverage will be the primary insurer for the
claim, up to the limit of its coverage.
ILLINOIS REGISTER 15341
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
d) Public Relations
A Regional Center may implement a multi-media public relations program.
Regional Centers are encouraged to secure free promotional opportunities through
any news media.
e) Logo
The DepartmentDivision will approve an official Program logo. The official logo
must be used on all Program materials (e.g., course schedules, informational
brochures, web sites) used by Regional Centers. Each Regional Center may adopt
a unique logo specific to its Region. The Regional logo may be used in addition
to the Program logo. All Regional logos and Program materials shall be approved
by the DepartmentDivision prior to use.
f) Record Retention
All records and reports completed by a Regional Center while under contract with
the DepartmentDivision are the property of the DepartmentDivision.
1) State Records ActFiscal Records
All records are subject to the State Records Act and shall be maintained in
accordance with the Department's records retention schedule as approved
by the State Records Commission.Fiscal records shall be retained by the
Regional Center for a period of three years after the final reimbursement
claim of the contract year has been paid by the Division. All fiscal records
that are subject to an audit finding shall be maintained until the finding is
resolved.
2) Record Accessibility
The State of Illinois or its representatives shall have access to all Program-
related records, documents or reports generated at the Regional Center.
g) Audits
All contract costs are subject to audit by the State of Illinois or its representative.
Audits will be conducted after receipt of the final reimbursement claim for a
contract year. The audit procedure may include an on-site inspection of all
applicable Program records. The DepartmentDivision reserves the right to
conduct audits on a random basis to verify compliance with this Part. Regional
Centers will be required to reimburse the DepartmentDivision for any
unauthorized or improperly documented expenditures.
ILLINOIS REGISTER 15342
17
DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
(Source: Amended at 41 Ill. Reg. 15326, effective December 5, 2017)
Section 455.70 Cycle Rider Safety Training Courses
a) Course Cost
No fee shall be charged for the Cycle Rider Safety Training courses, except for a
nominal registration fee that shall be refunded upon completion of the course.
Students may donate the registration fee to the Regional Center.
b) Student Eligibility
To participate in the Cycle Rider Safety Training Program, a student must:
1) be a resident of the State of Illinois;
2) be at least 16 years of age;
3) hold a valid driver's license or permit; and
4) show current proof of liability insurance (advanced course students and
students that are holders of a Temporary Visitor's Driver's License only).
c) Every student must sign a "Waiver or Release of Liability" form stating that
he/she will not hold the Department liable for any injury or harm that may have
occurred during his/her participation in the Program. This form is retained by the
Regional Center for a minimum of seven years following the student's completion
of the course. Any student under 18 years of age must have the written consent of
a parent or guardian to participate in the Program. The parent or guardian's
signature must be included on the "Waiver or Release of Liability" form.
d) Course Curricula
The curricula for beginner and advanced courses areis selected by the
DepartmentDivision. Either the DepartmentDivision or the Program Coordinator
may make modifications to the curricula to improve the safety, effectiveness or
efficiency of the Program. An example of a modification is changing the
direction of the cycles' flow due to geographical logistics of the range. Any
proposed modification made by a Program Coordinator must be pre-approved by
the DepartmentDivision. The proposed modification must be submitted in writing
ILLINOIS REGISTER 15343
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
to the DepartmentDivision at the address provided in Section 455.50(b)(1)(A)(i)
at least two weeks prior to implementation.
e) Instructor's Manual
Each Regional Center shall compile and print an Instructor's Manual for
distribution to each instructor teaching courses within the Region. The Manual
shall detail information instructors will need to train students in the Program. The
Manual may be revised as needed. All revisions shall be made in accordance with
this Part and shall be submitted to the DepartmentDivision for approval at the
address provided in Section 455.50(b)(1)(A)(i) at least two weeks prior to use.
The Manual shall include:
1) An introduction
A brief history of the Cycle Rider Safety Training Program shall be
included. (History information is available by contacting the
DepartmentDivision at the address provided in Section
455.50(b)(1)(A)(i).)
2) Procedures
The following Sections of this Part:
Section 455.50(a)(5) Beginner Course Instructor Qualifications
Section 455.50(a)(6) Advanced Course Instructor Qualifications
Section 455.50(a)(7) Range Aide Qualifications
Section 455.70(f) Class Size and Instructor/Range Aide Ratios
Section 455.70(g) Safety Regulations.
3) Regional Boundaries
An identification of the counties to be served by the Regional Center. The
address, telephone number, and website address of each Regional Center
shall be listed in the Manual.
4) Public Relations
An explanation of the importance of a strong public relations program,
together with examples of established and suggested public relations
materials and procedures.
5) Cycle Use
ILLINOIS REGISTER 15344
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
An explanation of the proper use of Program cycles (e.g., not allowing the
cycle to be operated for personal use).
6) Conduct
Guidelines for the proper conduct of instructors, range aides and students.
The instructor shall have the authority to evict any student from the
instruction period or from the course if the student disrupts the course or if
the student displays conduct that may endanger himself/herself or any
other person.
7) Duties
An explanation of the duties of chief instructors, instructors, and range
aides. Instructions shall also be included that require the instructor to
attach completed Student Registration Forms to Program Attendance
Records and submit them to the Regional Center as soon as practicable
after the completion of a course. Both documents are to be maintained at
the Regional Center for at least five years.
8) Student Status
A definition of student eligibility as provided in subsection (b) and the
criteria for passing the course as provided in subsection (e)(12).
9) Course Documents
Examples of forms provided in the manual shall include:
Waiver or Release of Liability
Student Registration
Attendance Record
Crash/Incident Report (Instructor and Student)
Claim Form for Reimbursable Costs.
10) Student Identification Number (SIN)
An explanation of the criteria used to develop the SIN shall be provided.
A) Each student who attends any portion of a course must complete
and sign a Student Registration form and is assigned a SIN. The
SIN is a nine digit number that identifies all students enrolled in
the Program.
ILLINOIS REGISTER 15345
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
B) An explanation of the nine-digit SIN used on the Student
Registration form is as follows:
Field 1: Year (two digits)
Field 2: Regional Center and Training Site (three digits)
Field 3: Course number (two digits)
Field 4: Student number (two digits).
C) The Regional Center and training site numbers assigned to the
Region and training site shall be included in each Instructor's
Manual.
11) Compensation
A statement of the pay rates used to compensate instructors and range
aides.
12) Passing Criteria
An explanation of the criteria used to determine if a student passes a
beginner or advanced course shall be included in the manual.
A) Pass means the student attended all sessions and attained a passing
score on the riding and written evaluations (beginner course only).
(Also see subsections (h)(1) and (h)(2) for pass/fail criteria.)
B) Students who successfully pass the course shall be issued a Student
Completion Card either at the completion of the course or by U.S.
mail following the completion of the course.
C) The instructor shall have the authority to fail any student from a
course if the student displayed unsafe conduct that may have
endangered him/herself or any other person.
13) DepartmentDivision Questionnaire
The instructor shall inform each student that he/she may receive a
questionnaire from the DepartmentDivision concerning the course. The
student will be provided a self-addressed stamped envelope and will be
ILLINOIS REGISTER 15346
17
DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
requested to return the questionnaire within 14 business days after
completion of the course.
14) Instructional Plan
A plan that outlines the lessons normally taught during each course
session. The plan also details instructor course requirements (e.g., how
early instructors should arrive before each session).
f) Class Size and Instructor/Range Aide Ratios
1) Beginner Courses
A) A minimum of six registered students and a maximum of 12
registered students at the first course session is required to conduct
a beginner course.
B) Regional Centers may be required to limit the number of students
in a beginner course if the Regional Center cannot provide a cycle
for each student registered to take the course.
C) Student/instructor ratio for beginner course range training shall not
be greater than six to one. Every range session shall have a
minimum of two qualified persons (either an instructor and range
aide or two instructors) present at all times.
2) Advanced Courses
A) A minimum of six registered students and a maximum of 12
registered students at the first course session is required to conduct
an advanced course.
B) Student/instructor ratios shall not be greater than six to one. Every
range session shall have at least two advanced course instructors.
g) Safety Regulations
1) Protective equipment shall be worn by the instructors, range aides, and
students at all times when students are sitting on a cycle. Instructors and
ILLINOIS REGISTER 15347
17
DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
range aides are not required to wear protective equipment when starting
Program cycles. Protective equipment includes:
A) A helmet that meets or exceeds the requirements of Section
455.50(b)(2)(A);
B) Full-fingered gloves;
C) Long-sleeved clothing (i.e., jacket or shirt);
D) Long pants;
E) Sturdy over-the-ankle footwear (not cloth or canvas); and
F) Eye protection (i.e., glasses, goggles, or helmet visor).
2) The following emergency equipment must be present and readily available
at all training sites:
A) A fully-charged 5-pound (minimum) dry-chemical (Type A, B, or
C) fire extinguisher;
B) A fully-stocked, industrial-quality first aid kit; and
C) Specific procedures to follow in the event of a crash (including
911, at the discretion of the instructors, and additional telephone
numbers, such as students' designated emergency contact
numbers).
3) A telephone must be available within easy access of all training sites.
4) If training cycles are stored away from the range, they shall not be ridden
to or from the range.
5) Training will not be conducted during a thunderstorm, snowstorm, or
windstorm. Training will also not be conducted when ice is present on the
range or if the instructor or instructors determine that the students' safety
is at risk.
ILLINOIS REGISTER 15348
17
DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
6) Crash and Incident Reporting
A) When any crash occurs during a training session, the instructor
shall complete a Motorcycle Crash/Incident Report (MCIR) form.
The student involved in the crash shall also complete a Student
MCIR form explaining his/her version of the crash. The instructor
shall submit both MCIRs to the Regional Center within two
working days after the crash. The Regional Center shall submit
both MCIRs to the DepartmentDivision within two working days
after receiving the forms.
B) If any crash occurs during a training session that requires
emergency medical attention, the instructor shall notify the
Regional Center by telephone within 24 hours after the crash. The
Regional Center shall inform the DepartmentDivision by telephone
within 24 hours after being notified by the instructor. The
instructor shall complete and submit the Instructor MCIR to the
Regional Center within two working days after the crash. The
student involved shall also complete a Student MCIR and submit it
to the Regional Center as soon as possible. The Regional Center
shall submit both MCIR forms to the DepartmentDivision within
two working days after receiving the forms.
C) If any damage occurs to a cycle, the instructor shall complete an
MCIR and submit it to the Regional Center as soon as practicable.
The Regional Center shall submit the form to the
DepartmentDivision within 20 working days after receiving it.
h) Student Status at Course Completion
Each registered student will be classified as a Pass, Fail, or Drop at course
completion based on the following:
1) Pass – Student attended all sessions and attained a passing score on the
riding and written evaluations.
ILLINOIS REGISTER 15349
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
2) Fail – Student completed the class, but failed one or both of the
evaluations, or displayed unsafe conduct that endangered himself/herself
or any other person.
3) Drop – Student left the course before either evaluation for any reason.
i) Student Completion Card
1) Those students who pass a course shall be issued an official Student
Completion Card by Regional Center staff and mailed from the Regional
Center office, a reflectorized helmet decal, when available, and an
experienced rider course pin (for experienced course graduates only, when
available).
2) Replacement cards shall be issued by the Regional Center, upon request,
for a period not to exceed one year from the course completion date.
Letters or certificates confirming course completion shall be issued, upon
request, when the course completion date exceeds one year but not more
than three years.
(Source: Amended at 41 Ill. Reg. 15326, effective December 5, 2017)
Section 455.80 Reimbursement Process
a) The DepartmentDivision shall reimburse the Regional Center for actual costs
incurred that are necessary to administer the Program as specified in the Program
contract. All actual costs must be considered eligible expenses as predetermined
by the contract.
b) Actual costs to be claimed shall be documented on the Regional Center's Claim
Form for Reimbursable Costs. The Claim Form must identify the:
1) Vendor;
2) Amount Paid;
3) Transaction Date; and
ILLINOIS REGISTER 15350
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DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
4) Budget Line Item for Each Cost.
c) Copies of receiptsReceipts (original or copies) that document Program costs listed
in subsection (b) shall either be attached to the Claim Form and submitted to the
DepartmentDivision at the address provided in Section 455.50(b)(1)(A)(i). or
maintained at the Regional Center for at least three years after the final
reimbursement claim for a contract year has been paid. Original receiptsReceipts
maintained at the Regional Center must be available for inspection by the
DepartmentDivision during normal business hours.
d) If a Regional Center has not complied with all provisions of this Section, the
Department may require a Regional Center to submit all future receipts with its
Claim Form.
e) Actual costs for monthly expenditures shall be claimed within 60 calendar days
after the month the course was completed. A final claim that documents any costs
that were unresolved or pending in 2011 must be submitted to the Division within
135 days after the "riding season" (i.e., expiration of the annual contract). A final
claim that documents any costs that were unresolved or pending in the calendar
year the course was completed2012 or later must be submitted to the
DepartmentDivision within 90 days after the expiration of the annual
contractriding season.
(Source: Amended at 41 Ill. Reg. 15326, effective December 5, 2017)
ILLINOIS REGISTER 15351
17
DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
Section 455.APPENDIX A Regional Centers and Counties
Region A Harper College
Motorcycle Safety Program
650 East Higgins Road, Suite 17-S
Schaumburg IL 60173-4741
847/925-6803
www.harpercollege.edu/motorcycle
Northern Illinois University
Motorcycle Safety Project
Division of Continuing Education
DeKalb, Illinois 60115-2854
(800)892-9607
(815)753-1683
www.outreach.niu.edu/mcycle/
Boone, Carroll, Cook,
DeKalb, DuPage,
JoDaviess, Kane, Lake,
Lee, McHenry, Ogle,
Stephenson, Whiteside,
Winnebago
Region B University of Illinois
Motorcycle Rider Program
#4 Gerty Drive
Champaign IL 61820
800/252-3348
217/333-7856
www.mrp.illinois.edu
Illinois State University
Health Science Department
5221 Motor Cycle Safety Program
Normal, Illinois 61790-5221
(800)322-7619
(309)438-2352
www.motorcyclesafety.ilstu.edu
Bureau, Cass, Champaign,
DeWitt, Ford, Fulton,
Grundy, Hancock,
Henderson, Henry,
Iroquois, Kankakee,
Kendall, Knox, LaSalle,
Livingston, Logan, Macon,
Marshall, Mason,
McDonough, McLean,
Menard, Mercer, Peoria,
Piatt, Putnam, Rock Island,
Sangamon, Schuyler,
Stark, Tazewell,
Vermilion, Warren, Will,
Woodford
Region C University of Illinois
Motorcycle Rider Program
Department of Community Health
Champaign, Cook, Ford,
Iroquois, Kankakee,
Vermilion, Will
ILLINOIS REGISTER 15352
17
DEPARTMENT OF TRANSPORTATION
NOTICE OF ADOPTED AMENDMENTS
#4 Gerty Drive
Champaign, Illinois 61820
(800)252-3348
(217)333-7856
http://mrp.illinois.edu
Region CD Southern Illinois University
Carbondale
Motorcycle Rider Program
1435 Douglas Drive
Center for Injury Control and
Work Site Health Promotion
Carbondale IL, Illinois 62901-6731
(800)642-9589
(618)453-2877
www.mrp.siu.edu
http://mrp.siuc.edu
Adams, Alexander,
Bond, Brown,
Calhoun, Christian,
Clark, Clay, Clinton,
Coles, Crawford,
Cumberland,
Douglas, Edgar,
Edwards, Effingham,
Fayette, Franklin,
Gallatin, Greene,
Hamilton, Hardin,
Jackson, Jasper,
Jefferson, Jersey,
Johnson, Lawrence,
Macoupin, Madison,
Marion, Massac,
Monroe,
Montgomery,
Morgan, Moultrie,
Perry, Pike, Pope,
Pulaski, Randolph,
Richland, St. Clair,
Saline, Scott, Shelby,
Union, Wabash,
Washington, Wayne,
White, Williamson
(Source: Amended at 41 Ill. Reg. 15326, effective December 5, 2017)
ILLINOIS REGISTER 15353
17
STATE UNIVERSITIES RETIREMENT SYSTEM
NOTICE OF ADOPTED AMENDMENTS
1) Heading of the Part: Universities Retirement
2) Code Citation: 80 Ill. Adm. Code 1600
3) Section Numbers: Adopted Actions:
1600.500 Amendment
1600.720 Amendment
4) Statutory Authority: 40 ILCS 5/15-177
5) Effective Date of Rules: December 5, 2017
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 maeterial incorporated by reference, are on file at the
SURS office and is available for public inspection.
9) Notice of Proposal published in the Illinois Register: 41 Ill. Reg. 10237; July 28, 2017
10) Has JCAR issued a Statement of Objection to this rulemaking? No
11) Differences between Proposal and Final Version: The final version incorporates changes
suggested in public comments received during the First Notice period concerning (1) the
option for eligible voters to receive paper balloting materials from the election vendor
even if they have valid email addresses; and (2) the sending of paper ballots to eligible
voters in the event that the election vendor receives notice that email delivery is
unsuccessful. The final version also incorporates minor stylistic changes proposed by
JCAR staff.
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
ILLINOIS REGISTER 15354
17
STATE UNIVERSITIES RETIREMENT SYSTEM
NOTICE OF ADOPTED AMENDMENTS
15) Summary and Purpose of Rulemaking: The proposed rulemaking seeks to amend
Sections 1600.500 and 1600.720. This rulemaking adds a clarification to Section
1600.500 concerning staff argumentation and evidence submissions before the Claims
Panel where the claimant has waived his or her appearance at the hearing, and amends
Section 1600.720 to provide for the electronic delivery of election materials and
electronic balloting in trustee elections.
16) Information and questions regarding these adopted rules shall be directed to:
Albert Lee, Associate General Counsel
State Universities Retirement System
1901 Fox Drive
Champaign IL 61820
217/378-8861 or 217/378-8813
The full text of the Adopted Amendments begins on the next page:
ILLINOIS REGISTER 15355
17
STATE UNIVERSITIES RETIREMENT SYSTEM
NOTICE OF ADOPTED AMENDMENTS
TITLE 80: PUBLIC OFFICIALS AND EMPLOYEES
SUBTITLE D: RETIREMENT SYSTEMS
CHAPTER II: STATE UNIVERSITIES RETIREMENT SYSTEM
PART 1600
UNIVERSITIES RETIREMENT
SUBPART A: GENERAL
Section
1600.100 Definitions
1600.110 Freedom of Information Act
1600.120 Open Meetings Act
1600.130 Procurement
1600.140 Compliance with the Internal Revenue Code
1600.145 Compliance with Final 415 Treasury Regulations
1600.150 Group Trust Provisions
SUBPART B: CONTRIBUTIONS AND SERVICE CREDIT
Section
1600.202 Return to Employment
1600.203 Independent Contractors
1600.205 Earnings Subject to Withholding and Crediting
1600.210 Crediting Interest on Participant Contributions and Other Reserves
1600.220 Election to Make Contributions Covering Leave of Absence at Less Than 50%
Pay
1600.230 Election to Pay Contributions Based upon Employment that Preceded
Certification as a Participant
1600.240 Election to Make Contributions Covering Periods of Military Leave Protected
under USERRA
1600.241 Survivor Benefits for Members Who Die While on Military Leave Protected
under USERRA
1600.250 Sick Leave Accrual Schedule
1600.260 Part-time/Concurrent Service Adjustment
1600.270 Employer Contributions for Benefit Increases Resulting from Earnings Increases
Exceeding 6%
1600.275 Employer Contributions for Employing Affected Annuitants
ILLINOIS REGISTER 15356
17
STATE UNIVERSITIES RETIREMENT SYSTEM
NOTICE OF ADOPTED AMENDMENTS
SUBPART C: SURVIVORS AND BENEFICIARIES
Section
1600.300 Effective Beneficiary Designations
1600.305 Full-Time Student Survivors Insurance Beneficiaries
1600.310 Dependency of Beneficiaries
1600.320 Disability Claims Procedure (Renumbered)
SUBPART D: BENEFIT CALCULATION AND PAYMENT
Section
1600.400 Determination of Final Rate of Earnings Period
1600.410 Twenty Percent Limitation on Final Rate of Earnings Increases
1600.420 Making Preliminary Estimated Payments
1600.430 Excess Benefit Arrangement
1600.431 Indirect Payments to Minors and Legally Disabled Persons
1600.432 Indirect Payments to Child Survivors Through the Surviving Spouse
1600.440 Voluntary Deductions from Annuity Payments
1600.450 Overpayment Recovery
SUBPART E: DISABILITY CLAIMS AND ADMINISTRATIVE REVIEW
Section
1600.500 Administrative Staff Determinations and Rules for Appeal − Nature and
Requirements of Formal Hearings
1600.510 Employer-Related Determinations and Rules for Appeal
1600.550 Disability Claims Procedure
SUBPART F: QUALIFIED ILLINOIS DOMESTIC RELATIONS ORDERS
Section
1600.600 Definitions
1600.605 Requirements for a Valid Qualified Illinois Domestic Relations Order
1600.610 Invalid Orders
1600.615 Filing a QILDRO with the System
1600.620 Modified QILDROs
1600.625 Benefits Affected by a QILDRO
ILLINOIS REGISTER 15357
17
STATE UNIVERSITIES RETIREMENT SYSTEM
NOTICE OF ADOPTED AMENDMENTS
1600.630 Effect of a Valid QILDRO
1600.635 QILDROs Against Persons Who Became Members Prior to July 1, 1999
1600.640 Alternate Payee's Address
1600.645 Electing Form of Payment
1600.650 Automatic Annual Increases
1600.655 Expiration of a QILDRO
1600.660 Reciprocal Systems QILDRO Policy Statement
1600.665 Providing Benefit Information for Divorce Purposes
SUBPART G: BOARD TRUSTEE ELECTION
Section
1600.700 Nomination of Candidates
1600.705 Election Date/Election Day – Defined
1600.710 Petitions
1600.715 Eligible Voters
1600.720 Election Materials
1600.725 Casting Votes
1600.730 Return of Ballots and Ballot Counting Process
1600.735 Certification of Ballot Counting
1600.740 Challenges to Election Results
1600.745 Candidate Informational Communication
1600.750 Filling a Vacancy in the Term of an Elected Trustee
AUTHORITY: Implementing and authorized by Section 15-177 of the Illinois Pension Code [40
ILCS 5/15-177].
SOURCE: Amended September 2, 1977; amended at 2 Ill. Reg. 31, p.53, effective July 30,
1978; amended at 7 Ill. Reg. 8139, effective June 29, 1983; codified at 8 Ill. Reg. 19683;
amended at 11 Ill. Reg. 15656, effective September 9, 1987; amended at 13 Ill. Reg. 18939,
effective November 21, 1989; amended at 14 Ill. Reg. 6789, effective April 20, 1990; emergency
amendment at 21 Ill. Reg. 4864, effective March 26, 1997, for a maximum of 150 days; amended
at 21 Ill. Reg. 6095, effective May 2, 1997; amended at 21 Ill. Reg. 11962, effective August 13,
1997; amended at 21 Ill. Reg. 12653, effective August 28, 1997; amended at 22 Ill. Reg. 4116,
effective February 9, 1998; amended at 23 Ill. Reg. 13667, effective November 1, 1999;
amended at 25 Ill. Reg. 10206, effective July 30, 2001; amended at 28 Ill. Reg. 2292, effective
January 23, 2004; expedited correction at 28 Ill. Reg. 7575, effective January 23, 2004; amended
at 29 Ill. Reg. 2729, effective March 1, 2005; amended at 29 Ill. Reg. 11819, effective July 12,
ILLINOIS REGISTER 15358
17
STATE UNIVERSITIES RETIREMENT SYSTEM
NOTICE OF ADOPTED AMENDMENTS
2005; amended at 29 Ill. Reg. 14060, effective September 1, 2005; amended at 29 Ill. Reg.
14351, effective September 6, 2005; amended at 30 Ill. Reg. 6170, effective March 21, 2006;
amended at 30 Ill. Reg. 7778, effective April 5, 2006; amended at 30 Ill. Reg. 9911, effective
May 9, 2006; amended at 30 Ill. Reg. 17509, effective October 19, 2006; amended at 31 Ill. Reg.
4267, effective February 22, 2007; amended at 31 Ill. Reg. 4927, effective March 12, 2007;
recodified at 31 Ill. Reg. 10194; amended at 32 Ill. Reg. 16515, effective September 25, 2008;
emergency amendment at 33 Ill. Reg. 6525, effective April 27, 2009, for a maximum of 150
days; emergency expired September 23, 2009; amended at 33 Ill. Reg. 10757, effective July 1,
2009; amended at 33 Ill. Reg. 16755, effective November 23, 2009; amended at 34 Ill. Reg.
9523, effective June 25, 2010; amended at 35 Ill. Reg. 10952, effective June 22, 2011; amended
at 36 Ill. Reg. 3938, effective February 22, 2012; amended at 37 Ill. Reg. 1309, effective January
15, 2013; amended at 37 Ill. Reg. 3866, effective March 15, 2013; amended at 37 Ill. Reg.
10698, effective June 26, 2013; amended at 37 Ill. Reg. 15517, effective September 12, 2013;
amended at 38 Ill. Reg. 5659, effective February 11, 2014; emergency amendment at 38 Ill. Reg.
11376, effective May 9, 2014, for a maximum of 150 days; amended at 38 Ill. Reg. 16375,
effective July 17, 2014; amended at 38 Ill. Reg. 17457, effective July 30, 2014; amended at 39
Ill. Reg. 8317, effective June 1, 2015; amended at 40 Ill. Reg. 8437, effective June 3, 2016;
amended at 41 Ill. Reg. 11606, effective September 1, 2017; amended at 41 Ill. Reg. 15353,
effective December 5, 2017.
SUBPART E: ADMINISTRATIVE REVIEW
Section 1600.500 Administrative Staff Determinations and Rules for Appeal − Nature and
Requirements of Formal Hearings
a) Administrative Determination
The Board of Trustees hereby delegates to the SURS administrative staff the
responsibility for the daily claims-processing function of SURS, including making
initial determinations as to all applications for annuities and benefits, service
credit, or any other claims against or relating to SURS, consistent with the
provisions of the Illinois Pension Code.
b) Review by Director of Member Services
Any participant, annuitant or beneficiary adversely affected by the disposition of a
claim by the administrative staff may file a written request for review by the
SURS Director of Member Services or such other person as may be designated by
the Executive Director. The designee shall have all the powers and duties of the
Director of Member Services, as set forth in this subsection (b). A request for
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review by the Director of Member Services must be received within 35 days from
the date of the decision from which review is sought. The Director of Member
Services' review will be based upon all materials contained in the file, as well as
any additional materials the claimant attaches to the written request for review
filed with the Director of Member Services pertaining to the claim. All filings or
submissions, whether optional or required under this Section, shall be considered
timely if date stamped by SURS within the time prescribed. The Director of
Member Services' decision shall be served on the participant, annuitant or
beneficiary by delivery to a third-party commercial carrier or by registered or
certified mail, return receipt requested.
c) Review by the Claims Panel
1) A Claims Panel shall hear all administrative contested matters. The Panel
shall meet periodically as determined by the Executive Director.
2) Request for Review. Any participant, annuitant or beneficiary (hereinafter
"claimant") adversely affected by the disposition of a claim by the
Director of Member Services may request, in writing, a review by the
Claims Panel and, at the same time, a copy of all relevant documents
from the claimant's file. A request for review must be received by the
General Counsel of SURS, or his or her designee, within 35 days from the
date of the decision from which review is sought.
3) Notice of Hearing. Upon receipt of a claimant's Request for Review, the
Director of Member Services, or his or her designee, shall assign the claim
a docket number; schedule the claim for the first available meeting of the
Claims Panel; and notify the claimant, by a Notice of Hearing, that he or
she is required to file a single Statement of Claim. The Notice of Hearing
may be accompanied by any relevant documentation from the claimant's
file.
4) Statement of Claim. The Statement of Claim must be received by the
SURS General Counsel, or his or her designee, no later than 35 days from
the date of the mailing of the Notice of Hearing. The Statement of Claim
shall include: a formal Appearance, containing the claimant's name,
SURS identification number and address; the name and address of the
claimant's authorized representative, if any; a statement of the facts
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NOTICE OF ADOPTED AMENDMENTS
forming the basis for the appeal; any documents or other materials the
claimant wishes to be considered in conjunction with the appeal, in
addition to those already contained in the claimant's file; whether the
claimant desires a hearing or whether the claimant desires to waive a
hearing and allow the Claims Panel to reach a decision based upon the
Statement of Claim and the relevant documents in the claimant's file; a list
of witnesses, if any, the claimant intends to present at a hearing; and an
explanation of the relief sought. The Statement of Claim shall not exceed
15 pages in length, unless an exception is granted by the Claims Panel
Hearing Officer. The Hearing Officer may grant a motion to
Strike/Dismiss all or part of the Statement of Claim.
5) Response to Statement of Claim. SURS staff may submit a Response to
the Statement of Claim, which shall also not exceed 15 pages in length,
unless an exception is granted by the Claims Panel Hearing Officer.
6) Notification. The Notice of Hearing shall also provide a claimant with
written notice of: the date, time and place of the hearing; the subject
matter of the hearing; and relevant procedural and substantive statutory
and regulatory provisions [5 ILCS 100/10-25]. The Notice shall inform
the claimant that he or she will be afforded the opportunity to provide a
statement of his or her position, present oral evidence, and conduct
examination and cross-examination of witnesses as necessary for full and
true disclosure of the facts. Notice shall also be given to the claimant that
he or she is required to provide written confirmation, at least 14 days prior
to the scheduled date of the hearing, of his or her intent to appear at the
hearing, whether in person or by telephone conference call. The claimant
is not required to physically appear at the hearing. The claimant may
appear at the hearing by telephone conference call. The claimant may also
choose to affirmatively waive his or her appearance at the hearing. In the
absence of the claimant, the Claims Panel will consider the claimant's
Statement of Claim and any documentary evidence, testimony evidence,
argument and any other information properly presented to the Claims
Panel by SURS staff during the scheduled hearing.such other matters as
may be properly brought before it at the hearing.
7) Pre-hearing Conference. Upon request of the General Counsel or upon the
decision of the Hearing Officer, a pre-hearing conference shall be held for
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NOTICE OF ADOPTED AMENDMENTS
the purpose of simplification or definition of issues or procedures at the
hearing.
8) Representation. The claimant and SURS may be represented by counsel
or a designated spokesperson at the hearing.
9) Burden of Proof. It shall be the burden of the claimant to establish a right
to the benefit claimed, or the right to the continuation of the benefit
claimed in cases of revocation of the benefit by SURS, by establishing that
right by a preponderance of the evidence.
d) Discovery. All discovery is at the discretion of the Hearing Officer. Requests to
take discovery must be made in writing to the Hearing Officer with notice to the
other party. Discovery may be taken with the prior permission of the Hearing
Officer only upon good cause shown, that is, if the evidence sought is material
and cannot be obtained in any other way. Failure to comply with orders of the
Hearing Officer may be sanctioned by the Hearing Officer, by means including,
but not limited to, dismissal of a claim.
e) Depositions
1) The Hearing Officer may order the taking of evidence depositions of a
person, specifying the subject matter to be covered, under oral
examination or written questions, for use as evidence at the hearing,
provided:
A) The Hearing Officer has determined upon request that there is a
need to preserve a person's testimony. The need to preserve a
person's testimony shall be determined using criteria similar to that
set forth under Illinois Supreme Court Rule 212(b);
B) The request is made on motion by a party who gives notice of the
motion to the other party; and
C) The Hearing Officer has determined that an evidence deposition
containing oral testimony will be necessary to the Claims Panel in
determining the merits of the claim.
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2) The taking of depositions shall be in accordance with the provisions for
taking depositions in civil cases, and the order for the taking of a
deposition may provide that any designated books, papers, documents or
tangible objects that are not privileged shall be produced at the same time
and place.
3) Any party to the hearing shall, during any deposition process, have the
right to confront and cross-examine any witness whose deposition
testimony is to be presented to the Claims Panel.
4) Depositions shall be taken in the county of residence or employment of
the witness, unless the witness waives that right in writing.
5) Depositions shall be taken at the cost of the party requesting the
deposition.
f) Subpoenas
1) The Hearing Officer may request the Secretary of the Board to issue a
subpoena to compel the attendance of a witness at an evidence deposition
or the production of documents when the witness has, or thesuch
documents contain, relevant evidence. A party may also request the
Hearing Officer to request the Secretary of the Board to issue a subpoena
to compel the attendance of a witness at an evidence deposition or the
production of documents. The request shall either be in writing or on the
record and shall:
A) Identify the witness or document sought; and
B) State the facts that will be proven by each witness or document
sought.
2) The Hearing Officer shall grant or deny the request, either in writing or on
the record. If the request for subpoena is granted, the Hearing Officer
shall, if necessary, reschedule the hearing to a specific date. The request
for subpoena shall be denied if the Hearing Officer finds that the evidence
sought is immaterial, irrelevant or cumulative. If the request for subpoena
is denied, the specific reasons for denial of the request shall be made part
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STATE UNIVERSITIES RETIREMENT SYSTEM
NOTICE OF ADOPTED AMENDMENTS
of the record on appeal.
3) If a witness fails to obey a subpoena, the party seeking enforcement of the
subpoena shall prepare an application to the circuit court of the county in
which the subpoenaed witness resides requesting enforcement of the
subpoena, and shall present the application to the Hearing Officer, at the
same time serving a copy of the application upon the other party. If
satisfied that the subpoena was properly served and that the application is
in proper form, the Hearing Officer shall sign a subpoena to be submitted
with the application and the party seeking the subpoena may then file and
prosecute the application in the circuit court, in the name of the Board.
The petitioner in the application shall be styled as "Name of Petitioner ex
rel. Board of Trustees of the State Universities Retirement System of
Illinois" unless the petitioner is SURS, in which case the petition shall be
brought in the name of the Board. In the event of an application being
filed with the circuit court, the matter shall be continued pending the
outcome of the application to enforce the subpoena.
4) The fees of witnesses for attendance and travel shall be the same as fees of
witnesses before the circuit courts of this State and shall be paid by the
party seeking the subpoena.
g) Conduct of the Hearing
1) Hearing Officer. The hearing shall be conducted by the Hearing Officer.
Other members of the Claims Panel may, but are not required to, attend
the hearing. Members may attend hearings either in-person or by video or
teleconference.
A) The Hearing Officer shall have full power to conduct the hearing
and the presence of any other members of the Claims Panel is not
required. The Hearing Officer shall be one of the members of the
Claims Panel chosen by the Panel to be the Hearing Officer.
B) The Claims Panel shall consist of:
i) the Executive Director of SURS;
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NOTICE OF ADOPTED AMENDMENTS
ii) an attorney licensed to practice law in the State of Illinois
approved by the Board; and
iii) one other person, selected by the Chairperson of the Board
of Trustees of SURS, who shall be a member of the Board,
a participant in SURS or an attorney licensed to practice
law in the State of Illinois.
C) Each member of the Panel shall be reimbursed for travel or other
related expenses incurred in connection with his or her duties as a
member of the Panel. If he or she is not a member of the Board or
currently employed by one of the employers covered by SURS, the
member shall receive reasonable compensation, as recommended
by the Executive Director and approved by the Board, for time
spent in reviewing claims and attending Panel hearings. At a
minimum, the members of the Claims Panel shall have a general
familiarity with the provisions of the Illinois Pension Code, this
Part and the internal operating procedures of SURS.
2) Procedures
A) The Hearing Officer shall conduct a full and fair hearing, receive
testimony of the claimant and admit exhibits into evidence, avoid
delay, maintain order and make a sufficient record for a full and
true disclosure of the facts and issues.
B) To accomplish these ends, the Hearing Officer shall make all
procedural and evidentiary rulings necessary for the conduct of the
hearing.
C) All testimony shall be taken under oath before an officer
authorized to administer oaths by the laws of this State or of the
United States or of the place where the testimony is to be given.
D) As a general matter, the rules of evidence as applied in civil cases
in the circuit courts of the State of Illinois shall be followed;
however, evidence inadmissible under those rules may be admitted
(except where precluded by statute) if it is of a type commonly
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STATE UNIVERSITIES RETIREMENT SYSTEM
NOTICE OF ADOPTED AMENDMENTS
relied upon by reasonably prudent persons in the conduct of their
affairs. Any part of the evidence may be received in written form,
provided that the interests of the parties will not be prejudiced.
Notice may be taken of generally recognized technical facts within
SURS' specialized knowledge and SURS' experience, technical
competence and specialized knowledge may be used in evaluation
of the evidence. [5 ILCS 100/10-40]
E) The Hearing Officer, and any member of the Claims Panel
attending the hearing, may ask questions necessary for better
understanding of the facts or law.
F) The Hearing Officer shall have the authority to impose reasonable
time limits for each party to present its case and shall, in general,
have the power to manage and control the hearing process.
G) The hearing shall be open to the public unless the Hearing Officer,
for good cause shown, determines otherwise.
3) Record of Proceedings. Two records of proceedings shall be kept that
shall be in the form of:
A) a non-verbatim "bystander's report"; and
B) either a stenographic transcription or a tape recording. The
claimant may obtain a stenographic transcription or a copy of a
tape recording of the hearing by making a timely request within 21
days after the close of the hearing and paying the actual cost
entailed.
4) Disqualification; Ex Parte Communications
A) Disqualification
i) A Hearing Officer or other member of the Claims Panel
may be disqualified on grounds of bias or conflict of
interest. A motion to disqualify a Hearing Officer or other
member of the Claims Panel for bias or conflict of interest
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shall be made to the Hearing Officer by any party to the
hearing at least 14 days prior to the commencement of the
hearing, with a copy of the motion to be simultaneously
submitted to the General Counsel. The motion shall be
heard, considered and ruled upon by the Hearing Officer at
or prior to the commencement of the hearing. The movant
shall have the burden of proof with respect to the motion to
disqualify. Either an adverse ruling or the fact that a
Hearing Officer or other member of the Claims Panel is an
employee of SURS or has a contract with SURS, standing
alone, shall not constitute bias or conflict of interest. [5
ILCS 100/10-30]
ii) The Executive Director may not be called as a witness
unless it is demonstrated that the Executive Director has
relevant noncumulative personal knowledge of facts
bearing upon the claim. The Executive Director may not
be disqualified as a member of the Claims Panel on the
basis that the Executive Director is responsible for the
overall administration of SURS.
iii) In the event that a Hearing Officer or other member of the
Claims Panel is disqualified or is otherwise unable to serve,
the Board Chairperson may appoint another person to the
Claims Panel and shall appoint another person if the Claims
Panel is reduced to fewer than two members, or the Claims
Panel shall appoint another Hearing Officer from among its
members, as the case may be.
B) Ex Parte Communications Prohibited.
i) Except in the disposition of matters that SURS is authorized
by law to entertain or dispose of on an ex parte basis, the
members of the Claims Panel shall not, after receiving
notice of a hearing in a contested matter, communicate,
directly or indirectly, in connection with any issue of fact,
with any party, or in connection with any other issue with
any party, or the representative of any party, except upon
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STATE UNIVERSITIES RETIREMENT SYSTEM
NOTICE OF ADOPTED AMENDMENTS
notice and opportunity for all parties to participate.
However, an employee of SURS may communicate with
other employees of SURS and an employee of SURS or
member of the Claims Panel may have the aid and advice
of one or more assistants. An ex parte communication
received by any member of the Claims Panel shall be made
a part of the record of the pending matter, including all
written communications, all written responses to the
communications, and a memorandum stating the substance
of all oral communications and all responses made and the
identity of each person from whom the ex parte
communication was received. Communications regarding
matters of procedure and practice, such as the format of
pleadings, number of copies required, manner of service,
and status of proceedings, are not considered ex parte
communications. [5 ILCS 100/10-60]
ii) Any documentary evidence, testimony evidence, argument
and any other information properly presented to the Claims
Panel by SURS staff during a scheduled hearing held in the
absence of a claimant who waived his or her right to
participate in the hearing will not be deemed to be ex parte
communications.
5) Decisions of the Claims Panel and Executive Committee
A) Claims Panel Decisions
i) The record of proceedings shall be completed upon
conclusion of the hearing by the Hearing Officer, unless the
Hearing Officer determines to re-open the proceedings.
Upon conclusion of all evidence and arguments, the Claims
Panel shall privately deliberate and make a Decision as to
the disposition of the claim based on the evidence of
record. The Claims Panel Decision shall be served on all
parties and their agents, if any, by delivery to a third-party
commercial carrier or by registered or certified mail, return
receipt requested. If a Statement of Exceptions to the
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STATE UNIVERSITIES RETIREMENT SYSTEM
NOTICE OF ADOPTED AMENDMENTS
Decision is not filed pursuant to this subsection (g)(5)(A),
the Decision is final for all purposes and not subject to
administrative or judicial review. However, if a Statement
of Exceptions to the Decision is filed or, if the members of
the Panel are unable to agree on a Decision, then the claim
shall be presented to the Executive Committee for a final
administrative decision.
ii) If a Statement of Exceptions is filed, it must be received by
SURS, along with a brief in support, within 21 days after
the date of mailing of the Claims Panel Decision. Any
responsive brief shall be received within 21 days after the
filing of the Statement of Exceptions. Any reply brief shall
be received within 14 days after the filing of the responsive
brief. The filing of any responsive or reply brief is
optional. The Executive Director, or his or her designee,
shall provide the Executive Committee with a summary of
the decision of the Claims Panel.The Executive Committee
will make a final administrative decision based on the
Claims Panel Decision, any dissenting opinion, any
Statement of Exceptions and briefs properly filed.
iii) If the claim is presented to the Executive Committee
because the members of the Claims Panel are unable to
agree on a Decision, the Executive Committee shall make a
final administrative decision based on any opinions of the
Claims Panel members, the record and any briefs properly
filed by the claimant or SURS. The filing of any opening,
responsive or reply brief in response to the Claims Panel
decision is optional. Any opening brief shall be received
by SURS within 21 days after receiving notification from
the Hearing Officer that the Claims Panel was unable to
agree on a Decision. Any responsive brief shall be
received within 21 days after the filing of any opening
brief. Any reply brief shall be received within 14 days after
the filing of any responsive brief.
iv) All filings shall be served upon the opposing party and
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STATE UNIVERSITIES RETIREMENT SYSTEM
NOTICE OF ADOPTED AMENDMENTS
shall contain a certificate of service. Filing deadlines in
this subsection (g)(5)(A) may be continued to a date certain
by the Hearing Officer for good cause shown on written
application filed with SURS prior to the expiration of the
deadline sought to be continued.
B) Executive Committee Decision
i) When necessary pursuant to subsection (g)(5)(A), the
Executive Committee of the Board shall make a decision
on the claim. No oral argument shall be permitted before
the Executive Committee unless otherwise determined by
the Executive Committee.
ii) The Executive Committee shall render one of the following
decisions with respect to the claim: affirmance of the
administrative action, reversal of the administrative action,
or remand of the case to the administrative staff for further
consideration. Remand of the case to the administrative
staff shall not be considered a final decision of the
Executive Committee. A decision by the Executive
Committee either reversing or affirming the decision of the
administrative staff shall constitute a final decision for the
purpose of review under the Administrative Review Law
[735 ILCS 5/Art. III]. A final decision of the Executive
Committee shall be in writing or stated in the record.
iii) The Executive Committee may adopt, as its own, the
findings of fact and conclusions of law of the Claims Panel.
Findings of fact, if set forth in statutory language, shall be
accompanied by a concise and explicit statement of the
underlying facts supporting the findings.
iv) All decisions of the Executive Committee shall specify
whether they are final and subject to the Administrative
Review Law. [5 ILCS 100/10-50]
v) Parties and their agents, if any, shall be notified, personally,
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STATE UNIVERSITIES RETIREMENT SYSTEM
NOTICE OF ADOPTED AMENDMENTS
by delivery to a third-party commercial carrier, or by
registered or certified mail, return receipt requested, of any
decision of the Executive Committee. The date of mailing
of the decision shall constitute the date of service for
purposes of the Administrative Review Law or any other
applicable law.
(Source: Amended at 41 Ill. Reg. 15353, effective December 5, 2017)
SUBPART G: BOARD TRUSTEE ELECTION
Section 1600.720 Election Materials
a) The Board Secretary may procure a qualified election services vendor and
determine the voting methods, specific voting instructions and security measures
to be used in the election, subject to the approval of the Board.
b) At least 30 business days prior to the Election Day, the following election
materialsthe System shall be emailedmail to the eligible voter's latest email
address known to the System the following election materials:
1) Electronic instructions for accessing an electronicA preprinted paper ballot
listing, in order determined by random, blind lottery conducted by the
Board Secretary, either the contributing membership candidates or the
annuitant candidates, depending on the basis for the individual's eligible
voter status as provided in Section 1600.715, using the entire name of each
candidate in the System records on the first day nomination petitions can
be accepted;
2) Instructions for accessing candidateCandidate provided biographies in the
location, format and length specified and approved by the Board
Secretary;
3) Instructions for voting methods as specified by the Board Secretary,
including instructions for voting online or by phone. These instructions
will also include the voting deadline.;
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STATE UNIVERSITIES RETIREMENT SYSTEM
NOTICE OF ADOPTED AMENDMENTS
4) A preprinted, return envelope. Instructions for requesting from the election
vendor a mailing of the preprinted election materials specified in
subsection (c). Individual eligible voters may choose to request hard copy
materials, including a hard copy ballot, from the election vendor even if
they have a valid email address on file with SURS. If a request is made
for a hard copy ballot, the eligible voter can cast his or her vote online, by
phone, or by returning the hard copy ballot by the election deadline. Only
the first ballot received by the election vendor will be counted.
c) For voters without a valid email address on file with SURS, at least 30 business
days prior to the Election Day, and for voters for whom the email delivery attempt
in subsection (b) was unsuccessful, as soon as administratively practicable after
the election vendor is notified that the email delivery attempt was unsuccessful,
the following election materials shall be mailed to the eligible voter's latest
mailing address known to the System:
1) A preprinted paper ballot listing, in order determined by random, blind
lottery conducted by the Board Secretary, either the contributing
membership candidates or the annuitant candidates, depending on the
basis for the individual's eligible voter status as provided in Section
1600.715, using the entire name of each candidate in the System records
on the first day nomination petitions can be accepted;
2) Preprinted paper candidate provided biographies in the format and length
specified and approved by the Board Secretary;
3) Instructions for voting methods specified by the Board Secretary,
including instructions for voting online, by phone or by regular mail.
These instructions shall also include the voting deadline;
4) A preprinted, return envelope.
dc) If an eligible voter is unable to access his or her election materials ashas not
received any or all of the election materials specified in subsection (b) or did not
receive the preprinted election materials mailed to him or her as specified in
subsection (c), the eligible voter may request that the election vendorSystem send
replacement election materials to him or her by providing a current mailing
address or a valid email address. Preprinted paper ballots, candidate biographies
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STATE UNIVERSITIES RETIREMENT SYSTEM
NOTICE OF ADOPTED AMENDMENTS
and other election informationElection materials will not be mailed out within 5
business days prior to the Election Date; however, electronic ballots and
instructions for accessing candidate election informationelection materials will be
electronically transmitted if available and authorized by the eligible voter at least
one day prior to the Election Date. If an eligible voter incorrectly marks or spoils
his or her paper ballot prior to returning it, the eligible voter may request a new
set of election materials from the election vendorSystem at least 5 business days
prior to the Election Date. Paper ballots already mailed to the election
vendor,System or electronic or phone ballots that have already been cast by the
eligible voter, shall not be replaced or revoked. The member's identity as an
eligible voter shall be authenticated prior to sending out replacement election
materials.
ed) If previously mailed election materials are returned to the election vendorSystem
undelivered at least 5 business days prior to the Election Date and a forwarding
address has been provided, the election vendorSystem shall mail election
materials to the forwarding address via first class U.S. mail.
f) In addition to the election materials distributed by the election vendor, SURS will
post candidate biographies, in the format and length specified and approved by
the Board Secretary, on its website at least 30 days prior to the election.
(Source: Amended at 41 Ill. Reg. 15353, effective December 5, 2017)
ILLINOIS REGISTER 15373
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
1) Heading of the Part: Lobbyist Registration and Reports
2) Code Citation: 2 Ill. Adm. Code 560
3) Section Numbers: Emergency Actions:
560.100 Amendment
560.205 Amendment
560.220 Amendment
560.235 New Section
4) Statutory Authority: Implementing and authorized by the Lobbyist Registration Act [25
ILCS 170].
5) Effective Date of this Rule: December 8, 2017
6) If this emergency rule is to expire before the end of the 150-day period, please specify the
date on which it is to expire: This emergency rule will expire at the end of the 150-day
period or upon adoption of the permanent rule, whichever comes first.
7) Date Filed with Index Department: December 8, 2017
8) A copy of the emergency rulemaking, including any material incorporated by reference,
is on file in the Department's Springfield office and is available for public inspection.
9) Reason for Emergency: PA 100-554 was signed by the Governor on November 16, 2017
with an immediate effective date. Emergency rules are necessary, as evidenced by 5
ILCS 100/5-45(z), as amended by PA 100-554, which expressly provides that emergency
rules are required to expeditiously implement the provisions of PA 100-554 and adoption
of emergency rules is thereby authorized as necessary for the public interest, safety and
welfare. Authorization for emergency rulemaking is further set forth in the amendment
to 25 ILCS 170/4.7(e), which provides that emergency rulemaking is required due to the
implementation of the amendatory language and rules should be adopted no later than 60
days from the effective date of the Act.
10) Complete Description of the Subjects and Issues Involved: As it pertains to the subject
matter of the proposed emergency rules, PA 100-554 the Secretary of State Office of the
Inspector General to review allegations of sexual harassment made against an individual
required to register under the Lobbyist Registration Act and to provide a summary of said
ILLINOIS REGISTER 15374
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
review to the Executive Ethics Commission. In addition, the Secretary of State is further
required to provide a sexual harassment training program to individuals required to
register as a lobbyist and the training program must be completed within 30 days after
registration or renewal under the Lobbyist Registration Act.
11) Are there any other rulemakings pending on this Part? Yes, see this issue of the Illinois
Register.
12) Statement of Statewide Policy Objective: The emergency amendments do not require
expenditures by units of local government.
13) Information and questions regarding these emergency rules shall be directed to:
Amy Williams
Assistant Legal Advisor
298 Howlett Building
Springfield IL 62756
217/785-3094
The full text of the Emergency Amendments begins on the next page:
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
TITLE 2: GOVERNMENTAL ORGANIZATION
SUBTITLE C: CONSTITUTIONAL OFFICERS
CHAPTER III: SECRETARY OF STATE
PART 560
LOBBYIST REGISTRATION AND REPORTS
SUBPART A: DEFINITIONS
Section
560.100 Definitions
EMERGENCY
560.105 Designated Officials
SUBPART B: LOBBYIST REGISTRATION
Section
560.200 Persons Required to Register
560.205 Designation and Duties of Authorized Agent
EMERGENCY
560.210 Persons Not Required to Register
560.220 Registration Requirements
EMERGENCY
560.225 Ethics Training
560.230 Failure to Register (Repealed)
560.235 Prohibition on Sexual Harassment
EMERGENCY
SUBPART C: REPORTING REQUIREMENTS
Section
560.300 Persons Required to File Semi-monthly Reports
560.301 Affirmations
560.305 Time, Place and Manner for Filing Semi-monthly Reports
560.310 Categorizing Expenditures
560.315 Allocating Expenditures
560.320 Large Gatherings and Giveaways
560.325 Reporting Expenditures by Participants in Grass Roots Lobbying Events
ILLINOIS REGISTER 15376
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
560.326 Registrant's Duties for Grass Roots Lobbying Events
560.330 Expenditures for Immediate Family Members of Officials
560.340 Travel and Lodging Accommodations for Officials
560.345 Members of Legislative or State Study Committees
560.350 Personal and Office Expenses
560.355 Registrant's Duties for Grass Roots Lobbying Events (Repealed)
560.360 Salaries, Fees and Compensation
560.365 Contributions Reported Under the Election Code
560.370 Returned Expenditures/Reimbursement by Official
560.371 Lobbyist Notifications to Officials
560.372 Official's Clarification Notice
560.375 Reports in the Absence of Reportable Expenditures
560.380 Amending Reports
560.385 Termination of Lobbying Activities
560.390 Failure to File Registration Statements and Semi-monthly Reports
560.395 Preservation of Records
SUBPART D: PUBLIC DISCLOSURE
Section
560.400 Requests for Reports
560.402 Location and Business Hours
560.405 Official Forms
560.410 List of Officials
560.420 Fees
560.430 Enforcement
560.APPENDIX A Lobbyist Registration Statements
560.ILLUSTRATION A Form R1: Lobbyist Registration Statement − For
Individual/Firm/Partnership/Committee/ Association/Corporation
or any Other Organization Employing a Lobbyist on Their Own
Behalf (Repealed)
560.ILLUSTRATION B Form R2: Lobbyist Registration Statement − For
Individual/Firm/Partnership/Committee/Association/Corporation
or any Other Organization Who Performs Lobbying Services on
Behalf of Another (Repealed)
560.ILLUSTRATION C Attachment R1/R2: Lobbyist Registration Attachment − For
Individual Lobbyist (Repealed)
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NOTICE OF EMERGENCY AMENDMENTS
560.ILLUSTRATION D Form R3: Lobbyist Registration Attachment − For Addition or
Deletion of Affiliated Lobbyists (Repealed)
560.ILLUSTRATION E Form R4: Lobbyist Registration Attachment − For Addition or
Deletion of Affiliated Clients (Repealed)
560.APPENDIX B Lobbyist ExpenditureSemi-monthly Reports
560.ILLUSTRATION A Form S1: Lobbyist ExpenditureSemi-monthly Report − Summary
of Reportable Expenditures (Repealed)
560.ILLUSTRATION B Schedule 1A/2A: Lobbyist Expenditure Report − Itemized
Expenditures for Travel and Lodging or Meals, Beverages and
Entertainment (Repealed)
560.ILLUSTRATION C Schedule 1B/2B: Lobbyist Expenditure Report − Non-Itemized
Expenditures for Travel and Lodging or Meals, Beverages and
Entertainment (Repealed)
560.ILLUSTRATION D Schedule 2C/3C: Lobbyist Expenditure Report − Expenditures for
Large Gatherings (Repealed)
560.ILLUSTRATION E Schedule 3A/4A: Lobbyist Expenditure Report − Itemized
Expenditures for Gifts or Honoraria (Repealed)
560.ILLUSTRATION F Schedule 3B/4B: Lobbyist Expenditure Report − Non-Itemized
Expenditures for Gifts and Honoraria (Repealed)
560.ILLUSTRATION G Schedule GR1: Lobbyist Expenditure Notification − Expenditures
Notification in Connection with a Grass Roots Lobbying Event
(Repealed)
AUTHORITY: Implementing and authorized by the Lobbyist Registration Act [25 ILCS 170]
and P.A. 100-554, effective November 16, 2017.
SOURCE: Adopted at 18 Ill. Reg. 22532, effective January 1, 1994; amended at 21 Ill. Reg.
405, effective January 1, 1997; emergency amendment at 22 Ill. Reg. 22419, effective December
8, 1998, for a maximum of 150 days; amended at 23 Ill. Reg. 5856, effective May 3, 1999;
amended at 24 Ill. Reg. 6708, effective April 14, 2000; emergency amendment at 35 Ill. Reg.
2424, effective January 21, 2011, for a maximum of 150 days; emergency expired June 19, 2011;
amended at 35 Ill. Reg. 12761, effective July 18, 2011; emergency amendment at 37 Ill. Reg.
20784, effective December 16, 2013, for a maximum of 150 days; emergency repeal of
emergency amendment at 38 Ill. Reg. 5395, effective February 7, 2014, for the remainder of the
150 days; amended at 38 Ill. Reg. 8401, effective April 3, 2014; emergency amendment at 41 Ill.
Reg. 15373, effective December 8, 2017, for a maximum of 150 days.
SUBPART A: DEFINITIONS
ILLINOIS REGISTER 15378
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
Section 560.100 Definitions
EMERGENCY
The following definitions shall apply to this Part:
"Act" means the Lobbyist Registration Act [25 ILCS 170].
"Administrative Action" means the execution or rejection of any rule, regulation,
legislative rule, standard, fee, rate, contractual arrangement, purchasing
agreement or other delegated legislative or quasi-legislative action to be taken or
withheld by any executive agency, department, board or commission of the State.
(Section 2(i) of the Act) It shall not include any correspondence or direct
lobbying communication to an official providing a response to an official's
request.
"Allocation" means the proration of the expenditure made for lobbying an official
when the expenditure is made for more than one official, but fewer than 25
officials.
"Authorized Agent" means the person designated by an entity or lobbyist
registered under the Act as the person responsible for the accurate submission
and retention of reports required under the Act. (Section 2(l) of the Act) The
authorized agent need not register unless he or she is a lobbyist, as defined in this
Section.
"Client" means any person or entity that provides compensation to or employs a
lobbyist to lobby State government as provided in the Act.
"Client Registrant" means a client who is required to register under the Act.
"Compensation" means any money, thing of value or financial benefits received
or to be received in return for services rendered or to be rendered, for lobbying,
as defined in this Section. Monies paid to officials by the State as remuneration
for performance or reimbursement of expenses in connection with their
constitutional and statutory duties as officials shall not constitute compensation.
(Section 2 of the Act)
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"Complete Report" means a statement or report to be filed with the Secretary of
State Index Department in apparent and substantial conformity with the
requirements of this Part that shall contain the electronic acknowledgement of the
authorized agent, the completion of all applicable sections of the statement or
report, and the attachment of all appropriate schedules.
"Direct Lobbying Communication" means any activity concerning the direct
contact of officials in person or by means of correspondence, telephone or other
electronic medium for the purpose of influencing executive, legislative or
administrative action. Any correspondence or contact of a routine nature with an
official's office, or by a citizen lawfully petitioning a public official pursuant to
Section 9 of the Act, shall not be considered direct lobbying communication,
unless the communication is made by a hired lobbyist or is in conjunction with a
reportable expenditure.
"Due Diligence" means when a lobbyist or authorized agent for any registered
entity shows that best efforts have been used to obtain, maintain and submit the
information required by the Act. With regard to filing complete reports, the
authorized agent will not be deemed to have exercised due diligence unless he or
she has access to the expense records of the entity's lobbyists, and has made at
least one written request to obtain information required by the Act from the
lobbyist that informs the lobbyist that the reporting of that information to the
authorized agent is required by law or regulation. This definition should not be
construed as a requirement that the authorized agent review the lobbyist's expense
records if the lobbyist certifies their accuracy to the authorized agent.
"Employer" means the individual, firm, partnership, committee, association,
corporation or any other organization or group of persons by whom a lobbyist is
employed, and not the name of the lobbyist's supervisor.
"Executive Action" means the proposal, drafting, development, consideration,
amendment, adoption, approval, promulgation, issuance, modification, rejection
or postponement by a State entity of a rule, regulation, order, decision,
determination, contractual arrangement, purchasing agreement or other quasi-
legislative or quasi-judicial action or proceeding. (Section 2(g) of the Act) It
shall not include any correspondence or communication to an official providing a
response to an official's request.
ILLINOIS REGISTER 15380
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
"Expenditure" means a payment, distribution, loan, advance, deposit or gift of
money or anything of value, and includes a contract, promise or agreement,
whether or not legally enforceable, to make an expenditure, for the ultimate
purpose of influencing executive, legislative or administrative action, other than
compensation as defined in this Section. (Section 2(b) of the Act) For the
purposes of this Part, "expenditure" refers to a reportable expenditure made on
behalf of an official in one of the 6 categories described in Section 6 of the Act
and Section 560.310 of this Part.
"File", "Filed" and "Filing" means the submission of a complete report, as defined
in this Section, to the Secretary of State Index Department by the close of
business on the prescribed filing date. Registration statements, semi-monthly
reports, and any other required reports or correspondence shall be completed
online, using the Secretary of State Index Department website
(http://www.cyberdriveillinois.com/departments/index/home.html) unless
otherwise instructed. If the filing deadline falls on a weekend or a holiday, the
deadline will be extended to the next business day unless otherwise instructed.
The Index Department shall notify any lobbying entity who has failed to submit a
complete report and pay proper fees as required by Sections 560.220 and 560.390.
An entity that fails to file a complete entity registration statement, semi-monthly
report, or other required report or correspondence and/or pay proper fees shall not
be considered a registered lobbying entity by the Secretary of State.
"Goodwill" means, for reporting purposes, any expenditure made on behalf of
officials that has no direct relation to a specific executive, legislative or
administrative action, regardless of whether the lobbyist making the expenditure
is reimbursed by his or her employing registered entity or client. Goodwill should
be reported as the subject matter when no specific action is discussed.
"Grass Roots Lobbying Communication" means:
correspondence by a representative (a lobbyist or a non-lobbyist) of a
registered entity to the general public, or any segment thereof,
encouraging correspondence to an official's office in support of, or
opposition to, an executive, legislative or administrative action;
correspondence by a member of the general public, or any segment
thereof, to an official's office in support of, or opposition to, an executive,
ILLINOIS REGISTER 15381
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
legislative or administrative action when such correspondence is a result
of a communication described above in this definition. A reportable
expenditure made for or on behalf of an official by a member of the
general public as a result of a grass roots lobbying communication shall
constitute lobbying activity requiring that individual to register as a
lobbyist unless that person reports the expenditure to the registered entity
pursuant to Section 560.325.
"Grass Roots Lobbying Event" means:
any organized activity sponsored by a registered entity that is intended to
influence the actions of officials by inviting or transporting participants
(e.g., members, employees, constituents or the general public) to a specific
site on the grounds of, or in the proximity of, public offices or other
meeting places where officials are expected to be accessible for grass roots
lobbying; or
any event to which officials are invited that is sponsored by a non-lobbyist
member or employee of a registered entity, e.g., an on-site inspection of,
or reception at, the member's or employee's place of business, or a social
gathering at any location. Reportable expenditures incurred as a result of
the event shall be reported to the registered entity pursuant to Section
560.325.
"Honorarium" means a payment of money to a member of the General Assembly
for an appearance or speech, excluding any actual and necessary travel expenses
incurred by the member (and one relative) to the extent that those expenses are
paid by any other person. [5 ILCS 420/2-110]
"Influencing" means any communication, action, or reportable expenditure or
other means used to promote, support, affect, modify, oppose or delay any
executive, legislative or administrative action or to promote goodwill with
officials, as defined in this Section. (Section 2(f) of the Act)
"Legislative Action" means the development, drafting, introduction,
consideration, modification, adoption, rejection, review, enactment or passage or
defeat of any bill, amendment, resolution, report, nomination, administrative rule,
or other matter by either house of the General Assembly or a committee thereof,
ILLINOIS REGISTER 15382
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
or by a legislator. Legislative action also means the action of the Governor in
approving or vetoing any bill or portion thereof, and the action of the Governor
or any agency in the development of a proposal for introduction in the legislature.
(Section 2(h) of the Act) It shall not include any correspondence or
communication to an official providing a response to an official's request.
"Lobby" and "Lobbying" means any communication with an official of the
executive or legislative branch of State government as defined in this Section for
the ultimate purpose of influencing any executive, legislative or administrative
action. (Section 2(e) of the Act) Lobbying shall not be construed to infringe in
any way the right of a citizen to lawfully petition any public official by any means
of communication. The following are excluded from the definition of "lobbying":
Any grass roots lobbying communication as defined in this Section;
Any communication by a candidate or political committee, as defined in
Article 9 of the Election Code [10 ILCS 5/9], in relation to the candidate's
campaign, or other communications by a political party committee
registered with the Illinois State Board of Elections or Federal Election
Commission;
Any communication by a political committee registered with the Illinois
State Board of Elections or Federal Election Commission in connection
with a question of public policy referendum to be presented to the electors;
and
Any professional or technical assistance or ministerial function (a function
in which nothing is left to discretion) as a normal course of business (see
Section 560.210(c), (d), and (n)).
"Lobbyist" means any natural person who undertakes to lobby State government
as defined in this Section. (Section 2(j) of the Act)
"Lobbying Entity" means any entity that hires, retains, employs or compensates a
natural person to lobby State government as provided in this Section. (Section
2(k) of the Act)
"Official" means:
ILLINOIS REGISTER 15383
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
The Governor, Lieutenant Governor, Secretary of State, Attorney General,
State Treasurer and State Comptroller and their Chiefs of Staff;
Cabinet members of any elected constitutional officer, including
Directors, Assistant Directors and Chief Legal Counsel or General
Counsel, and other position titles of comparable ranking that are deemed
by their employing Constitutional Officer to be an official under this Part;
Members of the General Assembly; and
Members of any board, commission, authority, or task force of the State
authorized or created by State law or by executive order of the Governor
that has authority to make binding recommendations or determinations.
(Section 2(c) of the Act) (See Section 560.105 for additional information.)
"Official" shall not be construed to include those individuals possessing power of
attorney on behalf of an official.
"Person" means any individual, firm, partnership, committee, association,
corporation or any other organization or group of persons. (Section 2(a) of the
Act)
"Picture" means an original or photocopied photograph of a lobbyist to be affixed
to the lobbyist's registration attachment.
"Professional Services and Technical Skills" shall be limited to advice and
analysis directly applying any professional or technical discipline (see Section
560.210(c) and (d)). Being a professional or technical person does not in itself
exempt a person from registering if that person undertakes a direct lobbying
communication or makes a reportable expenditure.
"Sexual Harassment" means any unwelcome sexual advances or requests for
sexual favors or any conduct of a sexual nature when:
submission to such conduct is made either explicitly or implicitly a term or
condition of an individual's employment;
ILLINOIS REGISTER 15384
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
submission to or rejection of such conduct by an individual is used as the
basis for employment decisions affecting such individual; or
such conduct has the purpose or effect of substantially interfering with an
individual's work performance or creating an intimidating, hostile, or
offensive working environment.
For the purposes of this definition, the phrase "working environment" is not
limited to a physical location an employee is assigned to perform his or her
duties and does not require an employment relationship. [5 ILCS
430/5.65(b)]
"Vendor" means any person who sells or leases commodities, equipment, or real
estate to the State of Illinois.
(Source: Amended by emergency rulemaking at 41 Ill. Reg. 15373, effective December
8, 2017, for a maximum of 150 days)
SUBPART B: LOBBYIST REGISTRATION
Section 560.205 Designation and Duties of Authorized Agent
EMERGENCY
a) Every lobbying entity shall designate on its Registration Statement an authorized
agent who shall be responsible for keeping copies of the expenditure and
registration records provided to him or her by that entity's lobbyists.
b) For each lobbyist registering independently pursuant to Section 560.220, the
Index Department shall assume that the authorized agent is the lobbyist himself or
herself unless the lobbyist has specifically designated another individual as his or
her agent.
c) The authorized agent shall be the Index Department's contact person for the
registered entity. Notices from the Department will be mailed only to the
authorized agent. The authorized agent shall notify the Department of any change
of address.
d) No registered entity shall have a vacancy in the position of authorized agent. The
ILLINOIS REGISTER 15385
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
Department shall continue to send notices to the authorized agent designated until
a registered entity notifies the Department in writing of the new authorized agent.
e) The authorized agent shall submit the official semi-monthly reports on behalf of
the registered entity, consolidating the expenditure information for all of the
lobbyists for that entity.
f) The Index Department shall not accept registration statements and semi-monthly
reports that are signed by anyone other than the authorized agent unless
accompanied by a written explanation.
g) Each exclusive lobbyist of each lobbying entity shall be provided with a copy of
the written sexual harassment policy of his or her employer by the authorized
agent. The authorized agent shall also provide each exclusive lobbyist with an
acknowledgement form which acknowledges that the lobbyist has received a copy
of said policy which the exclusive lobbyist shall sign and date within 2 business
days. The authorized agent shall secure from each exclusive lobbyist the signed
and dated acknowledgement and maintain said document for a period of 2 years.
(Source: Amended by emergency rulemaking at 41 Ill. Reg. 15373, effective December
8, 2017, for a maximum of 150 days)
Section 560.220 Registration Requirements
EMERGENCY
a) Every natural person and every entity required to register under the Act shall
register before any service is performed which requires the natural person or
entity to register, but in any event not later than 2 business days after being
employed or retained. (Section 5 of the Act) Every lobbying entity shall
designate a person as an authorized agent (see Sections 560.100 and 560.205)
who shall be responsible for reporting under this Part.
b) The authorized agent shall file an Entity Registration Statement and an Exclusive
Lobbyist Information Statement for all persons who lobby exclusively for the
entity even if lobbying is a small percentage of that person's job duties. (See
Section 560.405.)
c) Every natural person and every entity required to register under the Act shall
ILLINOIS REGISTER 15386
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
annually renew his or her registration on or before January 31 of each year if
continuing lobbyist activities from the previous year. By December 15 of each
year, the Secretary of State Index Department will send to all current authorized
agents reminder notices of the January 31 deadline. Nothing in this Section shall
relieve a lobbyist or lobbying entity from the requirement to register before
commencing lobbying activities in a particular year and within 2 business days
after being employed or retained for lobbying services.
d) The registrant has a continuing duty to report any substantial change or addition
to the information contained in the registration. (Section 5 of the Act)
e) Registration statements shall be filed in accordance with the definition of "filing"
(see Section 560.100).
f) All registration statements shall include an annual, non-refundable, non-
transferable registration fee, assessed as follows, in the form of a credit or debit
card payment or electronic check payable to the Secretary of State:
1) A lobbyist's registration shall include a single, annual, non-refundable,
non-transferrable registration fee of $300. A self-employed independent
contract lobbyist who does not lobby under a business entity name or an
assumed business name and who has no employees engaged in lobbying
activities may submit a single annual fee of $300 and need not pay an
entity fee.
2) A lobbying entity's registration shall include a single, annual, non-
refundable, non-transferable registration fee of $300 for the entity and a
single, annual, non-refundable, non-transferable registration fee of $300
for each person registering as a lobbyist on an Exclusive Lobbyist
Information Statement.
g) The Secretary of State Index Department will provide an acknowledgment to each
authorized agent indicating the date of receipt for all statements filed (see Section
560.100).
h) Persons solely engaged in grass roots lobbying as an employee of a lobbying
entity or a participant in a grass roots lobbying event who make a reportable
expenditure are required to register unless the expenditure is reported to the
ILLINOIS REGISTER 15387
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
registered entity pursuant to Section 560.326.
i) A confirmation that the registrant has a sexual harassment policy as required by
Section 4.7, that such policy shall be made available to any individual within 2
business days upon written request (including electronic requests), that any
person may contact the authorized agent of the registrant to report allegations of
sexual harassment alleged against the registrant or exclusive lobbyist hired by the
registrant, and that the registrant recognizes the Inspector General has
jurisdiction to review any allegations of sexual harassment alleged against the
registrant or lobbyists hired by the registrant. The confirmation required by this
subsection will substantially be presented during the electronic registration
process as follows: Submission of registration confirms that this lobbying
registrant is in compliance, and will maintain compliance, with the Lobbyist
Registration Act [25 ILCS 170] and the Lobbyist Registration and Reports (2 Ill.
Adm. Code 560) through the period of registration in this calendar year. This
confirms that:
1) The registrant has a written policy on the prevention, prohibition and
investigation of sexual harassment and retaliation, to include how to report
allegations and the consequences for committing sexual harassment or
retaliation.
2) The registrant will provide all employees required to register with a copy
of the policy and secure an acknowledgment of receipt.
3) The policy shall be made available, within 2 business days, to any
individual who makes a written request for such policy (including
electronic requests).
4) Any person may contact the authorized agent of the registrant to report
allegations of sexual harassment.
5) The registrant recognizes the Inspector General has jurisdiction to review
any allegations of sexual harassment against the registrant or lobbyists
hired by the registrant.
6) The registrant acknowledges that violations with regard to sexual
harassment are subject to the jurisdiction of the Executive Ethics
ILLINOIS REGISTER 15388
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
Commission and are subject to the penalties of the State Officials and
Employees Ethics Act.
(Source: Amended by emergency rulemaking at 41 Ill. Reg. 15373, effective December
8, 2017, for a maximum of 150 days)
Section 560.235 Prohibition on Sexual Harassment
EMERGENCY
a) All persons have the right to work in an environment free from sexual harassment.
All persons subject to the Act shall refrain from sexual harassment of any person.
b) Sexual Harrassment Defined
1) For purposes of the Act, "sexual harassment" means any unwelcome
sexual advances or requests for sexual favors or any conduct of a sexual
nature when:
A) submission to such conduct is made either explicitly or implicitly a
term or condition of an individual's employment;
B) submission to or rejection of such conduct by an individual is used
as the basis for employment decisions affecting such individual; or
C) such conduct has the purpose or effect of substantially interfering
with an individual's work performance or creating an
intimidating, hostile, or offensive working environment.
2) For the 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. [5 ILCS
430/5-65]
c) No later than January 1, 2018, each natural person and any entity required to
register under the Act shall have a written sexual harassment policy that shall
include, at a minimum:
1) a prohibition on sexual harassment;
ILLINOIS REGISTER 15389
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SECRETARY OF STATE
NOTICE OF EMERGENCY AMENDMENTS
2) details on how an individual can report an allegation of sexual
harassment, including options for making a confidential report to a
supervisor, ethics officer, Inspector General, or the Department of Human
Rights;
3) a prohibition on retaliation for reporting sexual harassment allegations,
including availability of whistleblower protections under the State
Officials and Employee Ethics Act, the Whistleblower Act, and the Illinois
Human Rights Act; and
4) the consequences of a violation of the prohibition on sexual harassment
and the consequences for knowingly making a false report. [25 ILCS
170/4.7(c)]]
(Source: Added by emergency rulemaking at 41 Ill. Reg. 15373, effective December 8,
2017, for a maximum of 150 days)
ILLINOIS REGISTER 15390
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DEPARTMENT OF AGRICULTURE
NOTICE OF CORRECTION TO PROPOSED AMENDMENTS
1) Heading of the Part for which proposed rulemaking is being corrected: Standardbred,
Thoroughbred and Quarter Horse Breeding and Racing Programs, Illinois
2) Code Citation: 8 Ill. Adm. Code 290
3) Illinois Register citation to Notice of Proposed Amendments: 42 Ill. Reg. 14139;
November 27, 2017
4) Section being Corrected: 290.67
290.190
290.200
5) Correction being made: In subsection (a) the following text should have been published
as follows:
Semen from an Illinois-certified stallion may be transported within the State for the
purpose of inseminating a mare or mares within the State but cannot be transported
outside the State. Fresh semen may be transported outside of the State, but the foals
would not be eligible for registration as Illinois conceived and foaled horses.
As provided by 1 Ill. Adm. Code 100.240(a), publication of this Notice changes the date of
commencement of the First Notice period to the date this Notice is published.
ILLINOIS REGISTER 15391
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DEPARTMENT OF AGRICULTURE
NOTICE OF CORRECTION TO PROPOSED AMENDMENTS
TITLE 8: AGRICULTURE AND ANIMALS
CHAPTER I: DEPARTMENT OF AGRICULTURE
SUBCHAPTER l: HORSE RACING AND BREEDING
PART 290
STANDARDBRED, THOROUGHBRED AND QUARTER HORSE
BREEDING AND RACING PROGRAMS, ILLINOIS
SUBPART A: RULES RELATING TO
ILLINOIS STANDARDBRED, THOROUGHBRED AND QUARTER
HORSE BREEDING AND RACING PROGRAMS
Section
290.10 Purpose and Definitions
290.12 Incorporation by Reference
290.15 Trust Funds; Nominating, Sustaining and Entry Fees
290.20 Operating Plan and Official Budget; Standardbred, Thoroughbred and Racing
Quarter Horse Breeders Fund Programs and Monies Distribution Schedule
SUBPART B: STANDARDBRED DIVISION
Section
290.50 Stallion Certification Requirements
290.55 Certification of Stallion for First Time or Under New Ownership Before Offering
Service
290.60 Renewal Application for Offering or Standing Stallion for Service
290.65 Breeding Record of Stallion – Record of Mares Bred
290.67 Requirements for Transported Fresh Semen of a Certified Stallion
290.70 Stallion Siring Foal Must Qualify In Order For Foal to be Eligible for Registration
as an Illinois Conceived and Foaled Horse (Repealed)
290.75 Notification if Certified Stallion is Moved
290.77 Notification of Sale or Transfer of Ownership of Certified Stallion
290.78 Stallion Eligibility Certificate
290.80 Stallion Qualification Procedures (Repealed)
290.85 Qualifications for Illinois Conceived and Foaled Standardbred Horses
290.90 Registration for Illinois Conceived and Foaled Horses
290.95 Standardbred Breeders Awards
290.100 Grandfather Rights of Standardbred Horses Registered Under the Illinois Harness
ILLINOIS REGISTER 15392
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DEPARTMENT OF AGRICULTURE
NOTICE OF CORRECTION TO PROPOSED AMENDMENTS
Racing Act (Repealed)
290.105 Standardbred Racing at County Fairs or Other Venues
290.110 Illinois Conceived and Foaled Standardbred Races at the Illinois State Fair and
DuQuoin State Fair
SUBPART C: THOROUGHBRED DIVISION
Section
290.150 Stallion Certification Requirements
290.155 Certification of Stallion for First Time or Under New Ownership Before Offering
Service
290.160 Renewal Application for Offering or Standing Stallion for Service
290.165 Breeding Record of Stallion – Record of Mares Bred
290.170 Stallion Siring Foal Must Qualify In Order For Foal to be Eligible for Registration
as an Illinois Conceived and Foaled Horse (Repealed)
290.175 Notification if Certified Stallion is Moved
290.177 Notification of Sale or Transfer of Ownership of Certified Stallion
290.178 Stallion Eligibility Certificate
290.180 Stallion Qualification Procedures (Repealed)
290.185 Qualifications for Illinois Conceived and Foaled Thoroughbred Horses
290.190 Registration for Illinois Conceived and Foaled Horses
290.195 Qualifications for Illinois Foaled Thoroughbred Horses
290.200 Registration for Illinois Foaled Thoroughbred Horses
290.205 Grandfather Rights of Thoroughbred Horses Registered Under the Illinois Horse
Racing Act (Repealed)
290.210 Thoroughbred Stallion Owners Awards
290.215 Illinois Conceived and Foaled Thoroughbred Racing at County Fairs
SUBPART D: QUARTER HORSE DIVISION
Section
290.220 Stallion Certification Requirements
290.225 Certification of Stallion for First Time or Under New Ownership Before Offering
Service
290.230 Renewal Application for Offering or Standing Stallion for Service
290.235 Breeding Record of Stallion – Record of Mares Bred
290.240 Requirements for Transported Fresh Semen of a Certified Stallion
290.245 Notification if Certified Stallion is Moved
ILLINOIS REGISTER 15393
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DEPARTMENT OF AGRICULTURE
NOTICE OF CORRECTION TO PROPOSED AMENDMENTS
290.250 Notification of Sale or Transfer of Ownership of Certified Stallion
290.255 Stallion Eligibility Certificate
290.260 Qualifications for Illinois Conceived and Foaled Quarter Horses
290.265 Registration for Illinois Conceived and Foaled Horses
290.270 Quarter Horse Racing at County Fairs or Other Locations
290.275 Illinois Conceived and Foaled Quarter Horse Races at the Illinois State Fair and
DuQuoin State Fair
290.280 Quarter Horse Racing at Illinois Pari-mutuel Racetracks
AUTHORITY: Implementing and authorized by Sections 30, 30.5 and 31 of the Illinois Horse
Racing Act of 1975 [230 ILCS 5/30, 30.5 and 31].
SOURCE: Rules and Regulations Relating to the Illinois Standardbred and Thoroughbred Horse
Breeding and Racing Programs, filed October 13, 1976, effective October 23, 1976; filed
December 21, 1977, effective January 1, 1978; 3 Ill. Reg. 26, page 164, effective June 28, 1979;
4 Ill. Reg. 25, page 88, effective June 4, 1980; codified at 5 Ill. Reg. 10544; amended at 12 Ill.
Reg. 14515, effective September 6, 1988; amended at 15 Ill. Reg. 5207, effective April 1, 1991;
amended at 25 Ill. Reg. 7679, effective June 8, 2001; amended at 28 Ill. Reg. 11132, effective
July 23, 2004; amended at 42 Ill. Reg. ______, effective ____________.
SUBPART B: STANDARDBRED DIVISION
Section 290.67 Requirements for Transported Fresh Semen of a Certified Stallion
a) Semen from an Illinois-certified stallion may be transported within the State for
the purpose of inseminating a mare or mares within the State but cannot be
transported outside the State. Fresh semen may be transported outside of the State,
but the foals would not be eligible for registration as Illinois conceived and foaled
horses.
b) The mare owners or their authorized representative must file a Transported Fresh
Semen Report with the Department, within 10 days after insemination, indicating
the insemination dates, the insemination site, a description of the mare, the
ownership of the mare, and the name of the person who performed the
insemination. Subsequent inseminations utilizing transported fresh semen must
be reported as required by this subsection.
bc) The mare must be in the State at the time of conception, and such fact will be
ILLINOIS REGISTER 15394
17
DEPARTMENT OF AGRICULTURE
NOTICE OF CORRECTION TO PROPOSED AMENDMENTS
verified by a Department employee.
cd) The stallion owners or their authorized representative must indicate on the Record
of Mares Bred (see Section 290.65) all mares artificially inseminated with
transported fresh semen.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
SUBPART C: THOROUGHBRED DIVISION
Section 290.190 Registration for Illinois Conceived and Foaled Horses
a) An application for foal registration for an Illinois conceived and foaled
thoroughbred foal must be filed with the Department within 10 days after foaling.
The application shall be made on forms provided by the Department. The forms
shall be completed by the owners of the foal or their authorized representative and
that person shall provide all the information required. The foal must remain in the
State until it has been identified by a Department representative or until written
notice that the foal application has been accepted and the foal registration is
issued by the Department.
b) Procedures for Registration of Illinois Conceived and Foaled Thoroughbreds.
1) The owners of the foal, or their authorized representative, shall complete
an application for foal registration showing the name of the mare (dam),
the name of the sire, the date and location of foaling, and the color, sex
and markings of the foal.
2) To complete the official registration of an Illinois conceived and foaled
horse, the owners or their authorized representative must forward the
Jockey Club Certificate to the Department. If the horse has met all of the
requirements for registration, the Illinois official seal shall be affixed on
the face of the Jockey Club Certificate. The seal shall include the Illinois
registration number for that horse.
A) The Jockey Club Certificate with the Illinois registration number
will be the official registration certificate for the Illinois
Thoroughbred Conceived and Foaled Program. The Jockey Club
ILLINOIS REGISTER 15395
17
DEPARTMENT OF AGRICULTURE
NOTICE OF CORRECTION TO PROPOSED AMENDMENTS
Certificate with the Department seal shall be returned to the owner
of the horse by a mail delivery system that includes tracking
capabilitiesregistered mail.
B) If the Jockey Club Certificate is lost, or destroyed or replaced, the
duplicate Jockey Club Certificate for the horse must receive a new
Department seal to be valid for the Illinois Conceived and Foaled
Program.
c) The Department shall impose monetary penalties, in accordance with Section 40
of the Illinois Horse Racing Act of 1975 (Act)230 ILCS 5/40, for the late filing of
an application for foal registration.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
Section 290.200 Registration for Illinois Foaled Thoroughbred Horses
a) An application for foal registration for an Illinois foaled thoroughbred foal must
be filed with the Department within 10 days after foaling. The application shall
be made on forms provided by the Department. The forms shall be completed by
the owners of the foal or their authorized representative and thatsuch person shall
provide all the information required. The foal must remain in the State until it has
been identified by a Department representative or until written notice that the foal
application has been accepted and the foal registration is issued.
b) Procedures for Registration of Illinois Foaled Thoroughbreds.
1) The owners of the foal, or their authorized representative, shall complete
an application for foal registration showing the name of the mare (dam),
the name of the sire, the date of foaling, and the color, sex and markings of
the foal.
2) To complete the official registration of an Illinois foaled horse, the owners
or their authorized representative must forward the Jockey Club
Certificate to the Department. If the horse has met all the requirements for
registration, the Illinois official seal shall be affixed on the face of the
Jockey Club Certificate. The seal shall include the Illinois registration
number for the horse.
ILLINOIS REGISTER 15396
17
DEPARTMENT OF AGRICULTURE
NOTICE OF CORRECTION TO PROPOSED AMENDMENTS
A) The Jockey Club Certificate with the Illinois registration number
will be the official registration certificate for the Illinois Foaled
Thoroughbred Program. The Jockey Club Certificate with the
Department seal shall be returned to the owner of the horse by a
mail system that includes tracking capabilitiesregistered mail.
B) If the Jockey Club Certificate is lost or destroyed or replaced, the
duplicate Jockey Club Certificate for that horse must receive a new
Department seal to be valid for the Illinois Foaled Thoroughbred
Program.
c) The Department shall impose monetary penalties, in accordance with Section 40
of the Act230 ILCS 5/40, for the late filing of an application for foal registration.
(Source: Amended at 42 Ill. Reg. ______, effective ____________)
ILLINOIS REGISTER 15397
17
JOINT COMMITTEE ON ADMINISTRATIVE RULES
ILLINOIS GENERAL ASSEMBLY
SECOND NOTICES RECEIVED
The following second notices were received during the period of December 5, 2017 through
December 11, 2017. These rulemakings are scheduled for review at the Committee's January 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
1/17/18 Healthcare and Family Services, Long Term
Care Reimbursement Changes (89 Ill. Adm.
Code 153)
10/6/17
41 Ill. Reg.
12370
1/2018
1/18/18 Department of Revenue, Retailers' Occupation
Tax (86 Ill. Adm. Code 130)
6/23/17
41 Ill. Reg.
7107
1/2018
1/18/18 Illinois Gaming Board, Video Gaming
(General) (11 Ill. Adm. Code 1800)
10/13/17
41 Ill. Reg.
12670
1/2018
1/20/18 Department of Transportation, Hazardous
Materials Transportation: General Information,
Regulations and Definitions (92 Ill. Adm. Code
171)
10/20/17
41 Ill. Reg.
12964
1/2018
1/20/18 Department of Transportation, Shippers General
Requirements for Shipments and Packagings
(92 Ill. Adm. Code 173)
10/20/17
41 Ill. Reg.
12979
1/2018
1/20/18 Department of Transportation, Hazardous
Materials Table and Hazardous Materials
Communications (92 Ill. Adm. Code 172)
10/20/17
41 Ill. Reg.
12974
1/2018
ILLINOIS REGISTER 15398
17
1/20/18 Department of Transportation, Carriage by
Public Highway (92 Ill. Adm. Code 177)
10/20/17
41 Ill. Reg.
12986
1/2018
1/20/18 Department of Transportation, Specifications
for Packagings (Repealer) (92 Ill. Adm. Code
178)
10/20/17
41 Ill. Reg.
12990
1/2018
1/20/18 Department of Transportation, Specifications
for Packagings (New Part) (92 Ill. Adm. Code
178)
10/20/17
41 Ill. Reg.
13084
1/2018
1/20/18 Department of Transportation, Specifications
for Tank Cars (92 Ill. Adm. Code 179)
10/20/17
41 Ill. Reg.
13088
1/2018
1/20/18 Department of Transportation, Continuing
Qualification and Maintenance of Packaging (92
Ill. Adm. Code 180)
10/20/17
41 Ill. Reg.
13093
1/2018
1/24/18 Department of Revenue, Retailers' Occupation
Tax (86 Ill. Adm. Code 130)
6/30/17
41 Ill. Reg.
7448
1/2018
ILLINOIS REGISTER 15399
17
CHIEF PROCUREMENT OFFICER FOR THE
ILLINOIS DEPARTMENT OF TRANSPORTATION
JANUARY 2018 REGULATORY AGENDA
a) Part (Heading and Code Citations): Chief Procurement Officer for the Department of
Transportation – Contract Procurement; 44 Ill. Admin. Code 6
1) Rulemaking:
A) Description: The Chief Procurement Officer for the Department of
Transportation (CPO) will be amending this Part, as necessary to reflect
changes made to 30 ILCS 500 by the 100th General Assembly.
B) Statutory Authority: 30 ILCS 500
C) Scheduled meeting/hearing date: None scheduled
D) Date agency anticipates First Notice: Spring 2017
E) Effect on small businesses, small municipalities or not for profit
corporations: None
F) Agency contact person for information:
Bill Grunloh, Chief Procurement Officer
Illinois Department of Transportation
2300 South Dirksen Parkway
Springfield IL 62764
Telephone: 217/558-5434
G) Related rulemakings and other pertinent information: None
ILLINOIS REGISTER 15400
17
ILLINOIS COMMUNITY COLLEGE BOARD
JANUARY 2018 REGULATORY AGENDA
a) Part (Heading and Code Citations): Administration of the Illinois Public Community
College Act, 23 Ill. Adm. Code 1501
1) Rulemaking:
A) Description: The Board proposes the adoption of new administrative rules
pursuant to the Credit for Prior Learning Act (PA 100-0261). The Act
requires the Board to adopt rules to permit community colleges to award
credit for prior learning after the assessment of prior learning experiences
for documented learning that demonstrates achievement of all terminal
objectives for a specific course or courses.
B) Statutory Authority: Credit for Prior Learning Act [110 ILCS 160]
C) Scheduled meeting/hearing dates: None have been scheduled.
D) Date agency anticipates First Notice: February 2018
E) Effect on small businesses, small municipalities or not-for-profit
corporations: The Board believes this rulemaking will not affect small
business, small municipalities, and not for profit corporations.
F) Agency contact person for information:
Matt Berry
Rules Coordinator
Illinois Community College Board
401 East Capitol Avenue
Springfield IL 6270
217/785-7411
fax: 217/524-4981
G) Related rulemakings and other pertinent information: None
2) Rulemaking:
A) Description: The Board proposes to amend its rules regarding local
community college district reporting. Public Act 100-0195 adds a new
ILLINOIS REGISTER 15401
17
ILLINOIS COMMUNITY COLLEGE BOARD
JANUARY 2018 REGULATORY AGENDA
requirement that community college districts report yearly their policies
on awarding credit for military experience to the Board.
B) Statutory Authority: Educational Credit for Military Experience Act [110
ILCS 32]
C) Scheduled meeting/hearing dates: None have been scheduled.
D) Date agency anticipates First Notice: February 2018
E) Effect on small businesses, small municipalities or not-for-profit
corporations: The Board believes this rulemaking will not affect small
business, small municipalities, and not for profit corporations.
F) Agency contact person for information:
Matt Berry
Rules Coordinator
Illinois Community College Board
401 East Capitol Avenue
Springfield IL 6270
217/785-7411
fax: 217/524-4981
G) Related rulemakings and other pertinent information: None
3) Rulemaking:
A) Description: The Board proposes the adoption of new administrative rules
pursuant PA 99-692 that codifies the Board’s processes and criteria for
approval of trustee training provides.
B) Statutory Authority: Public Community College Act [110 ILCS 805/3-
8.5]
C) Scheduled meeting/hearing dates: None have been scheduled.
D) Date agency anticipates First Notice: Summer 2018
ILLINOIS REGISTER 15402
17
ILLINOIS COMMUNITY COLLEGE BOARD
JANUARY 2018 REGULATORY AGENDA
E) Effect on small businesses, small municipalities or not-for-profit
corporations: The Board believes this rulemaking will not affect small
business, small municipalities, and not for profit corporations.
F) Agency contact person for information:
Matt Berry
Rules Coordinator
Illinois Community College Board
401 East Capitol Avenue
Springfield IL 6270
217/785-7411
fax: 217/524-4981
G) Related rulemakings and other pertinent information: None
4) Rulemaking:
A) Description: The Board proposes to define "apprenticeship programs"
within the administrative rules for community college academic programs.
B) Statutory Authority: Public Community College Act [110 ILCS 805]
C) Scheduled meeting/hearing dates: None have been scheduled.
D) Date agency anticipates First Notice: Summer/Fall 2018
E) Effect on small businesses, small municipalities or not-for-profit
corporations: The Board believes this rulemaking will not affect small
business, small municipalities, and not for profit corporations.
F) Agency contact person for information:
Matt Berry
Rules Coordinator
Illinois Community College Board
401 East Capitol Avenue
ILLINOIS REGISTER 15403
17
ILLINOIS COMMUNITY COLLEGE BOARD
JANUARY 2018 REGULATORY AGENDA
Springfield IL 6270
217/785-7411
fax: 217/524-4981
G) Related rulemakings and other pertinent information: None
5) Rulemaking:
A) Description: The Board is currently implementing transitional math
courses as is required by the Postsecondary Workforce Readiness Act (PA
99-674). As the Board continues full implementation, the adoption of new
administrative rules or amendment of existing rules of the Board may be
necessary.
B) Statutory Authority: Postsecondary and Workforce Readiness Act. [110
ILCS 148]
C) Scheduled meeting/hearing dates: None have been scheduled.
D) Date agency anticipates First Notice: Fall 2018
E) Effect on small businesses, small municipalities or not for profit
corporations: The Board believes this rulemaking will not affect small
business, small municipalities, and not for profit corporations.
F) Agency contact person for information:
Matt Berry
Rules Coordinator
Illinois Community College Board
401 East Capitol Avenue
Springfield IL 6270
217/785-7411
fax: 217/524-4981
G) Related rulemakings and other pertinent information: None
ILLINOIS REGISTER 15404
17
ILLINOIS COMMUNITY COLLEGE BOARD
JANUARY 2018 REGULATORY AGENDA
b) Part (Heading and Code Citations): High School Diploma for Adult Learners, 23 Ill.
Adm. Code 1506
1) Rulemaking:
A) Description: PA 100-0514 allows ICCB to approve high school diploma
programs for adult learners for community colleges, intermediate service
centers, Chicago Public Schools, and non-profits in a partnership with
regional superintendents of schools. Students who successfully complete
the program can receive a high school diploma. The Act authorizes the
Illinois Community College Board to adopt rules necessary to implement
approval of high school diploma programs for adult learners.
B) Statutory Authority: School Code [105 ILCS 5/3-15.12a]
C) Scheduled meeting/hearing dates: None have been scheduled.
D) Date agency anticipates First Notice: April 2018
E) Effect on small businesses, small municipalities or not-for-profit
corporations: The Board believes this rulemaking will not affect small
business or small municipalities. Not for profit corporations wishing to
establish a program to provide a high school diploma to adult learners will
be required to meet eligibility, application criteria and approval criteria as
defined in PA 100-0514 and further delineated by the proposed
rulemaking.
F) Agency contact person for information:
Matt Berry
Rules Coordinator
Illinois Community College Board
401 East Capitol Avenue
Springfield IL 6270
217/785-7411
fax: 217/524-4981
G) Related rulemakings and other pertinent information: None
ILLINOIS REGISTER 15405
17
POLLUTION CONTROL BOARD
JANUARY 2018 REGULATORY AGENDA
a) Part (Heading and Code Citation): Definitions and General Provisions (35 Ill. Adm.
Code 211)
1) Rulemaking: Docket number R18-16
A) Description: Section 9.1(e) of the Environmental Protection Act [415
ILCS 5/9.1(e)] requires the Board to update the Illinois definition of
volatile organic material (VOM) to reflect any additions made by the
United States Environmental Protection Agency (USEPA) to the list of
compounds exempt from regulation as ozone precursors. Those
compounds are determined by USEPA to be exempt from regulation under
the state implementation plan (SIP) for ozone in the federal
"Recommended Policy on the Control of Volatile Organic
Compounds"(Recommended Policy) due to their negligible photochemical
reactivity. On February 3, 1992 (57 Fed. Reg. 3945), USEPA codified its
definition of VOM at 40 CFR 51.100(s), which now embodies the former
Recommended Policy. This codified definition now includes all the
compounds and classes of compounds previously exempted in the former
Recommended Policy. The Illinois definition of VOM is presently
codified at 35 Ill. Adm. Code 211.7150.
The Board has reserved docket number R18-16 to accommodate any
federal amendments to the 40 CFR 51.100(s) definition of VOM that
USEPA may make July 1, 2017 through December 31, 2017. The Board
is not now aware of any federal action during this period that affected the
federal definition of VOM. By about mid-February 2018, the Board will
verify whether any additional federal actions may affect the definition of
VOM and determine the Board action required in response to each. The
Board will then propose corresponding amendments to the Illinois
definition of VOM using the identical-in-substance procedure in docket
R18-16, as necessary and appropriate.
Section 9.1(e) requires the Board to complete amendments within one year
of the date on which USEPA adopted the earliest action upon which the
amendments are based. Assuming USEPA adopted an amendment that
will require Board action on the first day of the update period, July 1,
2017, the due date for Board adoption of amendments in docket R18-16
would be July 1, 2018.
ILLINOIS REGISTER 15406
17
POLLUTION CONTROL BOARD
JANUARY 2018 REGULATORY AGENDA
To meet a due date of July 1, 2018, the Board would vote to propose
amendments and cause a Notice of Proposed Amendments to appear in the
Illinois Register by late-February 2018. This would be sufficiently before
the due date to allow the Board to accept public comments on the proposal
for 45 days before acting to adopt any amendments. Alternatively, if no
amendment to the Illinois definition is needed, the Board will promptly
dismiss the reserved docket R18-16.
B) Statutory authority: Implementing and authorized by Sections 7.2, 9.1(e),
and 27 of the Environmental Protection Act [415 ILCS 5/7.2, 9.1(e) & 27].
C) Scheduled meeting/hearing dates: None now scheduled. The Board will
vote to propose any amendments at an open meeting in accordance with
requirements of Sections 27 and 28 of the Act [415 ILCS 5/27 & 28]. The
Board will then schedule and conduct at least one public hearing, as
required by Section 110(a) of the federal Clean Air Act (42 USC
§ 7410(a)) for amendment of the Illinois ozone SIP.
D) Date agency anticipates First Notice: The Board cannot project an exact
date for publication at this time. The Board expects to verify any federal
actions by mid-February 2018, after which time the Board will propose
any amendments to the Illinois definition of VOM that are necessary in
response to federal amendments. If the due date for Board adoption of
amendments in this docket is July 1, 2018, the Board will vote to propose
amendments and cause a Notice of Proposed Amendments to appear in the
Illinois Register by late-April 2018. This would be sufficiently before the
due date to allow the Board to accept public comments on the proposal for
45 days before adopting any amendments.
E) Effect on small business, small municipalities, or not-for-profit
corporations: This rulemaking may affect any small business, small
municipality, or not-for-profit corporation that engages in the emission of
a chemical compound that is the subject of a proposed exemption or
proposed deletion from the USEPA list of exempted compounds.
F) Agency contact person for information: Address written comments
concerning the substance of the rulemaking, noting docket number R18-
16, as follows:
ILLINOIS REGISTER 15407
17
POLLUTION CONTROL BOARD
JANUARY 2018 REGULATORY AGENDA
Don Brown, Clerk
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
Address questions concerning this regulatory agenda, noting docket number R18-
16, as follows:
Michael J. McCambridge, Attorney
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
312/814-6924
G) Related rulemakings and other pertinent information: No other rulemaking that
would affect 35 Ill. Adm. Code 211 is now planned. If the Board receives a
rulemaking proposal under 415 ILCS 5/27 and 28, however, the Board could
initiate a rulemaking at any time.
Section 9.1(e) of the Environmental Protection Act [415 ILCS 5/9.1(e)] provides
that Title VII of the Act and Section 5 of the Administrative Procedure Act (APA)
[5 ILCS 100/5-35, 40] shall not apply to this proceeding. Because this
rulemaking is not subject to Section 5 of the APA, it is not subject to First Notice
or to Second Notice review by the Joint Committee on Administrative Rules.
However, the Board will cause a Notice of Proposed Amendments to appear in
the Illinois Register, and it will accept public comments on the proposal for 45
days after the date of publication.
b) Part (Heading and Code Citation): Definitions and General Provisions (35 Ill. Adm.
Code 243)
1) Rulemaking: Docket number R18-15
A) Description: Section 10(H) to the Environmental Protection Act [415
ILCS 5/10(H)] requires the Board to adopt ambient air quality standards
that are identical-in-substance to the National Ambient Air Quality
Standards (NAAQS) adopted by USEPA under section 109 of the federal
ILLINOIS REGISTER 15408
17
POLLUTION CONTROL BOARD
JANUARY 2018 REGULATORY AGENDA
Clean Air Act (42 USC § 7409). USEPA has codified the primary and
secondary NAAQS at 40 CFR 50, including methods for monitoring
ambient air quality for contaminants (particulate matter, nitrogen oxides,
sulfur oxides, ozone, carbon monoxide, and lead). Various other federal
regulations relate to aspects of the NAAQS, such as 40 CFR 53 approval
of equivalent and reference methods and 40 CFR 81 air quality monitoring
regions and attainment/non-attainment status.
The Board has reserved docket number R18-15 to accommodate any
federal amendments to the NAAQS that USEPA may make July 1, 2017
through December 31, 2017. At this time, the Board is aware of two
federal actions with regard to the federal NAAQS during this period.
Those actions, and the Board actions in response, are described as follows:
September 25, 2017 (82 Fed. Reg. 44612): USEPA designated
three new FRMs for particulate matter (PM10), fine particulate
matter (PM2.5), and coarse particulate matter (PM10-2.5) in
ambient air. The Board must incorporate this designation by
reference in the Illinois rules.
October 2, 2017 (82 Fed. Reg. 45842): USEPA designated one
new FRM for carbon monoxide (CO) in ambient air. The Board
must incorporate this designation by reference in the Illinois rules.
By about mid-February 2018, the Board will verify other federal actions
that may affect the federal NAAQS and determine the Board action
required in response to each. The Board will then include that action in
this docket to make the Illinois ambient air quality standards identical-in-
substance to the federal NAAQS, as necessary and appropriate.
Section 10(H) requires the Board to complete amendments within one year
of the date on which USEPA adopted the earliest action upon which the
amendments are based. Since the earliest USEPA action that will require
Board action occurred on September 25, 2017, the due date for Board
adoption of amendments in docket R18-15 would be September 25, 2018.
To meet a due date of September 25, 2018, the Board would vote to
propose amendments and cause a Notice of Proposed Amendments to
appear in the Illinois Register by mid-June 2018. This would be
ILLINOIS REGISTER 15409
17
POLLUTION CONTROL BOARD
JANUARY 2018 REGULATORY AGENDA
sufficiently before the due date to allow the Board to accept public
comments on the proposal for 45 days before adopting any amendments.
Alternatively, if no amendment to the Illinois definition is needed, the
Board will promptly dismiss the reserved docket R18-15.
B) Statutory Authority: Implementing and authorized by Sections 7.2, 10(H),
and 27 of the Environmental Protection Act [415 ILCS 5/7.2, 10(H) &
27].
C) Scheduled meeting/hearing dates: None now scheduled. The Board will
vote to propose any amendments at an open meeting in accordance with
requirements of Sections 27 and 28 of the Act [415 ILCS 5/27 & 28]. The
Board may then schedule and conduct at least one public hearing, if
required by Section 110(a) of the federal Clean Air Act (42 USC § 7418)
for amendment of the Illinois SIP for any air contaminant, as authorized
and required.
D) Date agency anticipates First Notice: The Board cannot project an exact
date for publication at this time. The Board expects to verify any federal
actions by mid-February 2018, after which time the Board will propose
any amendments to the Illinois ambient air quality standards that are
necessary to ensure that they are identical-in-substance to the federal
NAAQS. Since the due date for Board adoption of amendments in this
docket is September 25, 2018, the Board will vote to propose amendments
and cause a Notice of Proposed Amendments to appear in the Illinois
Register by mid-June 2018. This would be sufficiently before the due date
to allow the Board to accept public comments on the proposal for 45 days
before adopting any amendments.
E) Effect on small business, small municipalities, or not-for-profit
corporations: This rulemaking may affect any small business, small
municipality, or not-for-profit corporation that engages in the emission of
an air contaminant or precursor to an air contaminant that is the subject of
an NAAQS.
F) Agency contact person for information: Address written comments
concerning the substance of the rulemaking, noting docket number R18-
15, as follows:
ILLINOIS REGISTER 15410
17
POLLUTION CONTROL BOARD
JANUARY 2018 REGULATORY AGENDA
Don Brown, Clerk
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
Address questions concerning this regulatory agenda, noting docket
number R18-15, as follows:
Michael J. McCambridge, Attorney
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
312-814-6924
G) Related rulemakings and other pertinent information: No other rulemaking that
would affect 35 Ill. Adm. Code 243 is now planned. The Board may receive a
rulemaking proposal under 415 ILCS 5/27 and 28 at any time, however, which
could cause the Board to initiate the rulemaking process.
Section 10(H) of the Environmental Protection Act [415 ILCS 5/10(H)] provides
that Title VII of the Act and Section 5 of the Administrative Procedure Act (APA)
[5 ILCS 100/5-35, 40] shall not apply to this proceeding. Because this
rulemaking is not subject to Section 5 of the APA, it is not subject to First Notice
or to Second Notice review by the Joint Committee on Administrative Rules.
However, the Board will cause a Notice of Proposed Amendments to appear in
the Illinois Register, and it will accept public comments on the proposal for 45
days after the date of publication.
c) Part (Heading and Code Citation): Water Quality Standards (35 Ill. Adm. Code 302)
1) Rulemaking: Docket number R14-24
A) Description: The Sanitary District of Decatur seeks a site-specific
rulemaking for its main sewerage treatment plant. The District seeks an
alternative chronic water quality standard for nickel from the point of its
discharge into the Sangamon River, and an alternative rule under certain
ILLINOIS REGISTER 15411
17
POLLUTION CONTROL BOARD
JANUARY 2018 REGULATORY AGENDA
flow conditions to allow mixing to be considered when determining a
water quality based NPDES permit limit for nickel.
B) Statutory Authority: Implementing and authorized by Sections 27 and 28
of the Environmental Protection Act [415 ILCS 5/527, 28].
C) Scheduled meeting/hearing dates: Hearings have not yet been scheduled.
D) Date agency anticipates First Notice: A Notice of Proposed Rulemaking
is expected to be published in the Illinois Register within the next six
months.
E) Effect on small businesses, small municipalities or not for profit
corporations: This proposed site-specific rule would affect the Sanitary
District of Decatur.
F) Agency contact person for information: Address written comments
concerning the substance of the rulemaking to:
Don Brown, Clerk
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
Address questions concerning this regulatory agenda to:
Tetyana Rabczak
Pollution Control Board
100 W. Randolph St.
Chicago IL 60601
312/814-5053
G) Related Rulemaking and other pertinent information: None.
d) Parts (Headings and Code Citations):
Sewer Discharge Criteria (35 Ill. Adm. Code 307)
ILLINOIS REGISTER 15412
17
POLLUTION CONTROL BOARD
JANUARY 2018 REGULATORY AGENDA
Pretreatment Programs (35 Ill. Adm. Code 310)
1) Rulemaking: Docket number R18-14
A) Description: Section 13.3 of the Environmental Protection Act [415 ILCS
5/13.3] requires the Board to update the Illinois wastewater pretreatment
regulations to reflect revisions made to the federal wastewater
pretreatment rules the United States Environmental Protection Agency
(USEPA).
The Board has reserved docket number R18-14 to accommodate any
amendments to the federal wastewater pretreatment rules, 40 CFR 400
through 499, that USEPA may make July 1, 2017 through December 31,
2017. The Board is now aware of two federal actions during this period
that affected the federal wastewater pretreatment regulations. Those
actions, and the Board actions in response, are described as follows:
July 5, 2017 (82 Fed. Reg. 30997): USEPA corrected its June 26, 2017
pretreatment standards for dental dischargers. The Board must correct the
standards when incorporating them into the Illinois regulations.
September 18, 2017 (82 Fed. Reg. 43494): USEPA postponed the
effective the pretreatment standards for the steam electric power
generating point source category adopted November 3, 2015. The Board
must revise the compliance date in the Illinois regulations.
The Board will verify whether any other federal actions affect the federal
wastewater pretreatment regulations and determine the Board action
required in response to each set of federal amendments in coming weeks,
by about mid-February 2018. The Board will then propose corresponding
amendments to the Illinois wastewater pretreatment regulations using the
identical-in-substance procedure under docket R18-14, as necessary and
appropriate.
Section 13.3 of the Act requires the Board to complete amendments within
one year of the date on which USEPA adopted the earliest action upon
which the amendments are based. Since the earliest USEPA action that
will require Board action occurred on July 5, 2017, the due date for Board
adoption of amendments in docket R18-14 would be July 5, 2018.
ILLINOIS REGISTER 15413
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B) Statutory Authority: Implementing and authorized by Sections 7.2, 13,
13.3, and 27 of the Environmental Protection Act [415 ILCS 5/7.2, 13,
13.3 & 27].
C) Scheduled meeting/hearing dates: None now scheduled. The Board will
propose any amendments at an open meeting in accordance with
requirements established by Sections 27 and 28 of the Act [415 ILCS 5/27
& 28]. No hearing is required in identical-in-substance proceedings.
D) Date agency anticipates First Notice: The Board cannot now project an
exact date for publication. The Board expects to verify any federal actions
by mid-February 2018, after which the Board will propose any
amendments to the Illinois wastewater treatment rules that are necessary in
response to the federal amendments. If the due date for Board adoption of
amendments in this docket is assumed to be July 5, 2018, the Board will
propose amendments and cause a Notice of Proposed Amendments to
appear in the Illinois Register by mid-June 2017. This would be
sufficiently before the due date to allow the Board to accept public
comments on the proposal for 45 days before adopting any amendments.
Alternatively, if no amendment to the Illinois wastewater pretreatment
rules is needed, the Board will promptly dismiss this reserved docket.
E) Effect on small business, small municipalities, or not-for-profit
corporations: This rulemaking may affect any small business, small
municipality, or not-for-profit corporation that discharges pollutants into
the collection system of a publicly-owned treatment works that is the
subject of any federal amendments.
F) Agency contact person for information: Address written comments
concerning the substance of the rulemaking, noting docket number R18-
14, as follows:
Don Brown, Clerk
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
ILLINOIS REGISTER 15414
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Address questions concerning this regulatory agenda, noting docket
number R18-14, as follows:
Michael J. McCambridge, Attorney
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
312/814-6924
G) Related rulemakings and other pertinent information: No other
rulemaking that would affect 35 Ill. Adm. Code 307or 310 is now planned.
If the board receives a rulemaking proposal under 415 ILCS 5/27 and 28,
however, the Board could initiate a rulemaking at any time.
Section 13.3 of the Environmental Protection Act provides that Title VII
of the Act and Section 5 of the Administrative Procedure Act (APA) [5
ILCS 100/5-35, 5-40] shall not apply to this proceeding. Because this
rulemaking is not subject to Section 5 of the APA, it is not subject to First
Notice or Second Notice review by the Joint Committee on Administrative
Rules. However, the Board will cause a Notice of Proposed Amendments
to appear in the Illinois Register, and it will accept public comments on
the proposal for 45 days after the date of publication.
e) Part (Heading and Code Citation): Primary Drinking Water Standards (35 Ill. Adm.
Code 611)
1) Rulemaking: Docket number R18-9
A) Description: Section 17.5 of the Environmental Protection Act [415 ILCS
5/17.5] requires the Board to update the Illinois drinking water regulations
to reflect USEPA amendments to the federal Safe Drinking Water Act
(SDWA) primary drinking water regulations.
The Board has reserved docket number R18-9 to accommodate any
amendments to the SDWA National Primary Drinking Water Standards
(NPDWRs), 40 CFR 141 through 143, that the United States
Environmental Protection Agency (USEPA) may make July 1, 2017
ILLINOIS REGISTER 15415
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through December 31, 2017. The Board is now aware of one federal
action during this period that affected the NPDWRs. That action, and the
Board action in response, is described as follows:
July 27, 2017 (82 Fed. Reg. 34861): USEPA approved alternative
analytical procedures for drinking water contaminants. The Board must
add the alternative methods to the Illinois rules.
The Board will determine whether any other federal actions may affect the
federal NPDWRs and whether Board action is required by about mid-
February 2018. The Board will then propose corresponding amendments
to the Illinois SDWA primary drinking water regulations using the
identical-in-substance procedure or dismiss docket R18-9, as necessary
and appropriate.
Section 17.5 requires the Board to complete amendments within one year
of the date on which USEPA adopted the earliest action upon which the
amendments are based. Assuming USEPA adopted an amendment that
will require Board action on July 27, 2017, the due date for Board
adoption of amendments in docket R18-9 would be July 27, 2018.
B) Statutory Authority: Implementing and authorized by Sections 17, 17.5,
and 27 of the Environmental Protection Act [415 ILCS 5/17, 17.5 & 27].
C) Scheduled meeting/hearing dates: None now scheduled. The Board will
propose any amendments at an open meeting according to requirements
established by Sections 27 and 28 of the Act [415 ILCS 5/27 & 28]. No
hearing is required in identical-in-substance proceedings.
D) Date agency anticipates First Notice: The Board cannot now project an
exact date for publication. The Board expects to verify any federal actions
by mid-February 2018, after which the Board will propose any
amendments to the Illinois SDWA drinking water rules that are necessary
in response to the federal amendments. If the due date for Board adoption
of amendments in this docket were assumed to be July 27, 2018, the Board
will vote to propose amendments and cause a Notice of Proposed
Amendments to appear in the Illinois Register before late-April 2017.
This would be sufficiently before the due date to allow the Board to accept
public comments on the proposal for 45 days before adopting any
ILLINOIS REGISTER 15416
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amendments. Alternatively, if no amendment to the Illinois definition is
needed, the Board will promptly dismiss this reserved docket.
E) Effect on small business, small municipalities, or not-for-profit
corporations: This rulemaking may affect any small business, small
municipality, or not-for-profit corporation in Illinois that owns or operates
a "public water supply," as defined by Section 3.365 of the Act, i.e., it has
at least fifteen service connections or regularly serves an average of at
least 25 individuals daily at least 60 days out of the year, or it is assisting a
public water supply to demonstrate compliance.
F) Agency contact person for information: Address written comments
concerning the substance of the rulemaking, noting docket number R18-9,
as follows:
Don Brown, Clerk
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
Address questions concerning this regulatory agenda, noting docket
number R18-9, as follows:
Michael J. McCambridge, Attorney
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
312/814-6924
G) Related rulemakings and other pertinent information: No other
rulemaking that would affect 35 Ill. Adm. Code 611 is now planned. If
the Board receives a rulemaking proposal under 415 ILCS 5/27 and 28,
however, the Board could initiate a rulemaking at any time.
Section 17.5 of the Environmental Protection Act [415 ILCS 5/17.5]
provides that Title VII of the Act and Section 5 of the Administrative
Procedure Act (APA) shall not apply to this proceeding. Because this
ILLINOIS REGISTER 15417
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rulemaking is not subject to Section 5 of the APA, it is not subject to First
Notice or to Second Notice review by the Joint Committee on
Administrative Rules. However, the Board will cause a Notice of
Proposed Amendments to appear in the Illinois Register, and it will accept
public comments on the proposal for 45 days after the date of publication.
f) Parts (Headings and Code Citations):
RCRA and UIC Permit Programs (35 Ill. Adm. Code 702)
UIC Permit Program (35 Ill. Adm. Code 704)
Procedures for Permit Issuance (35 Ill. Adm. Code 705)
Hazardous Waste Management System: General (35 Ill. Adm. Code 720)
Underground Injection Control Operating Requirements (35 Ill. Adm. Code 730)
Hazardous Waste Injection Restrictions (35 Ill. Adm. Code 738)
1) Rulemaking: Presently reserved docket number R18-10
A) Description: Section 13(c) of the Environmental Protection Act [415
ILCS 5/13(c)] requires the Board to update the Illinois underground
injection control (UIC) regulations to reflect amendments to the United
States Environmental Protection Agency' (USEPA) UIC regulations.
The Board has reserved docket number R18-10 to accommodate any
amendments to the federal UIC regulations, 40 CFR 144 through 148, July
1, 2017 through December 31, 2017. The Board is not now aware of any
federal amendments to the federal UIC rules during this period.
The Board will verify whether any federal actions affecting the UIC
regulations and determine the Board action required by about mid-
February 2018. The Board will then propose corresponding amendments
to the Illinois UIC regulations using the identical-in-substance procedure
or dismiss docket R18-10, as necessary and appropriate.
Section 13(c) requires the Board to complete amendments within one year
of the date on which USEPA adopted the earliest action upon which the
amendments are based. Assuming for the purposes of illustration that
USEPA adopted an amendment that will require Board action on the first
day of the period, on July 1, 2017, the due date for Board adoption of
amendments in docket R18-10 would be July 1, 2018.
ILLINOIS REGISTER 15418
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B) Statutory Authority: Implementing and authorized by Sections 7.2, 13(c)
and 27 of the Environmental Protection Act [415 ILCS 5/7.2, 13(c) & 27].
C) Scheduled meeting/hearing dates: None now scheduled. The Board will
propose any amendments according to the requirements of Sections 27 and
28 of the Act [415 ILCS 5/27 & 28]. No hearing is required in identical-
in-substance proceedings.
D) Date agency anticipates First Notice: The Board cannot now project an
exact date for publication. The Board expects to verify any federal actions
by mid-February 2018, after which the Board will propose any
amendments to the Illinois UIC rules that are necessary in response to
federal amendments. If the due date for Board adoption of amendments in
this docket were assumed to be July 1, 2018, the Board will propose
amendments and cause a Notice of Proposed Amendments to appear in the
Illinois Register by mid-April 2018. This would be sufficiently before the
due date to allow the Board to accept public comments on the proposal for
45 days before adopting any amendments. Alternatively, if no amendment
to the Illinois definition is needed, the Board will promptly dismiss this
reserved docket.
E) Effect on small business, small municipalities, or not-for-profit
corporations: This rulemaking may affect any small business, small
municipality, or not-for-profit corporation in Illinois to the extent the
affected entity engages in the underground injection of waste.
F) Agency contact person for information: Address written comments
concerning the substance of the rulemaking, noting docket number R18-
10, as follows:
Don Brown, Clerk
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
Address questions concerning this regulatory agenda, noting docket
number R18-10, as follows:
ILLINOIS REGISTER 15419
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POLLUTION CONTROL BOARD
JANUARY 2018 REGULATORY AGENDA
Michael J. McCambridge, Attorney
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
312/814-6924
G) Related rulemakings and other pertinent information: The reserved RCRA
Subtitle C update docket for July 1, 2017 through December 31, 2017
(R18-12) (see item (g) below), and other, as yet unknown, unrelated Board
proceedings may affect 35 Ill. Adm. Code 702, 705, or 720. The reserved
RCRA Subtitle C update docket for July 1,.2016 through December 31,
2016 (R17-15), currently under development, will affect 35 Ill. Adm.
Code 35 Ill. Adm. Code 702 and 720. If the Board receives a rulemaking
proposal under 415 ILCS 5/27 and 28, however, the Board could initiate a
rulemaking at any time.
Section 13(c) of the Environmental Protection Act [415 ILCS 5/13(c)]
provides that Title VII of the Act and Section 5 of the Administrative
Procedure Act (APA) shall not apply to this proceeding. Because this
rulemaking is not subject to Section 5 of the APA, it is not subject to First
Notice or to Second Notice review by the Joint Committee on
Administrative Rules. However, the Board will cause a Notice of
Proposed Amendments to appear in the Illinois Register, and it will accept
public comments on the proposal for 45 days after the date of publication.
g) Parts (Headings and Code Citations):
RCRA AND UIC Permit Programs (35 Ill. Adm. Code 702)
RCRA Permit Program (35 Ill. Adm. Code 703)
Procedures for Permit Issuance (35 Ill. Adm. Code 705)
Hazardous Waste Management System: General (35 Ill. Adm. Code 720)
Identification and Listing of Hazardous Waste (35 Ill. Adm. Code 721)
Standards Applicable to Generators of Hazardous Waste (35 Ill. Adm. Code 722)
Standards Applicable to Transporters of Hazardous Waste (35 Ill. Adm. Code 723)
Standards for Owners and Operators of Hazardous Waste Treatment, Storage, and
Disposal Facilities (35 Ill. Adm. Code 724)
ILLINOIS REGISTER 15420
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Interim Status Standards for Owners and Operators of Hazardous Waste Treatment,
Storage, and Disposal Facilities (35 Ill. Adm. Code 725)
Standards for the Management of Specific Hazardous Waste and Specific Types of
Hazardous Waste Management Facilities (35 Ill. Adm. Code 726)
Land Disposal Restrictions (35 Ill. Adm. Code 728)
Standards for Universal Waste Management (35 Ill. Adm. Code 733)
Hazardous Waste Injection Restrictions (35 Ill. Adm. Code 738)
Standards for the Management of Used Oil (35 Ill. Adm. Code 739)
1) Rulemaking: Docket number R18-12
A) Description: Section 22.4(a) of the Environmental Protection Act [415
ILCS 5/22.4(a)] requires the Board to update the Illinois rules
implementing Subtitle C of the federal Resource Conservation and
Recovery Act (RCRA) to reflect the United States Environmental
Protection Agency (USEPA) amendments to the federal RCRA Subtitle C
regulations.
The Board has reserved docket number R18-12 to accommodate any
amendments to the federal RCRA Subtitle C program, 40 CFR 260
through 270, 273, and 279, that USEPA made July 1, 2017 through
December 31, 2017. The Board is not now aware of any federal action
during this period that affected the federal RCRA Subtitle C hazardous
waste regulations. The Board will verify any federal actions that affect the
RCRA Subtitle C regulations and determine the Board action required in
response to each by about mid-February 2018. The Board will then
propose corresponding amendments to the Illinois federal RCRA Subtitle
C-derived hazardous waste regulations using the identical-in-substance
procedure or dismiss docket R18-12, as necessary and appropriate.
Section 22.4(a) requires the Board to complete amendments within one
year of the date on which USEPA adopted the earliest action upon which
the amendments are based. Assuming USEPA adopted an amendment
that will require Board action on the first day of the period, July 1, 2017,
the due date for Board adoption of amendments in docket R18-12 would
be July 1, 2018.
ILLINOIS REGISTER 15421
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B) Statutory Authority: Implementing and authorized by Sections 7.2,
22.4(a), and 27 of the Environmental Protection Act [415 ILCS 5/7.2,
22.4(a) & 27].
C) Scheduled meeting/hearing dates: None now scheduled. The Board will
propose any amendments according to Sections 27 and 28 of the Act [415
ILCS 5/27 & 28]. No hearing is required in identical-in-substance
proceedings.
D) Date agency anticipates First Notice: The Board cannot now project an
exact date for publication. The Board expects to verify any federal actions
by mid-February 2018, after which the Board will propose any
amendments to the Illinois RCRA Subtitle C hazardous waste rules that
are necessary in response to the federal amendments. If the due date for
Board adoption of amendments in this docket is July 1, 2018, the Board
will vote to propose amendments and cause a Notice of Proposed
Amendments to appear in the Illinois Register before mid-March 2018.
This would be sufficiently before the due date to allow the Board to accept
public comments on the proposal for 45 days before adopting any
amendments. It would also allow 30 days after the Board adopts
amendments for USEPA to review the amendments before they are filed
with the Secretary of State.
E) Effect on small business, small municipalities, or not-for-profit
corporations: This rulemaking may affect any small business, small
municipality, or not-for-profit corporation that engages in the generation,
transportation, treatment, storage, or disposal of hazardous waste.
F) Agency contact person for information: Address written comments
concerning the substance of the rulemaking, noting docket number R18-
12, as follows:
Don Brown, Clerk
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
Address questions concerning this regulatory agenda, noting docket
number R18-12, as follows:
ILLINOIS REGISTER 15422
17
POLLUTION CONTROL BOARD
JANUARY 2018 REGULATORY AGENDA
Michael J. McCambridge, Attorney
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
312/814-6924
G) Related rulemakings and other pertinent information: The reserved UIC
update docket for July 1, 2017 through December 31, 2017 (R18-10) (see
item (f) above) and other, as yet unknown, unrelated Board proceedings
may affect 35 Ill. Adm. Code 702, 705, or 720. The reserved RCRA
Subtitle C update docket for July 1, 2016 through December 31, 2016
(R17-15), currently under development, will affect 35 Ill. Adm. Code 35
Ill. Adm. Code 702, 703, 720 through 728, and 733. If the Board receives
a rulemaking proposal under 415 ILCS 5/27 and 28, however, the Board
could initiate a rulemaking at any time.
Section 22.4(a) of the Environmental Protection Act [415 ILCS 5/22.4(a)]
provides that Title VII of the Act and Section 5 of the Administrative
Procedure Act (APA) shall not apply to this proceeding. Because this
rulemaking is not subject to Section 5 of the APA, it is not subject to First
Notice or to Second Notice review by the Joint Committee on
Administrative Rules. However, the Board will cause a Notice of
Proposed Amendments to appear in the Illinois Register, and it will accept
public comments on the proposal for 45 days after the date of publication.
h) Part (Heading and Code Citation): Underground Storage Tanks (35 Ill. Adm. Code 731)
1) Rulemaking: Docket number R18-13
A) Description: Section 22.4(d) of the Environmental Protection Act [415
ILCS 5/22.4(d)] requires the Board to update the Illinois underground
storage tank (UST) regulations to reflect amendments to the United States
Environmental Protection Agency (USEPA) UST regulations. The
requirement specifically excludes federal amendments relating to the
design, construction, installation, general operation, release detection,
ILLINOIS REGISTER 15423
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POLLUTION CONTROL BOARD
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release reporting, release investigation, release confirmation, out-of-
service systems, and closure or financial responsibilities for USTs.
The Board has reserved docket number R18-13 to accommodate any
amendments to 40 CFR 281 through 283 that USEPA may make July 1,
2017 through December 31, 2017. The Board is not now aware of any
federal amendments to the federal UST regulations during this period.
The Board will verify any federal actions and determine the Board action
required in response to each by about mid-February 2018. The Board will
then propose corresponding amendments to the Illinois UST regulations
using the identical-in-substance procedure or dismiss docket R18-13, as
necessary and appropriate.
Section 22.4(d) requires the Board to complete amendments within one
year of the date on which USEPA adopted the earliest action upon which
the amendments are based. Assuming that USEPA adopted an
amendment that will require Board action on July 1, 2017, the due date for
Board adoption of amendments in docket R18-13 is July 1, 2018.
B) Statutory Authority: Implementing and authorized by Sections 7.2,
22.4(d), and 27 of the Environmental Protection Act [415 ILCS 5/7.2,
22.4(d) & 27].
C) Scheduled meeting/hearing dates: None now scheduled. The Board will
propose any amendments according to the requirements of Sections 27 and
28 of the Act [415 ILCS 5/27 & 28]. No hearing is required in identical-
in-substance proceedings.
D) Date agency anticipates First Notice: The Board cannot now project an
exact date for publication. The Board expects to verify any federal actions
by mid-February 2018, after which the Board will propose any
amendments to the Illinois UST regulations that are necessary in response
to the federal amendments. If the due date for Board adoption of
amendments in this docket were assumed to be July 1, 2018, the Board
will propose amendments and cause a Notice of Proposed Amendments to
appear in the Illinois Register before mid-April 2017. This would be
sufficiently before the due date to allow the Board to accept public
comments on the proposal for 45 days before adopting any amendments.
ILLINOIS REGISTER 15424
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POLLUTION CONTROL BOARD
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Alternatively, if no amendment to the Illinois regulations is needed, the
Board will promptly dismiss this reserved docket.
E) Effect on small business, small municipalities, or not-for-profit
corporations: This rulemaking may affect any small business, small
municipality, or not-for-profit corporation that owns or operates a UST.
F) Agency contact person for information: Address written comments
concerning the substance of the rulemaking, noting docket number R18-
13, as follows:
Don Brown, Clerk
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
Address questions concerning this regulatory agenda, noting docket
number R18-13, as follows:
Michael J. McCambridge, Attorney
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
312/814-6924
G) Related rulemakings and other pertinent information: No other
rulemaking that would affect 35 Ill. Adm. Code 731 is now planned. If
the Board receives a rulemaking proposal under 415 ILCS 5/27 and 28,
however, the Board could initiate a rulemaking at any time.
Section 22.4(d) of the Environmental Protection Act [415 ILCS 5/22.4(d)]
provides that Title VII of the Act and Section 5 of the Administrative
Procedure Act (APA) [5 ILCS 100/5-35, 40] shall not apply to this
proceeding. Because this rulemaking is not subject to Section 5 of the
APA, it is not subject to First Notice or to Second Notice review by the
Joint Committee on Administrative Rules. However, the Board will cause
a Notice of Proposed Amendments to appear in the Illinois Register, and it
ILLINOIS REGISTER 15425
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POLLUTION CONTROL BOARD
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will accept public comments on the proposal for 45 days after the date of
publication.
i) Parts (Headings and Code Citations):
Solid Waste (35 Ill. Adm. Code 807)
Solid Waste Disposal: General Provisions (35 Ill. Adm. Code 810)
Standards for New Solid Waste Landfills (35 Ill. Adm. Code 811)
Information to Be Submitted in a Permit Application (35 Ill. Adm. Code 812)
Procedural Requirements for Permitted Landfills (35 Ill. Adm. Code 813)
Interim Standards for Existing Landfills and Units (35 Ill. Adm. Code 814)
Procedural Requirements for All Landfills Exempt from Permits (35 Ill. Adm. Code 815)
1) Rulemaking: Presently reserved docket number R18-11
A) Description: Section 22.40(a) of the Environmental Protection Act [415
ILCS 5/22.40(a)] requires the Board to update the Illinois Resource
Conservation and Recovery Act (RCRA) Subtitle D municipal solid waste
landfill (MSWLF) regulations to reflect United States Environmental
Protection Agency (USEPA) amendments to the federal RCRA Subtitle D
MSWLF rules.
The Board has reserved docket number R18-11 to accommodate any
amendments to the RCRA Subtitle D MSWLF regulations, 40 CFR 258,
that USEPA may make July 1, 2017 through December 31, 2017. The
Board is not now aware of any federal action during this period that
affected the federal RCRA Subtitle D Municipal Solid Waste Landfill
regulations. The Board will verify any federal actions and determine the
Board action required in response to each by about mid-February 2018.
The Board will then propose corresponding amendments to the Illinois
RCRA Subtitle D MSWLF regulations using the identical-in-substance
procedure or dismiss docket R18-11, as necessary and appropriate.
Section 22.40(a) requires the Board to complete amendments within one
year of the date on which USEPA adopted the earliest action upon which
the amendments are based. Assuming USEPA adopted an amendment
that will require Board action on July 1, 2017, the due date for Board
adoption of amendments in docket R18-11 would be July 1, 2018.
ILLINOIS REGISTER 15426
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B) Statutory Authority: Implementing and authorized by Sections 7.2,
22.40(a) and 27 of the Environmental Protection Act [415 ILCS 5/7.2,
22.40(a) & 27].
C) Scheduled meeting/hearing dates: None now scheduled. The Board will
propose any amendments according to Sections 27 and 28 of the Act [415
ILCS 5/27 & 28]. No hearing is required in identical-in-substance
proceedings.
D) Date agency anticipates First Notice: The Board cannot now project an
exact date for publication. The Board expects to verify any federal actions
by mid-February 2018, after which the Board will propose any
amendments to the Illinois RCRA Subtitle D MSWLF rules that are
necessary in response to the federal amendments. If the due date for
Board adoption of amendments in this docket is July 1, 2018, the Board
will vote to propose amendments and cause a Notice of Proposed
Amendments to appear in the Illinois Register by mid-April 2018. This
would be sufficiently before the due date to allow the Board to accept
public comments on the proposal for 45 days before acting to adopt any
amendments.
E) Effect on small business, small municipalities, or not-for-profit
corporations: This rulemaking may affect any small business, small
municipality, or not-for-profit that engages in the land disposal of
municipal solid waste.
F) Agency contact person for information: Address written comments
concerning the substance of the rulemaking, noting docket number R18-
11, as follows:
Don Brown, Clerk
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
Address questions concerning this regulatory agenda, noting docket
number R18-11, as follows:
Michael J. McCambridge, Attorney
ILLINOIS REGISTER 15427
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POLLUTION CONTROL BOARD
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Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
312/814-6924
G) Related rulemakings and other pertinent information: No other
rulemaking that would affect any of 35 Ill. Adm. Code 807and 810
through 815 is now planned. If the Board receives a rulemaking proposal
under 415 ILCS 5/27 and 28, however, the Board could initiate a
rulemaking at any time.
Section 22.40(a) of the Environmental Protection Act [415 ILCS
5/22.40(a)] provides that Title VII of the Act and Section 5 of the
Administrative Procedure Act (APA) shall not apply to this proceeding.
Because this rulemaking is not subject to Section 5 of the APA, it is not
subject to First Notice or to Second Notice review by the Joint Committee
on Administrative Rules. However, the Board will cause a Notice of
Proposed Amendments to appear in the Illinois Register, and it will accept
public comments on the proposal for 45 days after the date of publication.
j) Part (Heading and Code Citation): Waste Surface Impoundments at Power Generating
Facilities (35 Ill. Adm. Code 841) (New Part)
1) Rulemaking: Docket number R14-10
A) Description: On October 28, 2013, the Illinois Environmental Protection
Agency filed a rulemaking proposal to add a Part 841 to the Board’s waste
disposal regulations. The Agency stated that it proposed a generally
applicable rule for coal combustion waste (CCW) surface impoundments
at power generating facilities.
B) Statutory Authority: Implementing and authorized by Sections 12, 13, 22,
27, and 28 of the Environmental Protection Act [415 ILCS 5/12, 13, 22,
27, and 28].
C) Scheduled meeting/hearing dates: Hearings had not now been scheduled.
ILLINOIS REGISTER 15428
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D) Date agency anticipates First Notice: The Board anticipates that a Notice
of Proposed Rules will be published in the Illinois Register within the next
twelve months.
E) Effect on small businesses, small municipalities or not for profit
corporations: As proposed, this rule would apply to surface
impoundments located at electric generating stations.
F) Agency contact person for information: Address written comments
concerning the substance of the rulemaking to:
Don Brown, Clerk
Pollution Control Board
100 West Randolph Street, Suite 11-500
Chicago IL 60601
Address questions concerning this regulatory agenda to:
Nancy Hoepfner
Pollution Control Board
100 W. Randolph St.
Chicago IL 60601
312/814-6085
G) Related rulemakings and other pertinent information: Interested persons
may contact the Board about its prospective rulemaking proposal. No
other rulemaking that would affect the proposed Part 841 is now planned.
ILLINOIS REGISTER 15429
17
PROPERTY TAX APPEAL BOARD
JANUARY 2018 REGULATORY AGENDA
a) Part (Heading and Code Citations): Practice and Procedure for Appeals Before the
Property Tax Appeal Board (86 Ill. Adm. Code 1910).
1) Rulemaking:
A) Description: The Property Tax Appeal Board anticipates amending the
following rules:
Section 1910.30: Reduce the number of copies of petitions and
documentary evidence that must be submitted by a contesting party in
certain appeals filed for 2016 and subsequent tax years.
Section 1910.40: Reduce the number of copies of the Board of Review
Notes on Appeal and documentary evidence that must be submitted by the
board of review in certain appeals filed for 2016 and subsequent tax years.
Section 1910.50: Provide that a taxpayer may file an appeal or appeals
directly to the Property Tax Appeal Board for the subsequent year or the
remaining years of the general assessment period within 30 days of a
Property Tax Appeal Board decision reducing the assessment of the
property if the decision is issued after the deadline for filing complaints
with the board of review or after the adjournment of the session of the
board of review at which assessments for the subsequent year or years of
the same general assessment period are being considered.
Section 1910.60: Provide that a taxpayer may file an appeal or appeals
directly to the Property Tax Appeal Board for the subsequent year or the
remaining years of the general assessment period within 30 days of a
Property Tax Appeal Board decision reducing the assessment of the
property if the decision is issued after the deadline for filing complaints
with the board of review or after the adjournment of the session of the
board of review at which assessments for the subsequent year or years of
the same general assessment period are being considered. Reduce the
number of copies of the Request to Intervene and documentary evidence
that must be submitted by a taxpayer/owner or a taxing body in certain
appeals filed for 2016 and subsequent tax years.
B) Statutory Authority: [35 ILCS 200/Art. 7] and [35 ILCS 200/16-160
through 16-195].
ILLINOIS REGISTER 15430
17
PROPERTY TAX APPEAL BOARD
JANUARY 2018 REGULATORY AGENDA
C) Scheduled meeting/hearing dates: None.
D) Date agency anticipates First Notice: Winter 2018
E) Effect on small businesses, small municipalities or not-for-profit
corporations: None
F) Agency contact person for information:
Louis G. Apostol, JD, CAE
Executive Director & General Counsel
Property Tax Appeal Board
Stratton Office Building, Room 402
401 South Spring Street
Springfield IL 62706
217/785-4456 or 847.294.4399
fax: 217/785-4425
email: [email protected]
G) Related rulemakings and other pertinent information: None
ILLINOIS REGISTER 15431
17
DEPARTMENT OF TRANSPORTATION
JANUARY 2018 REGULATORY AGENDA
a) Part (Heading and Code Citation): Motor Vehicle Accident Data (92 Ill. Adm. Code 452)
1) Rulemaking:
A) Description: Effective January 2, 2018, the Illinois Vehicle Code requires
the payment of a fee prior to the release of motor vehicle accident data by
the Department. The Department will be introducing a new Part that will
establish the fee and the procedures that must be followed in order to
request motor vehicle accident data.
B) Statutory Authority: Implementing and authorized by Section 11-417 of
the Illinois Vehicle Code. [625 ILCS 5/11-417]
C) Scheduled meeting/hearing date: None scheduled
D) Date agency anticipates First Notice: Within six months
E) Effect on small businesses, small municipalities, or not-for-profit
corporations: These amendments will affect small businesses and not-for-
profit corporations that request accident data from the Department.
F) Agency contact person for information:
Greg Stucka, Rules Manager
Illinois Department of Transportation
2300 S. Dirksen Parkway, Room 317
Springfield IL 62764
G) Related rulemakings and other pertinent information: None
b) Part (Heading and Code Citation): Rail Freight Program (92 Ill. Adm. Code 800)
1) Rulemaking:
A) Description: The Department plans to introduce a general update to this
rule to account for organizational and statutory changes that have occurred
since the rule was last updated.
ILLINOIS REGISTER 15432
17
DEPARTMENT OF TRANSPORTATION
JANUARY 2018 REGULATORY AGENDA
B) Statutory Authority: Implementing and authorized by Section 435 of the
Department of Transportation Law. [20 ILCS 2705/2705-435]
C) Scheduled meeting/hearing date: None scheduled
D) Date agency anticipates First Notice: Within six months
E) Effect on small businesses, small municipalities, or not-for-profit
corporations: This rulemaking may affect small businesses or small
municipalities that choose to enter into a loan agreement with the state to
improve or construct rail facilities.
F) Agency contact person for information:
Greg Stucka, Rules Manager
Illinois Department of Transportation
2300 S. Dirksen Parkway, Room 317
Springfield IL 62764
G) Related rulemakings and other pertinent information: None
c) Part (Heading and Code Citation): Local Rail Service Assistance Program (92 Ill. Adm.
Code 810)
1) Rulemaking:
A) Description: The Department plans to introduce a general update to this
rule to account for organizational and statutory changes that have occurred
since the rule was last updated.
B) Statutory Authority: Implementing and authorized by Section 435 of the
Department of Transportation Law. [20 ILCS 2705/2705-435]
C) Scheduled meeting/hearing date: None scheduled
D) Date agency anticipates First Notice: Within six months
ILLINOIS REGISTER 15433
17
DEPARTMENT OF TRANSPORTATION
JANUARY 2018 REGULATORY AGENDA
E) Effect on small businesses, small municipalities, or not-for-profit
corporations: This rulemaking may affect small businesses or small
municipalities that choose to enter into a loan agreement with the state to
improve or construct rail facilities.
F) Agency contact person for information:
Greg Stucka, Rules Manager
Illinois Department of Transportation
2300 S. Dirksen Parkway, Room 317
Springfield IL 62764
G) Related rulemakings and other pertinent information: None
ILLINOIS ADMINISTRATIVE CODE Issue Index - With Effective Dates
Rules acted upon in Volume 41, Issue 51 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 68 - 1330 ..................... 15130 89 - 117 ..................... 15167 50 - 2006 ..................... 15172 50 - 2015 ..................... 15176 50 - 2905 ..................... 15182 50 - 4001 ..................... 15189 11 - 100 ..................... 15193 86 - 100 ..................... 15198 2 - 560 ..................... 15222 80 - 250 ..................... 15224 ADOPTED RULES 89 - 240 1/1/2018 ..................... 15233 89 - 336 12/6/2017 ..................... 15260 77 - 1235 12/5/2017 ..................... 15310 92 - 455 12/5/2017 ..................... 15326 80 - 1600 12/5/2017 ..................... 15353 EMERGENCY RULES 2 - 560 12/8/2017 ..................... 15373 NOTICE OF CORRECTIONS 8 - 290 ..................... 15390 REGULATORY AGENDA 44 - 6 ..................... 15399 23 - 1501 ..................... 15400 35 - 211 ..................... 15405 86 - 1910 ..................... 15429 92 - 452 ..................... 15431
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