illinoisissue# rules due date date of issue 1 december 27, 2016 january 6, 2017 2 january 3, 2017...

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

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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

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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

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____________

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



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



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



ILLINOIS REGISTER 15130

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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


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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:


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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


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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


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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.


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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.


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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.


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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.


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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


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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.


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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


17



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


17



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.


17



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.


17



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


17



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


17



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;


17



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


17



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


17



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.


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:


17



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.


17



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.


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;


17



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


17



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;


17



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.


17



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:


17



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


17



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.


17



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


17



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


17



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.


17



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.


17



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.


17



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.


17



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.


17



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.


17





17

DEPARTMENT OF HUMAN SERVICES

NOTICE OF PROPOSED AMENDMENT

1) Heading of the Part: Related Program Provisions


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




11) Statement of Statewide Policy Objective: This rulemaking does not create or expand a

State mandate.


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


17




217/785-9772



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:


17



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


17



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


17



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.



17

DEPARTMENT OF INSURANCE

NOTICE OF PROPOSED REPEALER

1) Heading of the Part: Required Benefits for Mental, Emotional or Nervous Disorders



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.



None

7) Will this repealer replace any emergency rule currently in effect? No

8) Does this repealer contain an automatic repeal date? No






12) Time, Place and Manner in which interested persons may comment on this proposed




17



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



affected: 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:


17



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


17



"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.


17



1) Heading of the Part: Infertility Coverage



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.



None









17






Felicia Page, Assistant General Counsel or Susan Anders, Rules Coordinator




217/524-5433 217/558-0957

fax: 217/524-9033



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.


The full text of the Proposed Amendments begins on the next page:


17



TITLE 50: 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 ____________.


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.


17



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.


17



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.



17



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.



17



1) Heading of the Part: Registration of Workers' Compensation Utilization Review

Organizations



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.



None











Felicia Page, Assistant General Counsel or Susan Anders, Rules Coordinator


17






217/524-5433 217/558-0957

fax: 217/524-9033



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.




17



TITLE 50: 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

____________.


17



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 -


17



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


17



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.


17



(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



17



1) Heading of the Part: Privacy of Personal Information



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.



None












17



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



affected: Not applicable

B) Reporting, bookkeeping or other procedures required for compliance: Not

applicable

C) Types of professional skills necessary for compliance: Not applicable


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:


17



TITLE 50: 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].


17




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.


17

THE ILLINOIS LIQUOR CONTROL COMMISSION


1) Heading of the Part: The Illinois Liquor Control Commission



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




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





100.285 Amendment 41 Ill. Reg. 14998; December 15, 2017








17



11) Statement of Statewide Policy Objective: This rulemaking does not create a State

mandate, nor does it modify any existing State mandates.


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


217/782-2844



affected: Any business issued a license by the Illinois Liquor Control

Commission




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.



17



TITLE 11: ALCOHOL, HORSE RACING, LOTTERY, AND VIDEO GAMING

SUBTITLE A: ALCOHOL

CHAPTER I: ILLINOIS LIQUOR CONTROL COMMISSION

PART 100


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


17



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;


17



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.



17

DEPARTMENT OF REVENUE


1) Heading of the Part: Income Tax



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.


rulemaking: None



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.


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


17



Legal Services Office

101 West Jefferson


217/782-2844



affected: This rulemaking provides guidance needed by partnerships to determine

their income subject to Personal Property Tax Replacement Income Tax.



14) Regulatory Agenda on which this rulemaking was summarized: July 2017



17



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)


17



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


Groups: Treatment by Members of the Unitary Business Group (IITA Section

202) − Definitions



202) − Current Net Operating Losses: Offsets Between Members



202) − Carrybacks and Carryforwards


Groups: Treatment by Members of the Unitary Business Group: (IITA Section

202) − Effect of Combined Net Operating Loss in Computing Illinois Base

Income


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


17



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


17



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


17



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)


17



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


17



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


17



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


17



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


17



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;


17



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;


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


17



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,


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;


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;


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;


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;


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;


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,


14217, effective November 7, 2017; amended at 42 Ill. Reg. ______, effective ____________.

SUBPART I: BASE INCOME OF PARTNERSHIPS


17



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


17



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.


17



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.


17



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


17



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


17



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:


17



(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)).


17




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.


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


17



$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


17



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 ____________)


17

SECRETARY OF STATE


1) Heading of the Part: Lobbyist Registration and Reports



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.


rulemaking: None

7) Will this rulemaking replace any emergency rule currently in effect? Yes




11) Statement of Statewide Policy Objective: The proposed amendments do not require

expenditures by units of local government.


rulemaking: Written comments may be submitted within 45 days to:


17

SECRETARY OF STATE


Amy Williams

Assistant Legal Advisor

298 Howlett Building


217/785-3094

[email protected]

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.



affected: None




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.


17



1) Heading of the Part: State Universities Civil Service System



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.


rulemaking: None





11) Statement of Statewide Policy Objective: This proposed rulemaking will not create or

expand a State mandate.


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


17



State Universities Civil Service System

1717 Philo Road, Suite 24

Urbana IL 61802

217/278-3150

emails: [email protected] & [email protected]



affected: None



14) Regulatory Agenda on which this rulemaking was summarized: The Agency did not

anticipate this rulemaking.



17



TITLE 80: PUBLIC OFFICIALS AND EMPLOYEES

SUBTITLE A: MERIT EMPLOYMENT SYSTEMS

CHAPTER VI: STATE UNIVERSITIES CIVIL SERVICE SYSTEM

PART 250


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


17



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;


effective November 13, 2007; amended at 32 Ill. Reg. 17268, effective October 16, 2008;


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


17



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.


17



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


17



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.


17



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


17



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.



17

DEPARTMENT ON AGING

NOTICE OF ADOPTED AMENDMENTS

1) Heading of the Part: Community Care Program


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



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


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


17

DEPARTMENT ON AGING


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


217/785-3346

The full text of the Adopted Amendments begins on the next page:


17

DEPARTMENT ON AGING



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


17

DEPARTMENT ON AGING


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


17

DEPARTMENT ON AGING


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


17

DEPARTMENT ON AGING


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


17

DEPARTMENT ON AGING


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


17

DEPARTMENT ON AGING


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


17

DEPARTMENT ON AGING


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


17

DEPARTMENT ON AGING


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


17

DEPARTMENT ON AGING


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,


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


17

DEPARTMENT ON AGING


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.


17

DEPARTMENT ON AGING


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.


17

DEPARTMENT ON AGING


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.


17

DEPARTMENT ON AGING


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


17

DEPARTMENT ON AGING


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.


17

DEPARTMENT ON AGING


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)


17

DEPARTMENT ON AGING


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:


17

DEPARTMENT ON AGING


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;


17

DEPARTMENT ON AGING


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


17

DEPARTMENT ON AGING


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


17

DEPARTMENT ON AGING


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


17

DEPARTMENT ON AGING


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.


SUBPART S: PROVIDER RATES


17

DEPARTMENT ON AGING


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.


17

DEPARTMENT ON AGING


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.


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


17

DEPARTMENT ON AGING


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


17

DEPARTMENT ON AGING


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.



17

DEPARTMENT OF CHILDREN AND FAMILY SERVICES


1) Heading of the Part: Appeal of Child Abuse and Neglect Investigation Findings



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


7) Does this rule contain incorporations by reference? No


17



8) A copy of the adopted rules, including any materials incorporated by reference, is on file


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;


17



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.


agreements issued by JCAR? Yes



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).


Jeff Osowski

Office of Child and Family Policy

Department of Children and Family Services

406 E. Monroe, Station #65


217/ 524-1983

TDD: 217/524-3715

e-mail: [email protected]



17




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


17



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.


"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


17



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.


17



"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,


17



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;


17



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.


17



"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.


17



"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


17



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]


17



"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]


17



"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


17



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;


17



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.


17




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


17



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.


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.


17



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;


17



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).


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.


17



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


17



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.


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.


17



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.


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


17



being presented in that segment.


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


17



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.


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


17



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:


17



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


17



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


17



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.


17



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


17



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


17



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.


17



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


17



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.


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


17



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;


17



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).


17



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;


17



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;


17



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


17



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.


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


17



hear one or more of the appeals.


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


17



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.


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


17



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.


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


17



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.


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.


Section 336.180 Interpreters and Translation of Documents

a) A party whose primary language of preference is not English, or who will


17



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.


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;


17



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.


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


17



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.


Section 336.210 Record of an Administrative Hearing


17



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).


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


17



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


17



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).



17

HEALTH FACILITIES AND SERVICES REVIEW BOARD


1) Heading of the Part: Health Care Worker Self-Referral



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]




8) A copy of the adopted rules, including any material incorporated by reference, is on file


9) Notice of Proposed published in the Illinois Register: 41 Ill. Reg. 6317; June 2, 2017


11) Differences between Proposal and Final Version: None


17




agreements issued by JCAR? No changes were made.



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.


Jeannie Mitchell

General Counsel

Health Facilities and Services Review Board

69 W. Washington Street, Suite 3501

Chicago IL 60602

312/814-2678

[email protected]



17



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


1235.50 Definitions

SUBPART B: REFERRALS

Section

1235.100 Prohibited Referrals

1235.110 Allowable Referrals

SUBPART C: COMMUNITY NEED EXCEPTION

Section


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


1235.310 Request for Opinion – Completeness Review

1235.320 Request for Opinion – State Board Review


17



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].


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.


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


17



convenience of their patients. [225 ILCS 47/5](Section 5 of the Act)


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)



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,


17



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,


17



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.


SUBPART B: REFERRALS


17



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


4) The entity markets or furnishes its services to referring health care worker


17



investors and other health care workers on equal terms [225 ILCS


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


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


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)


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)


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


17



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.


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


17



B) the equipment representing an advancement in technology

thatwhich will make available medical procedures not possible on

existing equipment.


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.


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


17



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


17



have been met will be provided upon request for a period of two years following

exception issuance.


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


17



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.


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


17



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.


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


17



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.



17

DEPARTMENT OF TRANSPORTATION


1) Heading of the Part: Illinois Cycle Rider Safety Training Program



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].



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


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.


17



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.



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.


Greg Stucka, Rules Manager

Illinois Department of Transportation

Office of Chief Counsel

2300 South Dirksen Parkway, Room 317




17



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


455.30 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;


December 5, 2017.


"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


17



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.


17



"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


17



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.


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


17



(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


17



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.


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.


17



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;


17



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;


17



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:


17



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


17



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


Bureau of Safety Programs and

EngineeringDivision of Traffic Safety

2300 South Dirksen Parkway, Room 007P.O. Box

19212

1340 North 9th Street


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


17



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;


17



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.


17



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.


17




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


17



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


17



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.


17



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


17



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


17



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.


17



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.


17



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.


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


17



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.



17



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


Department of Community Health

Champaign, Cook, Ford,

Iroquois, Kankakee,

Vermilion, Will


17



#4 Gerty Drive

Champaign, Illinois 61820

(800)252-3348

(217)333-7856

http://mrp.illinois.edu

Region CD Southern Illinois University

Carbondale


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



17



1) Heading of the Part: Universities Retirement



1600.500 Amendment

1600.720 Amendment

4) Statutory Authority: 40 ILCS 5/15-177




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


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.


agreements issued by JCAR? Yes




17



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.


Albert Lee, Associate General Counsel

State Universities Retirement System

1901 Fox Drive

Champaign IL 61820

217/378-8861 or 217/378-8813



17



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


17



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


17



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,


effective February 9, 1998; amended at 23 Ill. Reg. 13667, effective November 1, 1999;


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,


17




14351, effective September 6, 2005; amended at 30 Ill. Reg. 6170, effective March 21, 2006;


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,


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


17



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


17



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


17



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.


17



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


17



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;


17



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


17



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


17



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


17



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


17



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


17



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,


17



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.


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.;


17



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


17



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.



17

SECRETARY OF STATE

NOTICE OF EMERGENCY AMENDMENTS

1) Heading of the Part: Lobbyist Registration and Reports


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


17

SECRETARY OF STATE


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


217/785-3094

[email protected]

The full text of the Emergency Amendments begins on the next page:


17

SECRETARY OF STATE


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


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SECRETARY OF STATE


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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SECRETARY OF STATE


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


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SECRETARY OF STATE



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)


17

SECRETARY OF STATE


"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.


17

SECRETARY OF STATE


"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,


17

SECRETARY OF STATE


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,


17

SECRETARY OF STATE


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:


17

SECRETARY OF STATE


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;


17

SECRETARY OF STATE


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


17

SECRETARY OF STATE


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.



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


17

SECRETARY OF STATE


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


17

SECRETARY OF STATE


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


17

SECRETARY OF STATE


Commission and are subject to the penalties of the State Officials and

Employees Ethics Act.



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;


17

SECRETARY OF STATE


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)


17

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


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.


17



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


17



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



Service



290.170 Stallion Siring Foal Must Qualify In Order For Foal to be Eligible for Registration

as an Illinois Conceived and Foaled Horse (Repealed)




290.180 Stallion Qualification Procedures (Repealed)

290.185 Qualifications for Illinois Conceived and Foaled Thoroughbred 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



Service



290.240 Requirements for Transported Fresh Semen of a Certified Stallion



17





290.260 Qualifications for Illinois Conceived and Foaled Quarter 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


17



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.


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


17



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.


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.


17



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.



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


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


for Packagings (New Part) (92 Ill. Adm. Code

178)

10/20/17

41 Ill. Reg.

13084

1/2018


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


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


2300 South Dirksen Parkway


Telephone: 217/558-5434

G) Related rulemakings and other pertinent information: None


17

ILLINOIS COMMUNITY COLLEGE BOARD


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.


Matt Berry

Rules Coordinator

Illinois Community College Board

401 East Capitol Avenue

Springfield IL 6270

217/785-7411

fax: 217/524-4981


2) Rulemaking:

A) Description: The Board proposes to amend its rules regarding local

community college district reporting. Public Act 100-0195 adds a new


17



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]


D) Date agency anticipates First Notice: February 2018





Matt Berry

Rules Coordinator



Springfield IL 6270

217/785-7411

fax: 217/524-4981


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]


D) Date agency anticipates First Notice: Summer 2018


17







Matt Berry

Rules Coordinator



Springfield IL 6270

217/785-7411

fax: 217/524-4981


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]


D) Date agency anticipates First Notice: Summer/Fall 2018





Matt Berry

Rules Coordinator




17



Springfield IL 6270

217/785-7411

fax: 217/524-4981


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]


D) Date agency anticipates First Notice: Fall 2018





Matt Berry

Rules Coordinator



Springfield IL 6270

217/785-7411

fax: 217/524-4981



17



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]


D) Date agency anticipates First Notice: April 2018



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.


Matt Berry

Rules Coordinator



Springfield IL 6270

217/785-7411

fax: 217/524-4981



17



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.


17



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


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:


17



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



Chicago IL 60601

312/814-6924

[email protected]

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)


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


17



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.


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


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


17



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].


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.



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.



15, as follows:


17



Don Brown, Clerk



Chicago IL 60601

Address questions concerning this regulatory agenda, noting docket

number R18-15, as follows:




Chicago IL 60601

312-814-6924

[email protected]

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)


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


17



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.


corporations: This proposed site-specific rule would affect the Sanitary

District of Decatur.


concerning the substance of the rulemaking to:

Don Brown, Clerk



Chicago IL 60601

Address questions concerning this regulatory agenda to:

Tetyana Rabczak


100 W. Randolph St.

Chicago IL 60601

[email protected]

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)


17



Pretreatment Programs (35 Ill. Adm. Code 310)


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).


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.


17



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].


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



Alternatively, if no amendment to the Illinois wastewater pretreatment

rules is needed, the Board will promptly dismiss this reserved docket.



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.



14, as follows:

Don Brown, Clerk



Chicago IL 60601


17








Chicago IL 60601

312/814-6924

[email protected]

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)


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.


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


17



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


amendments are based. Assuming USEPA adopted an amendment that

will require Board action on July 27, 2017, the due date for Board


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].


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.




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


17



amendments. Alternatively, if no amendment to the Illinois definition is

needed, the Board will promptly dismiss this reserved docket.



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.


concerning the substance of the rulemaking, noting docket number R18-9,

as follows:

Don Brown, Clerk



Chicago IL 60601






Chicago IL 60601

312/814-6924

[email protected]


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,


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


17




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.


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


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.


17



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].


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.




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


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.



municipality, or not-for-profit corporation in Illinois to the extent the

affected entity engages in the underground injection of waste.



10, as follows:

Don Brown, Clerk



Chicago IL 60601




17






Chicago IL 60601

312/814-6924

[email protected]

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)]








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)


17



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)


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.


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.


17



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].


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.




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


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.



municipality, or not-for-profit corporation that engages in the generation,

transportation, treatment, storage, or disposal of hazardous waste.



12, as follows:

Don Brown, Clerk



Chicago IL 60601




17






Chicago IL 60601

312/814-6924

[email protected]

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)]








h) Part (Heading and Code Citation): Underground Storage Tanks (35 Ill. Adm. Code 731)


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,


17



release reporting, release investigation, release confirmation, out-of-

service systems, and closure or financial responsibilities for USTs.


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


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.


22.4(d), and 27 of the Environmental Protection Act [415 ILCS 5/7.2,

22.4(d) & 27].


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.




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




17



Alternatively, if no amendment to the Illinois regulations is needed, the

Board will promptly dismiss this reserved docket.



municipality, or not-for-profit corporation that owns or operates a UST.



13, as follows:

Don Brown, Clerk



Chicago IL 60601






Chicago IL 60601

312/814-6924

[email protected]


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,


Section 22.4(d) of the Environmental Protection Act [415 ILCS 5/22.4(d)]


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


17



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.


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


the amendments are based. Assuming USEPA adopted an amendment

that will require Board action on July 1, 2017, the due date for Board



17




22.40(a) and 27 of the Environmental Protection Act [415 ILCS 5/7.2,

22.40(a) & 27].


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.




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


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.



municipality, or not-for-profit that engages in the land disposal of

municipal solid waste.



11, as follows:

Don Brown, Clerk



Chicago IL 60601





17





Chicago IL 60601

312/814-6924

[email protected]


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



j) Part (Heading and Code Citation): Waste Surface Impoundments at Power Generating

Facilities (35 Ill. Adm. Code 841) (New Part)


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.


17



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.


corporations: As proposed, this rule would apply to surface

impoundments located at electric generating stations.


concerning the substance of the rulemaking to:

Don Brown, Clerk



Chicago IL 60601

Address questions concerning this regulatory agenda to:

Nancy Hoepfner


100 W. Randolph St.

Chicago IL 60601

312/814-6085

[email protected]

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.


17



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].


17



C) Scheduled meeting/hearing dates: None.

D) Date agency anticipates First Notice: Winter 2018


corporations: None


Louis G. Apostol, JD, CAE

Executive Director & General Counsel

Property Tax Appeal Board

Stratton Office Building, Room 402

401 South Spring Street


217/785-4456 or 847.294.4399

fax: 217/785-4425

email: [email protected]



17



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]


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.




2300 S. Dirksen Parkway, Room 317



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.


17



B) Statutory Authority: Implementing and authorized by Section 435 of the

Department of Transportation Law. [20 ILCS 2705/2705-435]




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.







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]




17




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.







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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