illinois...subsection (f)(2), in-hire rates effective january 1, 2017 are added for the department...

ILLINOIS REGISTER RULES

OF GOVERNMENTAL AGENCIES

PUBLISHED BY JESSE WHITE • SECRETARY OF STATE

Index DepartmentAdministrative Code Division111 E. Monroe St.Springfield, IL 62756217-782-7017www.cyberdriveillinois.com

Printed on recycled paper

i

TABLE OF CONTENTS

January 13, 2017 Volume 41, Issue 2

PROPOSED RULES CENTRAL MANAGEMENT SERVICES, DEPARTMENT OF

Pay Plan

80 Ill. Adm. Code 310............................................................................213

EDUCATIONAL LABOR RELATIONS BOARD, ILLINOIS

Freedom of Information (Repealer)

2 Ill. Adm. Code 2676............................................................................279

Access to Records of the Illinois Labor Educational Relatons Board

2 Ill. Adm. Code 2676............................................................................289

INSURANCE, DEPARTMENT OF

Acquisition of Control of a Domestic Company

50 Ill. Adm. Code 651............................................................................312

Pre-Acquisition Notification

50 Ill. Adm. Code 653............................................................................332

Prior Notification of Dividends on Common Stock and

Other Distributions

50 Ill. Adm. Code 655............................................................................340

ADOPTED RULES COMMERCE COMMISSION, ILLINOIS

Standards of Service for Gas Utilities (Repealer)

83 Ill. Adm. Code 500............................................................................349

Standards of Service for Gas Utilities and Alternative Gas Suppliers

83 Ill. Adm. Code 501............................................................................351

GAMING BOARD, ILLINOIS

Riverboat Gambling

86 Ill. Adm. Code 3000..........................................................................380

HUMAN SERVICES, DEPARTMENT OF

Temporary Assistance for Needy Families

89 Ill. Adm. Code 112............................................................................395

SECRETARY OF STATE

Issuance of Licenses

92 Ill. Adm. Code 1030..........................................................................438

Regulations Under Securities Law of 1953

14 Ill. Adm. Code 130............................................................................451

Procedures and Standards

92 Ill. Adm. Code 1001..........................................................................473

SECOND NOTICES RECEIVED JOINT COMMITTEE ON ADMINISTRATIVE RULES

Second Notices Received...............................................................................526

REGULATORY AGENDA EMERGENCY MANAGEMENT AGENCY, ILLINOIS

ii

Political Subdivision Emergency Services and Disaster Agencies

29 Ill. Adm. Code 301............................................................................528

FINANCIAL AND PROFESSIONAL REGULATION, DEPARTMENT OF

The Barber, Cosmetology, Esthetics, Hair Braiding, and

Nail Technology Act of 1985

68 Ill. Adm. Code 1175..........................................................................548

HOUSING DEVELOPMENT AUTHORITY, ILLINOIS

Rental Housing Support Program

47 Ill. Adm. Code 380............................................................................559

HUMAN RIGHTS, DEPARTMENT OF

Procedural Rules

56 Ill. Adm. Code 5300..........................................................................565

HUMAN SERVICES, DEPARTMENT OF

Standards and Requirements for Community Integrated

Living Arrangements

59 Ill. Adm. Code 115............................................................................566

JUVENILE JUSTICE, DEPARTMENT OF

Juvenile Delinquent Release

20 Ill. Adm. Code 2460..........................................................................591

OFFICE OF THE TREASURER

E-Pay Program

74 Ill. Adm. Code 735............................................................................592

RACING BOARD, ILLINOIS

Illinois Racing Board

11 Ill. Adm. Code 200............................................................................594

REVENUE, DEPARTMENT OF

Income Tax

86 Ill. Adm. Code 100............................................................................605

TEACHERS' RETIREMENT SYSTEM OF THE STATE OF ILLINOIS

The Administration and Operation of the

Teachers' Retirement System

80 Ill. Adm. Code 1650..........................................................................616

EXECUTIVE ORDERS AND PROCLAMATIONS PROCLAMATIONS

Linda Yu Day

2017-321…………….............................................................................617

Enrolled Agent Week

2017-322…………….............................................................................617

Mentoring Month

2017-323..……………...........................................................................618

Monarch Butterfly Month

2017-324…………….............................................................................619

University of Illinois Day

2017-325…………….............................................................................620

Career and Technical Education Month

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2017-326…………….............................................................................621

Flag Lowering Order for PFC Tyler Iubelt

2017-327…………….............................................................................622

Toys for Tots Day

2017-328…………….............................................................................623

Cervical Cancer Awareness Month

2017-329…………….............................................................................623

Crime Stoppers of Lake County Month

2017-330…………….............................................................................624

Illinois Society of Association Executives Day

2017-331…………….............................................................................625

'Get the Lead Out' Hackathon Day

2017-332…………….............................................................................626

Martin Luther King, Jr. Day of Service

2017-333…………….............................................................................627

Chicago Business Opportunity Days

2017-334…………….............................................................................628

Radon Action Month

2017-335…………….............................................................................629

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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

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

v

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 213

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DEPARTMENT OF CENTRAL MANAGEMENT SERVICES

NOTICE OF PROPOSED AMENDMENTS

1) Heading of the Part: Pay Plan

2) Code Citation: 80 Ill. Adm. Code 310

3) Section Numbers: Proposed Actions:

310.47 Amendment

310.260 Amendment

310.410 Amendment

310.Appendix A Table I Amendment

4) Statutory Authority: Authorized by Sections 8, 8a and 9(7) of the Personnel Code [20

ILCS 415/8, 20 ILCS 415/8a, 20 ILCS 415/8c, 20 ILCS 415/8e, 20 ILCS 415/9(7) and 20

ILCS 415/9(14)], subsection (d) of Section 1‑5 of the Illinois Administrative Procedure

Act [5 ILCS 100/1-5(d)] and by Sections 4, 6, 15 and 21 of the Illinois Public Labor

Relations Act [5 ILCS 315/4, 5 ILCS 315/6, 5 ILCS 315/15 and 5 ILCS 315/21]

5) A Complete Description of the Subjects and Issues Involved: In Section 310.47

subsection (f)(2), in-hire rates effective January 1, 2017 are added for the Department of

Transportation (DOT) temporary employees appointed to non-bargaining-unit positions

allocated to the Bridge Tender, Deck Hand and Ferry Operator I titles. For the Bridge

Tender and Ferry Operator I titles to which the MS-18 salary range are assigned, the in-

hire rate is $4,696 per month. For the Deck Hand title to which the MS-15 salary range

are assigned, the in-hire rate is $4,512 per month.

In Section 310.260, the Corrections Treatment Officer Trainee title (title code 09866)

with its assigned MS-13 salary range and the Retirement Benefits Representative Trainee

title (title code 38316) with its MS-07 salary range are added to the title table. The Public

Service Trainee title (title code 37025) with its assigned MS-01 salary range is removed.

The titles are established or abolished as indicated in the paragraph below regarding

Section 310.410.

In Section 310.410, the Corrections Treatment Officer title (title code 09864) with its

assigned MS-20 salary range, Corrections Treatment Officer Supervisor title (title code

09865) with its assigned MS-27 salary range, Corrections Treatment Officer Trainee title

(title code 09866) with its assigned MS-13 salary range, and Corrections Treatment

Senior Security Supervisor title (title code 09867) with its assigned MS-31 salary range

are added. The titles are established effective November 1, 2016 as approved by the

Civil Service Commission. The Physical Therapy Aide I title (title code 32191) with its

assigned MS-03 salary range and the Public Service Trainee title (title code 37025) with


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its assigned MS-01 salary range are removed. The titles are abolished effective

December 1, 2016 as approved by the Civil Service Commission. The Retirement

Benefits Representative title (title code 38313) with its assigned MS-09 salary range,

Retirement Benefits Representative Supervisor title (title code 38314) with its MS-11

salary range, and Retirement Benefits Representative Trainee title (title code 38316) with

its MS-07 salary range are added. The titles are established effective January 1, 2017 as

approved by the Civil Service Commission.

In Section 310.Appendix A Table I, the Physical Therapy Aide I title (title code 32191)

with its assigned RC-009-04 pay grade is removed from the title table. The title is

abolished effective December 1, 2016 as approved by the Civil Service Commission.

6) Published studies or reports, and sources of underlying data, used to compose this

rulemaking: The documents used are: DOT November 9, 2016 Letter to the CMS Acting

Director Requesting the In-Hire Rates; CMS Acting Director December 21, 2016

Approval of the DOT In-Hire Rates; CMS Classification Plan Review Proposal/Change

Report (CMS112) effective November 1, 2016 signed and dated as approved by the Civil

Service Commission effective for the establishment of the Corrections Treatment Officer,

Corrections Treatment Officer Supervisor, Corrections Treatment Officer Trainee, and

Corrections Treatment Senior Security Supervisor titles; Classification Plan Review

Proposal/Change Report (CMS112) effective December 1, 2016 signed and dated as

approved by the Civil Service Commission effective for the abolishment of the Physical

Therapy Aide I title; Classification Plan Review Proposal/Change Report (CMS112)

effective December 1, 2016 signed and dated as approved by the Civil Service

Commission effective for the abolishment of the Public Service Trainee title; and

Classification Plan Review Proposal/Change Report (CMS112) effective January 1, 2017

signed and dated as approved by the Civil Service Commission effective for the

establishment of the Retirement Benefits Representative, Retirement Benefits

Representative Supervisor, and Retirement Benefits Representative Trainee titles.

7) Will this rulemaking replace an emergency rule currently in effect? No

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

9) Does this rulemaking contain incorporations by reference? No

10) Are there any other rulemakings pending on this Part? Yes

Section Numbers: Proposed Actions: Illinois Register Citations:


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310.47 Amendment 40 Ill. Reg. 14827; November 4, 2016



310.Appendix A

Table D Amendment 40 Ill. Reg. 14827; November 4, 2016

Table E Amendment 40 Ill. Reg. 14827; November 4, 2016

Table F Amendment 40 Ill. Reg. 14827; November 4, 2016

Table T Amendment 40 Ill. Reg. 14827; November 4, 2016

Table W Amendment 40 Ill. Reg. 14827; November 4, 2016

Table AA Amendment 40 Ill. Reg. 14827; November 4, 2016

310.Appendix A

Table L Amendment 40 Ill. Reg. 15444; November 18, 2016

11) Statement of Statewide Policy Objective: This amendment to the Pay Plan affect only the

employees subject to the Personnel Code and do not set out any guidelines that affect

local or other jurisdictions in the State.

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

rulemaking:

Mr. Jason Doggett

Manager

Compensation Section

Division of Technical Services

Bureau of Personnel

Department of Central Management Services

503 William G. Stratton Building

Springfield IL 62706

217/524-1055

fax: 217/558-4497

[email protected]

13) Initial Regulatory Flexibility Analysis:

A) Types of small businesses, small municipalities and not-for-profit corporations

affected: None

B) Reporting, bookkeeping or other procedures required for compliance: None


17



C) Types of professional skills necessary for compliance: None

14) Regulatory Agenda on which this rulemaking was summarized: The changes in this

rulemaking are in the July 2016 Regulatory Agenda.

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


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TITLE 80: PUBLIC OFFICIALS AND EMPLOYEES

SUBTITLE B: PERSONNEL RULES, PAY PLANS, AND

POSITION CLASSIFICATIONS

CHAPTER I: DEPARTMENT OF CENTRAL MANAGEMENT SERVICES

PART 310

PAY PLAN

SUBPART A: NARRATIVE

Section

310.20 Policy and Responsibilities

310.30 Jurisdiction

310.40 Pay Schedules

310.45 Comparison of Pay Grades or Salary Ranges Assigned to Classifications

310.47 In-Hire Rate

310.50 Definitions

310.60 Conversion of Base Salary to Pay Period Units

310.70 Conversion of Base Salary to Daily or Hourly Equivalents

310.80 Increases in Pay

310.90 Decreases in Pay

310.100 Other Pay Provisions

310.110 Implementation of Pay Plan Changes (Repealed)

310.120 Interpretation and Application of Pay Plan

310.130 Effective Date

310.140 Reinstitution of Within Grade Salary Increases (Repealed)

310.150 Fiscal Year 1985 Pay Changes in Schedule of Salary Grades, effective July 1,

1984 (Repealed)

SUBPART B: SCHEDULE OF RATES

Section

310.205 Introduction

310.210 Prevailing Rate

310.220 Negotiated Rate

310.230 Part-Time Daily or Hourly Special Services Rate (Repealed)

310.240 Daily or Hourly Rate Conversion

310.250 Member, Patient and Inmate Rate

310.260 Trainee Rate


17



310.270 Legislated Rate (Repealed)

310.280 Designated Rate

310.290 Out-of-State Rate (Repealed)

310.295 Foreign Service Rate (Repealed)

310.300 Educator Schedule for RC-063 and HR-010

310.310 Physician Specialist Rate

310.320 Annual Compensation Ranges for Executive Director and Assistant Executive

Director, State Board of Elections (Repealed)

310.330 Excluded Classes Rate (Repealed)

SUBPART C: MERIT COMPENSATION SYSTEM

Section

310.410 Jurisdiction

310.415 Merit Compensation Salary Range Assignments

310.420 Objectives

310.430 Responsibilities

310.440 Merit Compensation Salary Schedule

310.450 Procedures for Determining Annual Merit Increases and Bonuses

310.455 Intermittent Merit Increase (Repealed)

310.456 Merit Zone (Repealed)

310.460 Other Pay Increases

310.470 Adjustment

310.480 Decreases in Pay

310.490 Other Pay Provisions

310.495 Broad-Band Pay Range Classes

310.500 Definitions

310.510 Conversion of Base Salary to Pay Period Units (Repealed)

310.520 Conversion of Base Salary to Daily or Hourly Equivalents

310.530 Implementation

310.540 Annual Merit Increase and Bonus Guidechart

310.550 Fiscal Year 1985 Pay Changes in Merit Compensation System, effective July 1,

1984 (Repealed)

310.560 Merit Incentive Program

310.570 Gain Sharing Program

SUBPART D: FROZEN NEGOTIATED-RATES-OF-PAY DUE TO

FISCAL YEAR APPROPRIATIONS AND EXPIRED SALARY SCHEDULES IN

COLLECTIVE BARGAINING UNIT AGREEMENTS


17



Section

310.600 Jurisdiction (Repealed)

310.610 Pay Schedules (Repealed)

310.620 In-Hiring Rate (Repealed)

310.630 Definitions (Repealed)

310.640 Increases in Pay (Repealed)

310.650 Other Pay Provisions (Repealed)

310.660 Effective Date (Repealed)

310.670 Negotiated Rate (Repealed)

310.680 Trainee Rate (Repealed)

310.690 Educator Schedule for Frozen RC-063 and Frozen HR-010 (Repealed)

310.APPENDIX A Negotiated Rates of Pay

310.TABLE A RC-104 (Conservation Police Supervisors, Illinois Fraternal Order of

Police Labor Council)

310.TABLE B VR-706 (Assistant Automotive Shop Supervisors, Automotive Shop

Supervisors and Meat and Poultry Inspector Supervisors, Laborers' −

ISEA Local #2002)

310.TABLE C RC-056 (Site Superintendents and Departments of Veterans' Affairs,

Natural Resources, Human Services and Agriculture and Historic

Preservation Agency Managers, IFPE)

310.TABLE D HR-001 (Teamsters Local #700)

310.TABLE E RC-020 (Teamsters Locals #330 and #705)

310.TABLE F RC-019 (Teamsters Local #25)

310.TABLE G RC-045 (Automotive Mechanics, IFPE)

310.TABLE H RC-006 (Corrections Employees, AFSCME)

310.TABLE I RC-009 (Institutional Employees, AFSCME)

310.TABLE J RC-014 (Clerical Employees, AFSCME)

310.TABLE K RC-023 (Registered Nurses, INA)

310.TABLE L RC-008 (Boilermakers)

310.TABLE M RC-110 (Conservation Police Lodge)

310.TABLE N RC-010 (Professional Legal Unit, AFSCME)

310.TABLE O RC-028 (Paraprofessional Human Services Employees, AFSCME)

310.TABLE P RC-029 (Paraprofessional Investigatory and Law Enforcement

Employees, IFPE)

310.TABLE Q RC-033 (Meat Inspectors, IFPE)

310.TABLE R RC-042 (Residual Maintenance Workers, AFSCME)

310.TABLE S VR-704 (Departments of Corrections, Financial and Professional


17



Regulation, Juvenile Justice and State Police Supervisors, Laborers' –

ISEA Local #2002)

310.TABLE T HR-010 (Teachers of Deaf, IFT)

310.TABLE U HR-010 (Teachers of Deaf, Extracurricular Paid Activities)

310.TABLE V CU-500 (Corrections Meet and Confer Employees)

310.TABLE W RC-062 (Technical Employees, AFSCME)

310.TABLE X RC-063 (Professional Employees, AFSCME)

310.TABLE Y RC-063 (Educators, Educator Trainees, Juvenile Justice School

Counselors and Special Education Resources Coordinators, AFSCME)

310.TABLE Z RC-063 (Physicians, AFSCME)

310.TABLE AA NR-916 (Departments of Central Management Services, Natural

Resources and Transportation, Teamsters)

310.TABLE AB RC-150 (Public Service Administrators Option 6, AFSCME)

(Repealed)

310.TABLE AC RC-036 (Public Service Administrators Option 8L Department of

Healthcare and Family Services, INA)

310.TABLE AD RC-184 (Blasting Experts, Blasting Specialists and Blasting

Supervisors Department of Natural Resources, SEIU Local 73)

310.TABLE AE RC-090 (Internal Security Investigators, Metropolitan Alliance of

Police Chapter 294)

310.APPENDIX B Frozen Negotiated-Rates-of-Pay (Repealed)

310.TABLE A Frozen RC-104-Rates-of-Pay (Conservation Police Supervisors,

Laborers' – ISEA Local #2002) (Repealed)

310.TABLE C Frozen RC-056-Rates-of-Pay (Site Superintendents and

Departments of Veterans' Affairs, Natural Resources, Human

Services and Agriculture and Historic Preservation Agency

Managers, IFPE) (Repealed)

310.TABLE H Frozen RC-006-Rates-of-Pay (Corrections Employees, AFSCME)

(Repealed)

310.TABLE I Frozen RC-009-Rates-of-Pay (Institutional Employees, AFSCME)

(Repealed)

310.TABLE J Frozen RC-014-Rates-of-Pay (Clerical Employees, AFSCME)

(Repealed)

310.TABLE K Frozen RC-023-Rates-of-Pay (Registered Nurses, INA) (Repealed)

310.TABLE M Frozen RC-110-Rates-of-Pay (Conservation Police Lodge)

(Repealed)

310.TABLE N Frozen RC-010 (Professional Legal Unit, AFSCME) (Repealed)

310.TABLE O Frozen RC-028-Rates-of-Pay (Paraprofessional Human Services

Employees, AFSCME) (Repealed)


17



310.TABLE P Frozen RC-029-Rates-of-Pay (Paraprofessional Investigatory and

Law Enforcement Employees, IFPE) (Repealed)

310.TABLE R Frozen RC-042-Rates-of-Pay (Residual Maintenance Workers,

AFSCME) (Repealed)

310.TABLE S Frozen VR-704-Rates-of-Pay (Departments of Corrections,

Financial and Professional Regulation, Juvenile Justice and State

Police Supervisors, Laborers' – ISEA Local #2002) (Repealed)

310.TABLE T Frozen HR-010-Rates-of-Pay (Teachers of Deaf, IFT) (Repealed)

310.TABLE V Frozen CU-500-Rates-of-Pay (Corrections Meet and Confer

Employees) (Repealed)

310.TABLE W Frozen RC-062-Rates-of-Pay (Technical Employees, AFSCME)

(Repealed)

310.TABLE X Frozen RC-063-Rates-of-Pay (Professional Employees, AFSCME)

(Repealed)

310.TABLE Y Frozen RC-063-Rates-of-Pay (Educators and Educator Trainees,

AFSCME) (Repealed)

310.TABLE Z Frozen RC-063-Rates-of-Pay (Physicians, AFSCME) (Repealed)

310.TABLE AB Frozen RC-150-Rates-of-Pay (Public Service Administrators

Option 6, AFSCME) (Repealed)

310.TABLE AD Frozen RC-184-Rates-of-Pay (Public Service Administrators

Option 8X Department of Natural Resources, SEIU Local 73)

(Repealed)

310.TABLE AE Frozen RC-090-Rates-of-Pay (Internal Security Investigators,

Metropolitan Alliance of Police Chapter 294) (Repealed)

310.APPENDIX C Comparison of Pay Grades or Salary Ranges Assigned to Classifications

310.ILLUSTRATION A Classification Comparison Flow Chart: Both Classes are

Whole

310.ILLUSTRATION B Classification Comparison Flow Chart: One Class is Whole

and One is Divided

310.ILLUSTRATION C Classification Comparison Flow Chart: Both Classes are

Divided

310.APPENDIX D Merit Compensation System Salary Schedule

310.APPENDIX E Teaching Salary Schedule (Repealed)

310.APPENDIX F Physician and Physician Specialist Salary Schedule (Repealed)

310.APPENDIX G Broad-Band Pay Range Classes Salary Schedule

AUTHORITY: Implementing and authorized by Sections 8 and 8a of the Personnel Code [20

ILCS 415/8 and 8a].


17



SOURCE: Filed June 28, 1967; codified at 8 Ill. Reg. 1558; emergency amendment at 8 Ill. Reg.

1990, effective January 31, 1984, for a maximum of 150 days; amended at 8 Ill. Reg. 2440,

effective February 15, 1984; emergency amendment at 8 Ill. Reg. 3348, effective March 5, 1984,

for a maximum of 150 days; emergency amendment at 8 Ill. Reg. 4249, effective March 16,

1984, for a maximum of 150 days; emergency amendment at 8 Ill. Reg. 5704, effective April 16,

1984, for a maximum of 150 days; emergency amendment at 8 Ill. Reg. 7290, effective May 11,

1984, for a maximum of 150 days; amended at 8 Ill. Reg. 11299, effective June 25, 1984;

emergency amendment at 8 Ill. Reg. 12616, effective July 1, 1984, for a maximum of 150 days;

emergency amendment at 8 Ill. Reg. 15007, effective August 6, 1984, for a maximum of 150

days; amended at 8 Ill. Reg. 15367, effective August 13, 1984; emergency amendment at 8 Ill.

Reg. 21310, effective October 10, 1984, for a maximum of 150 days; amended at 8 Ill. Reg.

21544, effective October 24, 1984; amended at 8 Ill. Reg. 22844, effective November 14, 1984;

emergency amendment at 9 Ill. Reg. 1134, effective January 16, 1985, for a maximum of 150

days; amended at 9 Ill. Reg. 1320, effective January 23, 1985; amended at 9 Ill. Reg. 3681,

effective March 12, 1985; emergency amendment at 9 Ill. Reg. 4163, effective March 15, 1985,

for a maximum of 150 days; emergency amendment at 9 Ill. Reg. 9231, effective May 31, 1985,

for a maximum of 150 days; amended at 9 Ill. Reg. 9420, effective June 7, 1985; amended at 9

Ill. Reg. 10663, effective July 1, 1985; emergency amendment at 9 Ill. Reg. 15043, effective

September 24, 1985, for a maximum of 150 days; amended at 10 Ill. Reg. 3230, effective

January 24, 1986; peremptory amendment at 10 Ill. Reg. 3325, effective January 22, 1986;

emergency amendment at 10 Ill. Reg. 8904, effective May 13, 1986, for a maximum of 150 days;

peremptory amendment at 10 Ill. Reg. 8928, effective May 13, 1986; emergency amendment at

10 Ill. Reg. 12090, effective June 30, 1986, for a maximum of 150 days; peremptory amendment

at 10 Ill. Reg. 13675, effective July 31, 1986; peremptory amendment at 10 Ill. Reg. 14867,

effective August 26, 1986; amended at 10 Ill. Reg. 15567, effective September 17, 1986;

emergency amendment at 10 Ill. Reg. 17765, effective September 30, 1986, for a maximum of

150 days; peremptory amendment at 10 Ill. Reg. 19132, effective October 28, 1986; peremptory

amendment at 10 Ill. Reg. 21097, effective December 9, 1986; amended at 11 Ill. Reg. 648,

effective December 22, 1986; peremptory amendment at 11 Ill. Reg. 3363, effective February 3,

1987; peremptory amendment at 11 Ill. Reg. 4388, effective February 27, 1987; peremptory

amendment at 11 Ill. Reg. 6291, effective March 23, 1987; amended at 11 Ill. Reg. 5901,

effective March 24, 1987; emergency amendment at 11 Ill. Reg. 8787, effective April 15, 1987,

for a maximum of 150 days; emergency amendment at 11 Ill. Reg. 11830, effective July 1, 1987,

for a maximum of 150 days; peremptory amendment at 11 Ill. Reg. 13675, effective July 29,

1987; amended at 11 Ill. Reg. 14984, effective August 27, 1987; peremptory amendment at 11

Ill. Reg. 15273, effective September 1, 1987; peremptory amendment at 11 Ill. Reg. 17919,

effective October 19, 1987; peremptory amendment at 11 Ill. Reg. 19812, effective November

19, 1987; emergency amendment at 11 Ill. Reg. 20664, effective December 4, 1987, for a

maximum of 150 days; amended at 11 Ill. Reg. 20778, effective December 11, 1987; peremptory


17



amendment at 12 Ill. Reg. 3811, effective January 27, 1988; peremptory amendment at 12 Ill.

Reg. 5459, effective March 3, 1988; amended at 12 Ill. Reg. 6073, effective March 21, 1988;

emergency amendment at 12 Ill. Reg. 7734, effective April 15, 1988, for a maximum of 150

days; peremptory amendment at 12 Ill. Reg. 7783, effective April 14, 1988; peremptory

amendment at 12 Ill. Reg. 8135, effective April 22, 1988; peremptory amendment at 12 Ill. Reg.

9745, effective May 23, 1988; emergency amendment at 12 Ill. Reg. 11778, effective July 1,

1988, for a maximum of 150 days; emergency amendment at 12 Ill. Reg. 12895, effective July

18, 1988, for a maximum of 150 days; peremptory amendment at 12 Ill. Reg. 13306, effective

July 27, 1988; corrected at 12 Ill. Reg. 13359; amended at 12 Ill. Reg. 14630, effective

September 6, 1988; amended at 12 Ill. Reg. 20449, effective November 28, 1988; peremptory

amendment at 12 Ill. Reg. 20584, effective November 28, 1988; peremptory amendment at 13

Ill. Reg. 8080, effective May 10, 1989; amended at 13 Ill. Reg. 8849, effective May 30, 1989;

peremptory amendment at 13 Ill. Reg. 8970, effective May 26, 1989; emergency amendment at

13 Ill. Reg. 10967, effective June 20, 1989, for a maximum of 150 days; emergency amendment

expired November 17, 1989; amended at 13 Ill. Reg. 11451, effective June 28, 1989; emergency

amendment at 13 Ill. Reg. 11854, effective July 1, 1989, for a maximum of 150 days; corrected

at 13 Ill. Reg. 12647; peremptory amendment at 13 Ill. Reg. 12887, effective July 24, 1989;

amended at 13 Ill. Reg. 16950, effective October 20, 1989; amended at 13 Ill. Reg. 19221,

effective December 12, 1989; amended at 14 Ill. Reg. 615, effective January 2, 1990; peremptory

amendment at 14 Ill. Reg. 1627, effective January 11, 1990; amended at 14 Ill. Reg. 4455,

effective March 12, 1990; peremptory amendment at 14 Ill. Reg. 7652, effective May 7, 1990;

amended at 14 Ill. Reg. 10002, effective June 11, 1990; emergency amendment at 14 Ill. Reg.

11330, effective June 29, 1990, for a maximum of 150 days; amended at 14 Ill. Reg. 14361,

effective August 24, 1990; emergency amendment at 14 Ill. Reg. 15570, effective September 11,

1990, for a maximum of 150 days; emergency amendment expired February 8, 1991; corrected at

14 Ill. Reg. 16092; peremptory amendment at 14 Ill. Reg. 17098, effective September 26, 1990;


effective October 19, 1990; amended at 14 Ill. Reg. 18719, effective November 13, 1990;

peremptory amendment at 14 Ill. Reg. 18854, effective November 13, 1990; peremptory

amendment at 15 Ill. Reg. 663, effective January 7, 1991; amended at 15 Ill. Reg. 3296, effective

February 14, 1991; amended at 15 Ill. Reg. 4401, effective March 11, 1991; peremptory

amendment at 15 Ill. Reg. 5100, effective March 20, 1991; peremptory amendment at 15 Ill.

Reg. 5465, effective April 2, 1991; emergency amendment at 15 Ill. Reg. 10485, effective July 1,

1991, for a maximum of 150 days; amended at 15 Ill. Reg. 11080, effective July 19, 1991;

amended at 15 Ill. Reg. 13080, effective August 21, 1991; amended at 15 Ill. Reg. 14210,

effective September 23, 1991; emergency amendment at 16 Ill. Reg. 711, effective December 26,

1991, for a maximum of 150 days; amended at 16 Ill. Reg. 3450, effective February 20, 1992;

peremptory amendment at 16 Ill. Reg. 5068, effective March 11, 1992; peremptory amendment

at 16 Ill. Reg. 7056, effective April 20, 1992; emergency amendment at 16 Ill. Reg. 8239,


17



effective May 19, 1992, for a maximum of 150 days; amended at 16 Ill. Reg. 8382, effective

May 26, 1992; emergency amendment at 16 Ill. Reg. 13950, effective August 19, 1992, for a

maximum of 150 days; emergency amendment at 16 Ill. Reg. 14452, effective September 4,

1992, for a maximum of 150 days; amended at 17 Ill. Reg. 238, effective December 23, 1992;

peremptory amendment at 17 Ill. Reg. 498, effective December 18, 1992; amended at 17 Ill. Reg.

590, effective January 4, 1993; amended at 17 Ill. Reg. 1819, effective February 2, 1993;

amended at 17 Ill. Reg. 6441, effective April 8, 1993; emergency amendment at 17 Ill. Reg.

12900, effective July 22, 1993, for a maximum of 150 days; amended at 17 Ill. Reg. 13409,

effective July 29, 1993; emergency amendment at 17 Ill. Reg. 13789, effective August 9, 1993,

for a maximum of 150 days; emergency amendment at 17 Ill. Reg. 14666, effective August 26,

1993, for a maximum of 150 days; amended at 17 Ill. Reg. 19103, effective October 25, 1993;

emergency amendment at 17 Ill. Reg. 21858, effective December 1, 1993, for a maximum of 150

days; amended at 17 Ill. Reg. 22514, effective December 15, 1993; amended at 18 Ill. Reg. 227,

effective December 17, 1993; amended at 18 Ill. Reg. 1107, effective January 18, 1994; amended

at 18 Ill. Reg. 5146, effective March 21, 1994; peremptory amendment at 18 Ill. Reg. 9562,

effective June 13, 1994; emergency amendment at 18 Ill. Reg. 11299, effective July 1, 1994, for

a maximum of 150 days; peremptory amendment at 18 Ill. Reg. 13476, effective August 17,

1994; emergency amendment at 18 Ill. Reg. 14417, effective September 9, 1994, for a maximum

of 150 days; amended at 18 Ill. Reg. 16545, effective October 31, 1994; peremptory amendment

at 18 Ill. Reg. 16708, effective October 28, 1994; amended at 18 Ill. Reg. 17191, effective

November 21, 1994; amended at 19 Ill. Reg. 1024, effective January 24, 1995; peremptory

amendment at 19 Ill. Reg. 2481, effective February 17, 1995; peremptory amendment at 19 Ill.

Reg. 3073, effective February 17, 1995; amended at 19 Ill. Reg. 3456, effective March 7, 1995;

peremptory amendment at 19 Ill. Reg. 5145, effective March 14, 1995; amended at 19 Ill. Reg.

6452, effective May 2, 1995; peremptory amendment at 19 Ill. Reg. 6688, effective May 1, 1995;

amended at 19 Ill. Reg. 7841, effective June 1, 1995; amended at 19 Ill. Reg. 8156, effective

June 12, 1995; amended at 19 Ill. Reg. 9096, effective June 27, 1995; emergency amendment at

19 Ill. Reg. 11954, effective August 1, 1995, for a maximum of 150 days; peremptory

amendment at 19 Ill. Reg. 13979, effective September 19, 1995; peremptory amendment at 19

Ill. Reg. 15103, effective October 12, 1995; amended at 19 Ill. Reg. 16160, effective November

28, 1995; amended at 20 Ill. Reg. 308, effective December 22, 1995; emergency amendment at

20 Ill. Reg. 4060, effective February 27, 1996, for a maximum of 150 days; peremptory


7434, effective May 14, 1996; amended at 20 Ill. Reg. 8301, effective June 11, 1996; amended at

20 Ill. Reg. 8657, effective June 20, 1996; amended at 20 Ill. Reg. 9006, effective June 26, 1996;

amended at 20 Ill. Reg. 9925, effective July 10, 1996; emergency amendment at 20 Ill. Reg.

10213, effective July 15, 1996, for a maximum of 150 days; amended at 20 Ill. Reg. 10841,

effective August 5, 1996; peremptory amendment at 20 Ill. Reg. 13408, effective September 24,

1996; amended at 20 Ill. Reg. 15018, effective November 7, 1996; peremptory amendment at 20


17



Ill. Reg. 15092, effective November 7, 1996; emergency amendment at 21 Ill. Reg. 1023,

effective January 6, 1997, for a maximum of 150 days; amended at 21 Ill. Reg. 1629, effective

January 22, 1997; amended at 21 Ill. Reg. 5144, effective April 15, 1997; amended at 21 Ill. Reg.

6444, effective May 15, 1997; amended at 21 Ill. Reg. 7118, effective June 3, 1997; emergency

amendment at 21 Ill. Reg. 10061, effective July 21, 1997, for a maximum of 150 days;


150 days; peremptory amendment at 21 Ill. Reg. 14267, effective October 14, 1997; peremptory

amendment at 21 Ill. Reg. 14589, effective October 15, 1997; peremptory amendment at 21 Ill.

Reg. 15030, effective November 10, 1997; amended at 21 Ill. Reg. 16344, effective December 9,

1997; peremptory amendment at 21 Ill. Reg. 16465, effective December 4, 1997; peremptory

amendment at 21 Ill. Reg. 17167, effective December 9, 1997; peremptory amendment at 22 Ill.

Reg. 1593, effective December 22, 1997; amended at 22 Ill. Reg. 2580, effective January 14,


amendment at 22 Ill. Reg. 5108, effective February 26, 1998; peremptory amendment at 22 Ill.


peremptory amendment at 22 Ill. Reg. 7053, effective April 1, 1998; peremptory amendment at

22 Ill. Reg. 7320, effective April 10, 1998; peremptory amendment at 22 Ill. Reg. 7692, effective

April 20, 1998; emergency amendment at 22 Ill. Reg. 12607, effective July 2, 1998, for a

maximum of 150 days; peremptory amendment at 22 Ill. Reg. 15489, effective August 7, 1998;

amended at 22 Ill. Reg. 16158, effective August 31, 1998; peremptory amendment at 22 Ill. Reg.

19105, effective September 30, 1998; peremptory amendment at 22 Ill. Reg. 19943, effective

October 27, 1998; peremptory amendment at 22 Ill. Reg. 20406, effective November 5, 1998;

amended at 22 Ill. Reg. 20581, effective November 16, 1998; amended at 23 Ill. Reg. 664,

effective January 1, 1999; peremptory amendment at 23 Ill. Reg. 730, effective December 29,

1998; emergency amendment at 23 Ill. Reg. 6533, effective May 10, 1999, for a maximum of

150 days; amended at 23 Ill. Reg. 7065, effective June 3, 1999; emergency amendment at 23 Ill.

Reg. 8169, effective July 1, 1999, for a maximum of 150 days; amended at 23 Ill. Reg. 11020,

effective August 26, 1999; amended at 23 Ill. Reg. 12429, effective September 21, 1999;

peremptory amendment at 23 Ill. Reg. 12493, effective September 23, 1999; amended at 23 Ill.

Reg. 12604, effective September 24, 1999; amended at 23 Ill. Reg. 13053, effective September

27, 1999; peremptory amendment at 23 Ill. Reg. 13132, effective October 1, 1999; amended at

23 Ill. Reg. 13570, effective October 26, 1999; amended at 23 Ill. Reg. 14020, effective

November 15, 1999; amended at 24 Ill. Reg. 1025, effective January 7, 2000; peremptory

amendment at 24 Ill. Reg. 3399, effective February 3, 2000; amended at 24 Ill. Reg. 3537,

effective February 18, 2000; amended at 24 Ill. Reg. 6874, effective April 21, 2000; amended at

24 Ill. Reg. 7956, effective May 23, 2000; emergency amendment at 24 Ill. Reg. 10328, effective

July 1, 2000, for a maximum of 150 days; emergency expired November 27, 2000; peremptory

amendment at 24 Ill. Reg. 10767, effective July 3, 2000; amended at 24 Ill. Reg. 13384, effective

August 17, 2000; peremptory amendment at 24 Ill. Reg. 14460, effective September 14, 2000;


17



peremptory amendment at 24 Ill. Reg. 16700, effective October 30, 2000; peremptory

amendment at 24 Ill. Reg. 17600, effective November 16, 2000; amended at 24 Ill. Reg. 18058,

effective December 4, 2000; peremptory amendment at 24 Ill. Reg. 18444, effective December 1,

2000; amended at 25 Ill. Reg. 811, effective January 4, 2001; amended at 25 Ill. Reg. 2389,

effective January 22, 2001; amended at 25 Ill. Reg. 4552, effective March 14, 2001; peremptory

amendment at 25 Ill. Reg. 5067, effective March 21, 2001; amended at 25 Ill. Reg. 5618,

effective April 4, 2001; amended at 25 Ill. Reg. 6655, effective May 11, 2001; amended at 25 Ill.

Reg. 7151, effective May 25, 2001; peremptory amendment at 25 Ill. Reg. 8009, effective June

14, 2001; emergency amendment at 25 Ill. Reg. 9336, effective July 3, 2001, for a maximum of

150 days; amended at 25 Ill. Reg. 9846, effective July 23, 2001; amended at 25 Ill. Reg. 12087,

effective September 6, 2001; amended at 25 Ill. Reg. 15560, effective November 20, 2001;

peremptory amendment at 25 Ill. Reg. 15671, effective November 15, 2001; amended at 25 Ill.

Reg. 15974, effective November 28, 2001; emergency amendment at 26 Ill. Reg. 223, effective

December 21, 2001, for a maximum of 150 days; amended at 26 Ill. Reg. 1143, effective January

17, 2002; amended at 26 Ill. Reg. 4127, effective March 5, 2002; peremptory amendment at 26

Ill. Reg. 4963, effective March 15, 2002; amended at 26 Ill. Reg. 6235, effective April 16, 2002;

emergency amendment at 26 Ill. Reg. 7314, effective April 29, 2002, for a maximum of 150

days; amended at 26 Ill. Reg. 10425, effective July 1, 2002; emergency amendment at 26 Ill.

Reg. 10952, effective July 1, 2002, for a maximum of 150 days; amended at 26 Ill. Reg. 13934,

effective September 10, 2002; amended at 26 Ill. Reg. 14965, effective October 7, 2002;

emergency amendment at 26 Ill. Reg. 16583, effective October 24, 2002, for a maximum of 150

days; emergency expired March 22, 2003; peremptory amendment at 26 Ill. Reg. 17280,

effective November 18, 2002; amended at 26 Ill. Reg. 17374, effective November 25, 2002;

amended at 26 Ill. Reg. 17987, effective December 9, 2002; amended at 27 Ill. Reg. 3261,

effective February 11, 2003; expedited correction at 28 Ill. Reg. 6151, effective February 11,

2003; amended at 27 Ill. Reg. 8855, effective May 15, 2003; amended at 27 Ill. Reg. 9114,

effective May 27, 2003; emergency amendment at 27 Ill. Reg. 10442, effective July 1, 2003, for

a maximum of 150 days; emergency expired November 27, 2003; peremptory amendment at 27

Ill. Reg. 17433, effective November 7, 2003; amended at 27 Ill. Reg. 18560, effective December

1, 2003; peremptory amendment at 28 Ill. Reg. 1441, effective January 9, 2004; amended at 28

Ill. Reg. 2684, effective January 22, 2004; amended at 28 Ill. Reg. 6879, effective April 30,

2004; peremptory amendment at 28 Ill. Reg. 7323, effective May 10, 2004; amended at 28 Ill.

Reg. 8842, effective June 11, 2004; peremptory amendment at 28 Ill. Reg. 9717, effective June

28, 2004; amended at 28 Ill. Reg. 12585, effective August 27, 2004; peremptory amendment at

28 Ill. Reg. 13011, effective September 8, 2004; peremptory amendment at 28 Ill. Reg. 13247,

effective September 20, 2004; peremptory amendment at 28 Ill. Reg. 13656, effective September

27, 2004; emergency amendment at 28 Ill. Reg. 14174, effective October 15, 2004, for a

maximum of 150 days; emergency expired March 13, 2005; peremptory amendment at 28 Ill.

Reg. 14689, effective October 22, 2004; peremptory amendment at 28 Ill. Reg. 15336, effective


17



November 15, 2004; peremptory amendment at 28 Ill. Reg. 16513, effective December 9, 2004;

peremptory amendment at 29 Ill. Reg. 726, effective December 15, 2004; amended at 29 Ill. Reg.

1166, effective January 7, 2005; peremptory amendment at 29 Ill. Reg. 1385, effective January 4,

2005; peremptory amendment at 29 Ill. Reg. 1559, effective January 11, 2005; peremptory

amendment at 29 Ill. Reg. 2050, effective January 19, 2005; peremptory amendment at 29 Ill.

Reg. 4125, effective February 23, 2005; amended at 29 Ill. Reg. 5375, effective April 4, 2005;


29 Ill. Reg. 7217, effective May 6, 2005; peremptory amendment at 29 Ill. Reg. 7840, effective

May 10, 2005; amended at 29 Ill. Reg. 8110, effective May 23, 2005; peremptory amendment at

29 Ill. Reg. 8214, effective May 23, 2005; peremptory amendment at 29 Ill. Reg. 8418, effective

June 1, 2005; amended at 29 Ill. Reg. 9319, effective July 1, 2005; peremptory amendment at 29

Ill. Reg. 12076, effective July 15, 2005; peremptory amendment at 29 Ill. Reg. 13265, effective

August 11, 2005; amended at 29 Ill. Reg. 13540, effective August 22, 2005; peremptory

amendment at 29 Ill. Reg. 14098, effective September 2, 2005; amended at 29 Ill. Reg. 14166,

effective September 9, 2005; amended at 29 Ill. Reg. 19551, effective November 21, 2005;

emergency amendment at 29 Ill. Reg. 20554, effective December 2, 2005, for a maximum of 150

days; peremptory amendment at 29 Ill. Reg. 20693, effective December 12, 2005; peremptory

amendment at 30 Ill. Reg. 623, effective December 28, 2005; peremptory amendment at 30 Ill.

Reg. 1382, effective January 13, 2006; amended at 30 Ill. Reg. 2289, effective February 6, 2006;

peremptory amendment at 30 Ill. Reg. 4157, effective February 22, 2006; peremptory

amendment at 30 Ill. Reg. 5687, effective March 7, 2006; peremptory amendment at 30 Ill. Reg.

6409, effective March 30, 2006; amended at 30 Ill. Reg. 7857, effective April 17, 2006; amended

at 30 Ill. Reg. 9438, effective May 15, 2006; peremptory amendment at 30 Ill. Reg. 10153,

effective May 18, 2006; peremptory amendment at 30 Ill. Reg. 10508, effective June 1, 2006;

amended at 30 Ill. Reg. 11336, effective July 1, 2006; emergency amendment at 30 Ill. Reg.

12340, effective July 1, 2006, for a maximum of 150 days; peremptory amendment at 30 Ill.

Reg. 12418, effective July 1, 2006; amended at 30 Ill. Reg. 12761, effective July 17, 2006;

peremptory amendment at 30 Ill. Reg. 13547, effective August 1, 2006; peremptory amendment

at 30 Ill. Reg. 15059, effective September 5, 2006; peremptory amendment at 30 Ill. Reg. 16439,

effective September 27, 2006; emergency amendment at 30 Ill. Reg. 16626, effective October 3,

2006, for a maximum of 150 days; peremptory amendment at 30 Ill. Reg. 17603, effective

October 20, 2006; amended at 30 Ill. Reg. 18610, effective November 20, 2006; peremptory


Ill. Reg. 230, effective December 20, 2006; emergency amendment at 31 Ill. Reg. 1483, effective

January 1, 2007, for a maximum of 150 days; peremptory amendment at 31 Ill. Reg. 2485,

effective January 17, 2007; peremptory amendment at 31 Ill. Reg. 4445, effective February 28,

2007; amended at 31 Ill. Reg. 4982, effective March 15, 2007; peremptory amendment at 31 Ill.

Reg. 7338, effective May 3, 2007; amended at 31 Ill. Reg. 8901, effective July 1, 2007;



17



peremptory amendment at 31 Ill. Reg. 10496, effective July 6, 2007; peremptory amendment at

31 Ill. Reg. 12335, effective August 9, 2007; emergency amendment at 31 Ill. Reg. 12608,

effective August 16, 2007, for a maximum of 150 days; emergency amendment at 31 Ill. Reg.

13220, effective August 30, 2007, for a maximum of 150 days; peremptory amendment at 31 Ill.

Reg. 13357, effective August 29, 2007; amended at 31 Ill. Reg. 13981, effective September 21,

2007; peremptory amendment at 31 Ill. Reg. 14331, effective October 1, 2007; amended at 31 Ill.

Reg. 16094, effective November 20, 2007; amended at 31 Ill. Reg. 16792, effective December

13, 2007; peremptory amendment at 32 Ill. Reg. 598, effective December 27, 2007; amended at

32 Ill. Reg. 1082, effective January 11, 2008; peremptory amendment at 32 Ill. Reg. 3095,

effective February 13, 2008; peremptory amendment at 32 Ill. Reg. 6097, effective March 25,

2008; peremptory amendment at 32 Ill. Reg. 7154, effective April 17, 2008; expedited correction

at 32 Ill. Reg. 9747, effective April 17, 2008; peremptory amendment at 32 Ill. Reg. 9360,

effective June 13, 2008; amended at 32 Ill. Reg. 9881, effective July 1, 2008; peremptory

amendment at 32 Ill. Reg. 12065, effective July 9, 2008; peremptory amendment at 32 Ill. Reg.

13861, effective August 8, 2008; peremptory amendment at 32 Ill. Reg. 16591, effective

September 24, 2008; peremptory amendment at 32 Ill. Reg. 16872, effective October 3, 2008;

peremptory amendment at 32 Ill. Reg. 18324, effective November 14, 2008; peremptory

amendment at 33 Ill. Reg. 98, effective December 19, 2008; amended at 33 Ill. Reg. 2148,

effective January 26, 2009; peremptory amendment at 33 Ill. Reg. 3530, effective February 6,


amendment at 33 Ill. Reg. 5501, effective March 25, 2009; peremptory amendment at 33 Ill.

Reg. 6354, effective April 15, 2009; peremptory amendment at 33 Ill. Reg. 6724, effective May

1, 2009; peremptory amendment at 33 Ill. Reg. 9138, effective June 12, 2009; emergency

amendment at 33 Ill. Reg. 9432, effective July 1, 2009, for a maximum of 150 days; amended at

33 Ill. Reg. 10211, effective July 1, 2009; peremptory amendment at 33 Ill. Reg. 10823, effective

July 2, 2009; peremptory amendment at 33 Ill. Reg. 11082, effective July 10, 2009; peremptory

amendment at 33 Ill. Reg. 11698, effective July 23, 2009; peremptory amendment at 33 Ill. Reg.

11895, effective July 31, 2009; peremptory amendment at 33 Ill. Reg. 12872, effective

September 3, 2009; amended at 33 Ill. Reg. 14944, effective October 26, 2009; peremptory


Ill. Reg. 305, effective December 18, 2009; emergency amendment at 34 Ill. Reg. 957, effective

January 1, 2010, for a maximum of 150 days; peremptory amendment at 34 Ill. Reg. 1425,

effective January 5, 2010; peremptory amendment at 34 Ill. Reg. 3684, effective March 5, 2010;


34 Ill. Reg. 6214, effective April 16, 2010; amended at 34 Ill. Reg. 6583, effective April 30,

2010; peremptory amendment at 34 Ill. Reg. 7528, effective May 14, 2010; amended at 34 Ill.

Reg. 7645, effective May 24, 2010; peremptory amendment at 34 Ill. Reg. 7947, effective May

26, 2010; peremptory amendment at 34 Ill. Reg. 8633, effective June 18, 2010; amended at 34

Ill. Reg. 9759, effective July 1, 2010; peremptory amendment at 34 Ill. Reg. 10536, effective


17



July 9, 2010; peremptory amendment at 34 Ill. Reg. 11864, effective July 30, 2010; emergency

amendment at 34 Ill. Reg. 12240, effective August 9, 2010, for a maximum of 150 days;

peremptory amendment at 34 Ill. Reg. 13204, effective August 26, 2010; peremptory amendment

at 34 Ill. Reg. 13657, effective September 8, 2010; peremptory amendment at 34 Ill. Reg. 15897,

effective September 30, 2010; peremptory amendment at 34 Ill. Reg. 18912, effective November

15, 2010; peremptory amendment at 34 Ill. Reg. 19582, effective December 3, 2010; amended at

35 Ill. Reg. 765, effective December 30, 2010; emergency amendment at 35 Ill. Reg. 1092,

effective January 1, 2011, for a maximum of 150 days; peremptory amendment at 35 Ill. Reg.

2465, effective January 19, 2011; peremptory amendment at 35 Ill. Reg. 3577, effective February

10, 2011; emergency amendment at 35 Ill. Reg. 4412, effective February 23, 2011, for a

maximum of 150 days; peremptory amendment at 35 Ill. Reg. 4803, effective March 11, 2011;

emergency amendment at 35 Ill. Reg. 5633, effective March 15, 2011, for a maximum of 150

days; peremptory amendment at 35 Ill. Reg. 5677, effective March 18, 2011; amended at 35 Ill.

Reg. 8419, effective May 23, 2011; amended at 35 Ill. Reg. 11245, effective June 28, 2011;


emergency expired November 27, 2011; peremptory amendment at 35 Ill. Reg. 12119, effective

June 29, 2011; peremptory amendment at 35 Ill. Reg. 13966, effective July 29, 2011; peremptory

amendment at 35 Ill. Reg. 15178, effective August 29, 2011; emergency amendment at 35 Ill.

Reg. 15605, effective September 16, 2011, for a maximum of 150 days; peremptory amendment

at 35 Ill. Reg. 15640, effective September 15, 2011; peremptory amendment at 35 Ill. Reg.

19707, effective November 23, 2011; amended at 35 Ill. Reg. 20144, effective December 6,

2011; amended at 36 Ill. Reg. 153, effective December 22, 2011; peremptory amendment at 36

Ill. Reg. 564, effective December 29, 2011; peremptory amendment at 36 Ill. Reg. 3957,

effective February 24, 2012; peremptory amendment at 36 Ill. Reg. 4158, effective March 5,

2012; peremptory amendment at 36 Ill. Reg. 4437, effective March 9, 2012; amended at 36 Ill.

Reg. 4707, effective March 19, 2012; amended at 36 Ill. Reg. 8460, effective May 24, 2012;

peremptory amendment at 36 Ill. Reg. 10518, effective June 27, 2012; emergency amendment at

36 Ill. Reg. 11222, effective July 1, 2012, for a maximum of 150 days; peremptory amendment

at 36 Ill. Reg. 13680, effective August 15, 2012; peremptory amendment at 36 Ill. Reg. 13973,

effective August 22, 2012; peremptory amendment at 36 Ill. Reg. 15498, effective October 16,

2012; amended at 36 Ill. Reg. 16213, effective November 1, 2012; peremptory amendment at 36

Ill. Reg. 17138, effective November 20, 2012; peremptory amendment at 37 Ill. Reg. 3408,

effective March 7, 2013; amended at 37 Ill. Reg. 4750, effective April 1, 2013; peremptory


9563, effective June 19, 2013; amended at 37 Ill. Reg. 9939, effective July 1, 2013; emergency

amendment at 37 Ill. Reg. 11395, effective July 1, 2013, for a maximum of 150 days;


37 Ill. Reg. 12588, effective July 19, 2013; peremptory amendment at 37 Ill. Reg. 13762,

effective August 8, 2013; peremptory amendment at 37 Ill. Reg. 14219, effective August 23,


17



2013; amended at 37 Ill. Reg. 16925, effective October 8, 2013; peremptory amendment at 37 Ill.

Reg. 17164, effective October 18, 2013; peremptory amendment at 37 Ill. Reg. 20410, effective

December 6, 2013; peremptory amendment at 38 Ill. Reg. 2974, effective January 9, 2014;

amended at 38 Ill. Reg. 5250, effective February 4, 2014; peremptory amendment at 38 Ill. Reg.

6725, effective March 6, 2014; emergency amendment at 38 Ill. Reg. 9080, effective April 11,

2014, for a maximum of 150 days; peremptory amendment at 38 Ill. Reg. 9136, effective April

11, 2014; amended at 38 Ill. Reg. 9207, effective April 21, 2014; peremptory amendment at 38

Ill. Reg. 13416, effective June 11, 2014; amended at 38 Ill. Reg. 14818, effective July 1, 2014;


38 Ill. Reg. 17481, effective July 29, 2014; amended at 38 Ill. Reg. 17556, effective August 6,

2014; peremptory amendment at 38 Ill. Reg. 18791, effective August 26, 2014; peremptory

amendment at 38 Ill. Reg. 19806, effective September 26, 2014; amended at 38 Ill. Reg. 20695,

effective October 14, 2014; amended at 38 Ill. Reg. 24005, effective December 9, 2014;

peremptory amendment at 39 Ill. Reg. 728, effective December 23, 2014; emergency amendment

at 39 Ill. Reg. 708, effective December 26, 2014, for a maximum of 150 days; peremptory

amendment at 39 Ill. Reg. 6964, effective April 29, 2015; amended at 39 Ill. Reg. 7878, effective

May 22, 2015; amended at 39 Ill. Reg. 11220, effective July 28, 2015; peremptory amendment at

39 Ill. Reg. 12004, effective August 13, 2015; peremptory amendment at 39 Ill. Reg. 15807,

effective November 25, 2015; amended at 40 Ill. Reg. 5893, effective March 28, 2016;

peremptory amendment at 40 Ill. Reg. 8462, effective June 1, 2016; peremptory amendment at

40 Ill. Reg. 9658, effective June 30, 2016; amended at 40 Ill. Reg. 9356, effective July 1, 2016;

peremptory amendment at 40 Ill. Reg. 11207, effective August 5, 2016; amended at 41 Ill. Reg.

______, effective ____________.

SUBPART A: NARRATIVE

Section 310.47 In-Hire Rate

a) Use – No employee in a position in which the position and/or the employee meet

the criteria of an in-hire rate receives less than the in-hire rate. The in-hire rate is

used when a candidate only meets the minimum requirements of the class

specification upon entry to State service (Section 310.100(b)(1), 310.490(b)(1) or

310.495(b)(1)), when an employee moves to a vacant position (Section 310.45) or

when an MS salary range is assigned to a Trainee Program (Section 310.415(b)).

b) Request – An agency head may request in writing that the Director of Central

Management Services approve or negotiate an in-hire rate. The in-hire rate is a

Step or dollar amount depending on whether the classification title is assigned to a

negotiated full scale rate, negotiated pay grade, merit compensation salary range


17



or broad-band salary range. The in-hire rate may be for the classification title or

limited within the classification title to the agency, facilities, counties or other

criteria. The supporting justifications for the requested in-hire rate and the

limitations are included in the agency request. An effective date may be included

in the request.

c) Review – The Director of Central Management Services shall review the

supporting justifications, the turnover rate, the length of vacancies, the currently

filled positions for the classification title, and the market starting rates for similar

classes, and consult with other agencies using the classification title. Other

factors may be included in the review and negotiation of negotiated in-hire rates.

d) Approval or Negotiated –

1) Approval − The Director of Central Management Services indicates in

writing the approved in-hire rate and effective date, which is either the

date requested by the agency or the beginning of the next pay period after

the approval.

2) Negotiated – The Director of Central Management Services and the

bargaining unit representative indicate in writing the in-hire rates and

effective date, which is either the date indicated in the agreement, the date

of the agreement's signature or the beginning of the next pay period after

the signatures are secured on the agreement.

e) Implementation – In the classification title or within the limitations of the

classification title and when the in-hire rate is above the normal minimum of the

assigned salary range or pay grade, an employee paid below the in-hire rate

receives the in-hire rate on the approved effective date. The in-hire rate remains

in effect for any employee entering the title or the limits within the title until the

title is abolished or an agency request to rescind the in-hire rate is approved by the

Director of Central Management Services or negotiated by the Director of Central

Management Services and the bargaining unit representative.

f) Approved or Negotiated In-Hire Rates –

1) Assigned to a Classification –

A) Approved and Assigned to a Pay Grade or Salary Range −


17



Title

Pay Grade or

Salary Range Effective Date

In-Hire

Rate

Commerce Commission Police

Officer Trainee

MS-10 January 1, 2008 $2,943

Correctional Officer RC-006-09 January 1, 2008 Step 1

Correctional Officer Trainee RC-006-05 January 1, 2008 Step 1

Environmental Engineer I RC-063-15 January 1, 2008 Step 2

Environmental Protection

Engineer I

RC-063-15 January 1, 2008 Step 5

Environmental Protection

Engineer II

RC-063-17 January 1, 2008 Step 4

Internal Auditor Trainee MS-09 January 1, 2008 $2,854

B) Negotiated and Assigned to a Full Scale Rate – The rates are

located in Appendix A Table D for bargaining unit HR-001, in

Appendix A Table E for bargaining unit RC-020, in Appendix A

Table F for RC-019 and in Appendix A Table G for bargaining

unit RC-045.

Title

Bargaining

Unit Effective Date

In-Hire

Rate

Auto & Body Repairer RC-045 July 1, 2013 75%

Automotive Attendant I RC-045 July 1, 2013 75%

Automotive Attendant II RC-045 July 1, 2013 75%

Automotive Mechanic RC-045 July 1, 2013 75%

Automotive Parts Warehouse

Specialist

RC-045 July 1, 2013 75%

Automotive Parts Warehouser RC-045 July 1, 2013 75%

Bridge Mechanic RC-019 July 8, 2013 75%

Bridge Mechanic RC-020 June 26, 2013 75%

Bridge Tender RC-019 July 8, 2013 75%

Bridge Tender RC-020 June 26, 2013 75%

Building Services Worker HR-001 July 24, 2013 75%

Deck Hand RC-019 July 8, 2013 75%


17



Elevator Operator HR-001 July 24, 2013 75%

Ferry Operator I RC-019 July 8, 2013 75%

Ferry Operator II RC-019 July 8, 2013 75%

Grounds Supervisor HR-001 July 24, 2013 75%

Heavy Construction

Equipment Operator

HR-001 July 24, 2013 75%

Heavy Construction

Equipment Operator

RC-020 June 26, 2013 75%

Highway Maintainer HR-001 November 1, 2009 75%

Highway Maintainer RC-019 July 8, 2013 75%

Highway Maintainer RC-020 June 26, 2013 75%

Highway Maintenance Lead

Worker

HR-001 July 24, 2013 75%


Worker

RC-019 July 8, 2013 75%


Worker

RC-020 June 26, 2013 75%


Worker (Lead Lead Worker)

RC-019 July 8, 2013 75%


Worker (Lead Lead Worker)

RC-020 June 26, 2013 75%

Janitor I (Including Office of

Administration)

RC-019 July 8, 2013 75%

Janitor II (Including Office of

Administration)

RC-019 July 8, 2013 75%

Labor Maintenance Lead

Worker

RC-019 July 8, 2013 75%

Labor Maintenance Lead

Worker

RC-020 June 26, 2013 75%

Laborer (Maintenance) HR-001 July 24, 2013 75%

Laborer (Maintenance) RC-019 July 8, 2013 75%

Laborer (Maintenance) RC-020 June 26, 2013 75%

Maintenance Equipment

Operator

HR-001 July 24, 2013 75%


Operator

RC-019 July 8, 2013 75%


Operator

RC-020 June 26, 2013 75%

Maintenance Worker HR-001 July 24, 2013 75%


17



Maintenance Worker RC-019 July 8, 2013 75%

Maintenance Worker RC-020 June 26, 2013 75%

Power Shovel Operator

(Maintenance)

HR-001 July 24, 2013 75%


(Maintenance)

RC-019 July 8, 2013 75%


(Maintenance)

RC-020 June 26, 2013 75%

Security Guard I RC-019 July 8, 2013 75%

Security Guard II RC-019 July 8, 2013 75%

Silk Screen Operator RC-019 July 8, 2013 75%

Silk Screen Operator RC-020 June 26, 2013 75%

Small Engine Mechanic RC-045 July 1, 2013 75%

Storekeeper I* RC-045 July 1, 2013 75%

Storekeeper II* RC-045 July 1, 2013 75%

*Storekeeper I & Storekeeper II serving as Automotive Parts Warehouser in Cook

County.

2) Based on the Position's Work Location or Employee's Credential or

Residency –

Title

Pay

Grade or

Salary

Range

Location or

Residency Credential

Effective

Date In-Hire Rate

Bridge Tender MS-18 Department of

Transportation

Temporary

Employee

January 1,

2017

$4,696

Civil Engineer

Trainee

NR-916 None identified Bachelor's

degree in

accredited

civil

engineering

program

January 1,

2008

Add to

minimum

monthly rate

$40/quarter

work

experience up

to 8

Civil Engineer

Trainee

NR-916 None identified Passed

Engineering

Intern exam

January 1,

2008

Add to

minimum

monthly rate

$60/month


17



Civil Engineer

Trainee

NR-916 None identified Job-Related

Master's

degree

January 1,

2012

Add to

minimum

monthly rate

$40/month for

each year of

full-time

graduate study

as a substitute

for job-related

experience up

to two years

Clerical Trainee MS-01 Work in City of

Chicago

None

identified

beyond class

requirements

July 1,

2016

$10.50/hour or

$1,713/month

Conservation/

Historic

Preservation

Worker

MS-01 Work in City of

Chicago

None

identified

beyond class

requirements

July 1,

2016

$10.50/hour or

$1,713/month

Deck Hand MS-15 Department of

Transportation

Temporary

Employee

January 1,

2017

$4,512

Engineering

Technician I, II, III

and IV

NR-916 None identified Completed 2

years of

college in

civil

engineering or

job related

technical/

science

curriculum

(60 semester

/90 quarter

hours credit)

January 1,

2012

$2,845


years of

January 1,

2012

$2,730


17



Engineering


and IV

college in

areas other

than civil

engineering or

job related

technical/

science

curriculum

(90 semester

/135 quarter

hours credit)

Engineering


and IV

NR-916 None identified Associate

Degree from

an accredited

2 year civil

engineering

technology

program

January 1,

2012

$2,975

Engineering


and IV


years of

college

courses in

civil

engineering or

job related

technical/

science

curriculum

(90 semester

/135 quarter

hours credit)

January 1,

2012

$2,975

Engineering


and IV


years of

college

courses in

areas other

than civil

engineering or

job related

technical/

science

January 1,

2012

$2,845


17



curriculum

(120 semester

/180 quarter

hours credit)

Engineering


and IV


years of

college in

civil

engineering or

job related

technical/

science

curriculum

(120

semester/180

quarter hours

credit includes

appointees

from

unaccredited

engineering

programs and

those who

have not yet

obtained a

degree)

January 1,

2012

$3,095

Engineering


and IV

NR-916 None identified Bachelor of

Science

Degree from

an accredited

4 year

program in

civil

engineering

technology,

industrial

technology,

and

January 1,

2012

$3,510


17



construction

technology

Ferry Operator I MS-18 Department of

Transportation

Temporary

Employee

January 1,

2017

$4,696/month

Forensic Scientist

Trainee

RC-062-

15

None identified Meets

minimum

class

requirements

or completed

Forensic

Science

Residency

Program at the

U of I-

Chicago

January 1,

2008

Step 1

Information

Services Intern

RC-063-

15

Work outside

Cook County

Computer

Science

degree at 4-

year college

January 1,

2008

Step 4

Information

Services Intern

RC-063-

15

Work in Cook

County

Computer

Science

degree at 4-

year college

January 1,

2008

Step 6

Information

Services Intern

RC-063-

15

Work outside

Cook County

Computer

Science

degree at 2-

year technical

school

January 1,

2008

Step 2

Information

Services Intern

RC-063-

15

Work in Cook

County

Computer

Science

degree at 2-

year technical

school

January 1,

2008

Step 4


17



Information

Services Intern

RC-063-

15

Work in Cook

County

Non-

Computer

Science

degree at 4-

year college

January 1,

2008

Step 3

Information

Services Specialist

I

RC-063-

17

Work in Cook

County

None

identified

beyond class

requirements

January 1,

2008

Step 2

Juvenile Justice

Specialist

RC-006-

14

None identified Master's

degree

September 1,

2008

Step 2

Juvenile Justice

Specialist Intern

RC-006-

11

None identified Master's

degree

September 1,

2008

Step 2

Meat & Poultry

Inspector Trainee

RC-033 Work in

Regions 1 and

6

None

identified

beyond class

requirements

January 1,

2008

Step 1

Office

Occupations

Trainee


Chicago

None

identified

beyond class

requirements

July 1, 2016 $10.50/hour or

$1,713/month

Physician

Specialist, Option

C

RC-063-

MD-C

Work in Singer,

McFarland,

Choate,

Chester, Alton,

Murray, and

Mabley

facilities

None

identified

beyond class

requirements

January 1,

2008

Step 5

Physician

Specialist, Option

D

RC-063-

MD-D

Work in Singer,

McFarland,

Choate,

Chester, Alton,

Murray, and

Mabley

facilities

None

identified

beyond class

requirements

January 1,

2008

Step 5


17



Products &

Standards

Inspector Trainee

MS-09 Work in Cook,

DuPage, Lake,

Kane, and Will

counties

None

identified

beyond class

requirements

January 1,

2008

$3,057

Products &

Standards

Inspector Trainee

MS-09 Work in

counties

outside Cook,

DuPage, Lake,

Kane, and Will

counties

None

identified

beyond class

requirements

January 1,

2008

$2,854

Public Service

Trainee


Chicago

None

identified

beyond class

requirements

July 1, 2016 $10.50/hour or

$1,713/month

Student Intern

(includes

Governor's Natural

Resources

Fellowship

Program)


Chicago

None

identified

beyond class

requirements

July 1, 2016 $10.50/hour or

$1,713/month

Student Intern

(Governor's

Natural Resources

Fellowship

Program)

MS-01 Department

of Natural

Resources

Bachelor's

degree in plant

or animal

ecology,

botany,

forestry,

wildlife

biology,

ecology or

environmental

zoology and

enrolled in

Master's

program

September 1,

2013

$1,600

Student Worker MS-01 Work in City of

Chicago

None

identified

July 1, 2016 $10.50/hour or

$1,713/month


17



beyond class

requirements

Telecommunicator RC-014-

12

Work in

District 2

None

identified

beyond class

requirements

January 1,

2008

Step 2

Telecommunicator

Trainee

RC-014-

10

Work in Kane

County

None

identified

beyond class

requirements

January 1,

2008

Step 3

Telecommunicator

Trainee

RC-014-

10

Work in Cook

County

None

identified

beyond class

requirements

January 1,

2008

Step 7

(Source: Amended at 41 Ill. Reg. ______, effective ____________)

SUBPART B: SCHEDULE OF RATES

Section 310.260 Trainee Rate

Rates of pay for employees working in classes pursuant to a Trainee Program (80 Ill. Adm. Code

302.170) shall conform to those set forth in negotiated pay grades within Negotiated Rates of

Pay (Appendix A) unless the rate is red-circled (Section 310.220(e)) or salary ranges within the

Merit Compensation System Salary Schedule (Appendix D). The process of assigning merit

compensation salary ranges to Trainee Program classifications is in Section 310.415. The

Trainee Program classifications are:

Title

Title

Code

Negotiated

Pay Grade

Merit

Compensation

Salary Range

Account Technician Trainee 00118 None MS-04

Accounting and Fiscal Administration Career Trainee 00140 RC-062-12 MS-09

Actuarial Examiner Trainee 00196 RC-062-13 MS-10

Administrative Services Worker Trainee 00600 RC-014-02 MS-02


17



Animal and Animal Products Investigator Trainee 01075 None MS-09

Appraisal Specialist Trainee 01255 None MS-09

Arson Investigations Trainee 01485 None MS-12

Behavioral Analyst Associate 04355 RC-062-15 MS-12

Child Support Specialist Trainee 07200 RC-062-12 MS-09

Children and Family Service Intern, Option 1 07241 RC-062-12 MS-09

Children and Family Service Intern, Option 2 07242 RC-062-15 MS-12

Civil Engineer Trainee 07607 NR-916 MS-16

Clerical Trainee 08050 RC-014-TR MS-01

Clinical Laboratory Technologist Trainee 08229 RC-062-14 MS-11

Clinical Psychology Associate 08255 RC-063-18 MS-19

Commerce Commission Police Officer Trainee 08455 None MS-10

Conservation Police Officer Trainee 09345 RC-110 MS-06

Correctional Officer Trainee 09676 RC-006-05 MS-08

Corrections Nurse Trainee 09838 RC-023-17 MS-16

Corrections Treatment Officer Trainee 09866 None MS-13

Criminal Justice Specialist Trainee 10236 RC-062-13 MS-10

Data Processing Operator Trainee 11428 RC-014-02 MS-02

Data Processing Technician Trainee 11443 RC-028-06 MS-04

Disability Claims Adjudicator Trainee 12539 RC-062-13 MS-10

Economic Development Representative Trainee 12939 None MS-10

Educator Intern 13135 None MS-10

Energy and Natural Resources Specialist Trainee 13715 RC-062-12 MS-09

Financial Institutions Examiner Trainee 14978 RC-062-13 MS-10

Fingerprint Technician Trainee 15209 None MS-05


17



Fire Prevention Inspector Trainee 15320 RC-029-12 MS-10

Firearms Eligibility Analyst Trainee 15375

Pending

Negotiations

Forensic Scientist Trainee 15897 RC-062-15 MS-12

Gaming Special Agent Trainee 17195 RC-062-14 MS-11

Geographic Information Trainee 17276 RC-063-15 MS-12

Governmental Career Trainee 17325 None MS-09

Graduate Pharmacist 17345 RC-063-20 MS-23

Hearing and Speech Associate 18231 RC-063-18 MS-19

Human Resources Trainee 19694 RC-014-07 MS-04

Human Rights Investigator Trainee 19768 None MS-09

Human Services Grants Coordinator Trainee 19796 RC-062-12 MS-09

Industrial Services Consultant Trainee 21125 RC-062-11 MS-08

Industrial Services Hygienist Trainee 21133 RC-062-12 MS-09

Information Services Intern 21160 RC-063-15 MS-12

Insurance Analyst Trainee 21566 RC-014-07 MS-04

Insurance Company Financial Examiner Trainee 21610 RC-062-13 MS-10

Internal Auditor Trainee 21726 None MS-09

Juvenile Justice Specialist Intern 21976 RC-006-11 MS-13

Land Reclamation Specialist Trainee 23137 None MS-09

Liability Claims Adjuster Trainee 23375 None MS-09

Life Sciences Career Trainee 23600 RC-062-12 MS-09

Management Operations Analyst Trainee 25545 None MS-12

Manpower Planner Trainee 25597 RC-062-12 MS-09

Meat and Poultry Inspector Trainee 26075 RC-033 MS-07

Medicaid Management Intern 26305 None MS-13


17



Mental Health Administrator Trainee 26817 RC-062-16 MS-12

Mental Health Specialist Trainee 26928 RC-062-11 MS-08

Mental Health Technician Trainee 27020 RC-009-01 MS-03

Methods and Procedures Career Associate Trainee 27137 RC-062-09 MS-06

Natural Resources Coordinator Trainee 28830 None MS-09

Office Occupations Trainee 30075 None MS-01

Polygraph Examiner Trainee 33005 None MS-12

Products and Standards Inspector Trainee 34605 None MS-09

Program Integrity Auditor Trainee 34635 RC-062-12 MS-09

Psychologist Associate 35626 RC-063-15 MS-12

Psychology Intern 35660 None MS-15

Public Administration Intern 35700 None MS-11

Public Aid Investigator Trainee 35874 RC-062-14 MS-11

Public Health Program Specialist Trainee 36615 RC-062-12 MS-09

Public Safety Inspector Trainee 37010 RC-062-10 MS-07

Public Service Trainee 37025 None MS-01

Rehabilitation Counselor Trainee 38159 RC-062-15 MS-12

Rehabilitation/Mobility Instructor Trainee 38167 RC-063-15 MS-12

Research Fellow, Option B 38211 None MS-19

Resident Physician 38270 None MS-15

Residential Care Worker Trainee 38279 RC-009-11 MS-05

Retirement Benefits Representative Trainee 38316 None MS-07

Revenue Auditor Trainee (IL) 38375 RC-062-12 MS-09

Revenue Auditor Trainee (states other than IL and not

assigned to RC-062-15) 38375 RC-062-13 MS-09


17



Revenue Auditor Trainee (see Note in Appendix A

Table W) 38375 RC-062-15 MS-09

Revenue Collection Officer Trainee 38405 RC-062-12 MS-09

Revenue Special Agent Trainee 38565 RC-062-14 MS-11

Revenue Tax Specialist Trainee 38575 RC-062-10 MS-07

Security Therapy Aide Trainee 39905 RC-009-13 MS-06

Seed Analyst Trainee 39953 None MS-07

Social Service Aide Trainee 41285 RC-006-01

RC-009-02 MS-03

Social Services Career Trainee 41320 RC-062-12 MS-09

Social Worker Intern 41430 None MS-15

Student Intern 43190 None MS-01

Student Worker 43200 None MS-01

Telecommunications Systems Technician Trainee 45314 None MS-05

Telecommunicator Trainee 45325 RC-014-10 MS-07

Terrorism Research Specialist Trainee 45375 RC-062-14 MS-11

Weatherization Specialist Trainee 49105 RC-062-12 MS-09

Well Inspector Trainee 49425 None MS-09


SUBPART C: MERIT COMPENSATION SYSTEM

Section 310.410 Jurisdiction

The Merit Compensation System shall apply to classes of positions, or positions excluded from

bargaining unit representation, designated below and Broad-Band classes in Appendix G. In

addition, the classes are listed in the ALPHABETIC INDEX OF POSITION TITLES. Also see

Section 310.495 for the application of the Merit Compensation System for those Broad-Band

titles listed with their salary ranges in Appendix G.


17



Title Title Code Salary Range

Account Clerk I 00111 MS-03

Account Clerk II 00112 MS-04

Account Technician I 00115 MS-07

Account Technician II 00116 MS-09

Account Technician Trainee 00118 MS-04

Accountant 00130 MS-11

Accountant Advanced 00133 MS-14

Accountant Supervisor 00135 MS-19

Accounting and Fiscal Administration Career Trainee 00140 MS-09

Activity Program Aide I 00151 MS-04

Activity Program Aide II 00152 MS-05

Activity Therapist 00157 MS-12

Activity Therapist Coordinator 00160 MS-16

Activity Therapist Supervisor 00163 MS-23

Actuarial Assistant 00187 MS-14

Actuarial Examiner 00195 MS-14

Actuarial Examiner Trainee 00196 MS-10

Actuarial Senior Examiner 00197 MS-21

Actuary I 00201 MS-23

Actuary II 00202 MS-31

Actuary III 00203 MS-33

Administrative Assistant I 00501 MS-16

Administrative Assistant II 00502 MS-21

Administrative Services Worker Trainee 00600 MS-02

Agricultural Executive 00800 MS-23

Agricultural Land and Water Resources Supervisor 00811 MS-25

Agricultural Market News Assistant 00804 MS-09

Agricultural Marketing Generalist 00805 MS-11

Agricultural Marketing Reporter 00807 MS-19

Agricultural Marketing Representative 00810 MS-19

Agricultural Products Promoter 00815 MS-10

Agriculture Land and Water Resource Specialist I 00831 MS-11

Agriculture Land and Water Resource Specialist II 00832 MS-16

Agriculture Land and Water Resource Specialist III 00833 MS-23

Aircraft Dispatcher 00951 MS-09

Aircraft Lead Dispatcher 00952 MS-11

Aircraft Pilot I 00955 MS-21

Aircraft Pilot II 00956 MS-28


17



Aircraft Pilot II − Dual Rating 00957 MS-29

Animal and Animal Products Investigator 01072 MS-11

Animal and Animal Products Investigator Trainee 01075 MS-09

Apiary Inspector 01215 MS-03

Apparel/Dry Goods Specialist I 01231 MS-04

Apparel/Dry Goods Specialist II 01232 MS-05

Apparel/Dry Goods Specialist III 01233 MS-10

Appraisal Specialist I 01251 MS-11

Appraisal Specialist II 01252 MS-14

Appraisal Specialist III 01253 MS-19

Appraisal Specialist Trainee 01255 MS-09

Arbitrator 01401 MS-33

Architect 01440 MS-28

Arson Investigations Trainee 01485 MS-12

Arson Investigator I 01481 MS-15

Arson Investigator II 01482 MS-20

Arts Council Associate 01523 MS-09

Arts Council Program Coordinator 01526 MS-19

Arts Council Program Representative 01527 MS-12

Assignment Coordinator 01530 MS-23

Assistant Automotive Shop Supervisor 01565 MS-11

Assistant Reimbursement Officer 02424 MS-05

Audio Visual Technician I 03501 MS-04

Audio Visual Technician II 03502 MS-06

Auto and Body Repairer 03680 MS-13

Automotive Attendant I 03696 MS-03

Automotive Attendant II 03697 MS-03

Automotive Mechanic 03700 MS-13

Automotive Parts Warehouse Specialist 03734 MS-11

Automotive Parts Warehouser 03730 MS-11

Automotive Shop Supervisor 03749 MS-18

Bank Examiner I 04131 MS-14

Bank Examiner II 04132 MS-21

Bank Examiner III 04133 MS-28

Behavioral Analyst Associate 04355 MS-12

Behavioral Analyst I 04351 MS-16

Behavioral Analyst II 04352 MS-21

Blasting Expert 04720 MS-27

Blasting Specialist 04725 MS-25


17



Blasting Supervisor 04730 MS-29

Boat Safety Inspection Supervisor 04850 MS-22

Boiler Safety Specialist 04910 MS-26

Breath Alcohol Analysis Technician 05170 MS-15

Bridge Mechanic 05310 MS-17

Bridge Tender 05320 MS-18

Building Construction Inspector I 05541 MS-18

Building Construction Inspector II 05542 MS-20

Building Services Worker 05616 MS-05

Building/Grounds Laborer 05598 MS-08

Building/Grounds Lead I 05601 MS-10

Building/Grounds Lead II 05602 MS-12

Building/Grounds Maintenance Worker 05613 MS-09

Building/Grounds Supervisor 05605 MS-12

Business Administrative Specialist 05810 MS-14

Business Manager 05815 MS-19

Buyer 05900 MS-19

Buyer Assistant 05905 MS-07

Cancer Registrar I 05951 MS-11

Cancer Registrar II 05952 MS-14

Cancer Registrar III 05953 MS-23

Cancer Registrar Assistant Manager 05954 MS-27

Cancer Registrar Manager 05955 MS-31

Canine Specialist 06500 MS-20

Capital Development Board Account Technician 06515 MS-08

Capital Development Board Art In Architecture Technician 06533 MS-09

Capital Development Board Construction Support Analyst 06520 MS-08

Capital Development Board Media Technician 06525 MS-11

Capital Development Board Project Technician 06530 MS-09

Cartographer III 06673 MS-28

Chaplain I 06901 MS-14

Chaplain II 06902 MS-21

Check Issuance Machine Operator 06920 MS-06

Check Issuance Machine Supervisor 06925 MS-08

Chemist I 06941 MS-14

Chemist II 06942 MS-21

Chemist III 06943 MS-25

Child Development Aide 07184 MS-07

Child Protection Advanced Specialist 07161 MS-21


17



Child Protection Associate Specialist 07162 MS-14

Child Protection Specialist 07163 MS-19

Child Support Specialist I 07198 MS-14

Child Support Specialist II 07199 MS-16

Child Support Specialist Trainee 07200 MS-09

Child Welfare Administrative Case Reviewer 07190 MS-28

Child Welfare Advanced Specialist 07215 MS-21

Child Welfare Associate Specialist 07216 MS-14

Child Welfare Court Facilitator 07196 MS-28

Child Welfare Nurse Specialist 07197 MS-22

Child Welfare Senior Specialist 07217 MS-28

Child Welfare Specialist 07218 MS-19

Child Welfare Staff Development Coordinator I 07201 MS-16

Child Welfare Staff Development Coordinator II 07202 MS-21

Child Welfare Staff Development Coordinator III 07203 MS-23

Child Welfare Staff Development Coordinator IV 07204 MS-28

Children and Family Service Intern, Option 1 07241 MS-09

Children and Family Service Intern, Option 2 07242 MS-12

Civil Engineer I 07601 MS-22

Civil Engineer II 07602 MS-26

Civil Engineer III 07603 MS-30

Civil Engineer IV 07604 MS-31

Civil Engineer Trainee 07607 MS-16

Clerical Trainee 08050 MS-01

Clinical Laboratory Associate 08200 MS-05

Clinical Laboratory Phlebotomist 08213 MS-04

Clinical Laboratory Technician I 08215 MS-07

Clinical Laboratory Technician II 08216 MS-09

Clinical Laboratory Technologist I 08220 MS-19

Clinical Laboratory Technologist II 08221 MS-21

Clinical Laboratory Technologist Trainee 08229 MS-11

Clinical Pharmacist 08235 MS-32

Clinical Psychologist 08250 MS-29

Clinical Psychology Associate 08255 MS-19

Clinical Services Supervisor 08260 MS-31

Commerce Commission Police Officer I 08451 MS-18

Commerce Commission Police Officer II 08452 MS-22

Commerce Commission Police Officer Trainee 08455 MS-10

Commerce Commission Police Sergeant 08457 MS-24


17



Commodities Inspector 08770 MS-08

Communications Dispatcher 08815 MS-06

Communications Equipment Technician I 08831 MS-16

Communications Equipment Technician II 08832 MS-21

Communications Equipment Technician III 08833 MS-23

Communications Systems Specialist 08860 MS-29

Community Management Specialist I 08891 MS-12

Community Management Specialist II 08892 MS-16

Community Management Specialist III 08893 MS-21

Community Planner I 08901 MS-12

Community Planner II 08902 MS-16

Community Planner III 08903 MS-21

Compliance Officer 08919 MS-11

Computer Evidence Recovery Specialist 08980 MS-32

Conservation Education Representative 09300 MS-09

Conservation Grant Administrator I 09311 MS-19

Conservation Grant Administrator II 09312 MS-23

Conservation Grant Administrator III 09313 MS-28

Conservation Police Lieutenant 09339 MS-23

Conservation Police Officer I 09341 MS-18

Conservation Police Officer II 09342 MS-19

Conservation Police Officer Trainee 09345 MS-06

Conservation Police Sergeant 09347 MS-22

Conservation/Historic Preservation Worker 09317 MS-01

Construction Program Assistant 09525 MS-09

Construction Supervisor I 09561 MS-10

Construction Supervisor II 09562 MS-14

Cook I 09601 MS-04

Cook II 09602 MS-07

Correctional Casework Supervisor 09655 MS-25

Correctional Counselor I 09661 MS-12

Correctional Counselor II 09662 MS-16

Correctional Counselor III 09663 MS-21

Correctional Lieutenant 09673 MS-24

Correctional Officer 09675 MS-11

Correctional Officer Trainee 09676 MS-08

Correctional Sergeant 09717 MS-16

Corrections Apprehension Specialist 09750 MS-21

Corrections Clerk I 09771 MS-11


17



Corrections Clerk II 09772 MS-13

Corrections Clerk III 09773 MS-18

Corrections Command Center Supervisor 09500 MS-32

Corrections Family Services Coordinator 09600 MS-32

Corrections Food Service Supervisor I 09793 MS-13

Corrections Food Service Supervisor II 09794 MS-18

Corrections Food Service Supervisor III 09795 MS-21

Corrections Grounds Supervisor 09796 MS-16

Corrections Identification Supervisor 09800 MS-24

Corrections Identification Technician 09801 MS-13

Corrections Industries Marketing Representative 09803 MS-16

Corrections Industry Lead Worker 09805 MS-16

Corrections Industry Supervisor 09807 MS-21

Corrections Intelligence Program Unit Manager 09798 MS-31

Corrections Investigations Program Administrator 09799 MS-31

Corrections Laundry Manager I 09808 MS-18

Corrections Laundry Manager II 09809 MS-20

Corrections Law Library Assistant 09819 MS-11

Corrections Leisure Activities Specialist I 09811 MS-12

Corrections Leisure Activities Specialist II 09812 MS-16

Corrections Leisure Activities Specialist III 09813 MS-21

Corrections Leisure Activities Specialist IV 09814 MS-25

Corrections Locksmith 09818 MS-16

Corrections Maintenance Craftsman 09821 MS-16

Corrections Maintenance Supervisor 09822 MS-20

Corrections Maintenance Worker 09823 MS-12

Corrections Medical Technician 09824 MS-12

Corrections Nurse I 09825 MS-20

Corrections Nurse II 09826 MS-25

Corrections Nurse Trainee 09836 MS-16

Corrections Parole Agent 09842 MS-16

Corrections Placement Resources Regional Supervisor 09839 MS-31

Corrections Program Administrator 09849 MS-31

Corrections Psychologist Administrator 09855 MS-32

Corrections Regional Mental Health Services Administrator 09857 MS-32

Corrections Residence Counselor I 09837 MS-13

Corrections Residence Counselor II 09838 MS-20

Corrections Senior Parole Agent 09844 MS-21

Corrections Supply Supervisor I 09861 MS-13


17



Corrections Supply Supervisor II 09862 MS-18

Corrections Supply Supervisor III 09863 MS-21

Corrections Training Program Supervisor 09860 MS-32

Corrections Transportation Officer I 09871 MS-13

Corrections Transportation Officer II 09872 MS-20

Corrections Treatment Officer 09864 MS-20

Corrections Treatment Officer Supervisor 09865 MS-27

Corrections Treatment Officer Trainee 09866 MS-13

Corrections Treatment Senior Security Supervisor 09867 MS-31

Corrections Unit Superintendent 09868 MS-32

Corrections Utilities Operator 09875 MS-16

Corrections Vocational Instructor 09879 MS-16

Corrections Vocational School Supervisor 09880 MS-20

Court Reporter 09900 MS-12

Court Reporter Supervisor 09903 MS-26

Crime Scene Investigator 09980 MS-25

Criminal Intelligence Analyst I 10161 MS-19

Criminal Intelligence Analyst II 10162 MS-23

Criminal Intelligence Analyst Specialist 10165 MS-28

Criminal Intelligence Analyst Supervisor 10169 MS-32

Criminal Justice Specialist I 10231 MS-14

Criminal Justice Specialist II 10232 MS-23

Criminal Justice Specialist Trainee 10236 MS-10

Curator Of The Lincoln Collection 10750 MS-14

Data Processing Administrative Specialist 11415 MS-11

Data Processing Assistant 11420 MS-04

Data Processing Operator 11425 MS-03

Data Processing Operator Trainee 11428 MS-02

Data Processing Specialist 11430 MS-09

Data Processing Supervisor I 11435 MS-08

Data Processing Supervisor II 11436 MS-11

Data Processing Supervisor III 11437 MS-19

Data Processing Technician 11440 MS-06

Data Processing Technician Trainee 11443 MS-04

Day Care Licensing Representative I 11471 MS-14

Day Care Licensing Representative II 11472 MS-19

Deck Hand 11500 MS-15

Dental Assistant 11650 MS-07

Dental Hygienist 11700 MS-11


17



Dentist I 11751 MS-29

Dentist II 11752 MS-33

Developmental Disabilities Council Program Planner I 12361 MS-09

Developmental Disabilities Council Program Planner II 12362 MS-14

Developmental Disabilities Council Program Planner III 12363 MS-19

Developmental Psychological Services Administrator 12380 MS-32

Dietary Manager I 12501 MS-14

Dietary Manager II 12502 MS-19

Dietitian 12510 MS-12

Disability Appeals Officer 12530 MS-28

Disability Claims Adjudicator I 12537 MS-14

Disability Claims Adjudicator II 12538 MS-19

Disability Claims Adjudicator Trainee 12539 MS-10

Disability Claims Analyst 12540 MS-25

Disability Claims Specialist 12558 MS-21

Disaster Services Planner 12585 MS-21

Document Examiner 12640 MS-28

Drafting Worker 12749 MS-08

Drug Compliance Investigator 12778 MS-31

Economic Development Representative I 12931 MS-16

Economic Development Representative II 12932 MS-21

Economic Development Representative Trainee 12939 MS-10

Economist Associate 12940 MS-12

Educational Diagnostician 12965 MS-09

Educational Media Program Specialist 12980 MS-16

Educator 13100 MS-26

Educator – Career and Technical 13103 MS-13

Educator – Career and Technical Provisional 13104 MS-12

Educator Aide 13130 MS-08

Educator Intern 13135 MS-10

Educator Trainee 13148 MS-09

Electrical Engineer 13180 MS-28

Electroencephalograph Technician 13300 MS-05

Electronic Equipment Installer/Repairer 13340 MS-07

Electronic Equipment Installer/Repairer Lead Worker 13345 MS-09

Electronics Technician 13360 MS-12

Elevator Inspector 13495 MS-21

Elevator Operator 13500 MS-05

Emergency Response Lead Telecommunicator 13540 MS-10


17



Emergency Response Telecommunicator 13543 MS-08

Employment Security Field Office Supervisor 13600 MS-23

Employment Security Manpower Representative I 13621 MS-09

Employment Security Manpower Representative II 13622 MS-11

Employment Security Program Representative 13650 MS-11

Employment Security Program Representative −

Intermittent

13651 MS-11

Employment Security Service Representative 13667 MS-14

Employment Security Specialist I 13671 MS-11

Employment Security Specialist II 13672 MS-14

Employment Security Specialist III 13673 MS-21

Employment Security Tax Auditor I 13681 MS-16

Employment Security Tax Auditor II 13682 MS-21

End-User Computer Services Specialist I 13691 MS-24

End-User Computer Services Specialist II 13692 MS-28

End-User Computer Systems Analyst 13693 MS-30

Energy and Natural Resources Specialist I 13711 MS-12

Energy and Natural Resources Specialist II 13712 MS-16

Energy and Natural Resources Specialist III 13713 MS-21

Energy and Natural Resources Specialist Trainee 13715 MS-09

Engineering Technician I 13731 MS-10

Engineering Technician II 13732 MS-13

Engineering Technician III 13733 MS-20

Engineering Technician IV 13734 MS-30

Environmental Engineer I 13751 MS-12

Environmental Engineer II 13752 MS-16

Environmental Engineer III 13753 MS-21

Environmental Engineer IV 13754 MS-28

Environmental Equipment Operator I 13761 MS-09

Environmental Equipment Operator II 13762 MS-11

Environmental Health Specialist I 13768 MS-11

Environmental Health Specialist II 13769 MS-14

Environmental Health Specialist III 13770 MS-19

Environmental Protection Associate 13785 MS-09

Environmental Protection Engineer I 13791 MS-12

Environmental Protection Engineer II 13792 MS-16

Environmental Protection Engineer III 13793 MS-21

Environmental Protection Engineer IV 13794 MS-28

Environmental Protection Geologist I 13801 MS-12


17



Environmental Protection Geologist II 13802 MS-16

Environmental Protection Geologist III 13803 MS-21

Environmental Protection Legal Investigator I 13811 MS-10

Environmental Protection Legal Investigator II 13812 MS-11

Environmental Protection Legal Investigator Specialist 13815 MS-13

Environmental Protection Specialist I 13821 MS-11

Environmental Protection Specialist II 13822 MS-14

Environmental Protection Specialist III 13823 MS-19

Environmental Protection Specialist IV 13824 MS-28

Environmental Protection Technician I 13831 MS-05

Environmental Protection Technician II 13832 MS-07

Epidemiology Research and Investigation Scientist 13833 MS-29

Equal Pay Specialist 13837 MS-16

Equine Investigator 13840 MS-09

Executive I 13851 MS-19

Executive II 13852 MS-23

Executive Secretary I 14031 MS-08

Executive Secretary II 14032 MS-11

Executive Secretary III 14033 MS-14

Explosives Inspector I 14051 MS-11

Explosives Inspector II 14052 MS-18

Facility Assistant Fire Chief 14430 MS-10

Facility Fire Chief 14433 MS-13

Facility Fire Safety Coordinator 14435 MS-09

Facility Firefighter 14439 MS-07

Ferry Operator I 14801 MS-18

Ferry Operator II 14802 MS-19

Financial Institutions Examiner I 14971 MS-14

Financial Institutions Examiner II 14972 MS-21

Financial Institutions Examiner III 14973 MS-28

Financial Institutions Examiner Trainee 14978 MS-10

Fingerprint Technician 15204 MS-10

Fingerprint Technician Supervisor 15208 MS-18

Fingerprint Technician Trainee 15209 MS-05

Firearms Eligibility Administrator 15280 MS-32

Firearms Eligibility Analyst I 15371 MS-10

Firearms Eligibility Analyst II 15372 MS-14

Firearms Eligibility Analyst Trainee 15375 MS-08

Fire Certification Specialist I 15281 MS-16


17



Fire Certification Specialist II 15282 MS-18

Fire Certification Specialist Supervisor 15283 MS-22

Fire Prevention Inspector I 15316 MS-13

Fire Prevention Inspector II 15317 MS-20

Fire Prevention Inspector Trainee 15320 MS-10

Fire Protection Engineer 15340 MS‐28

Fire Protection Specialist I 15351 MS-14

Flight Safety Coordinator 15640 MS-28

Florist II 15652 MS-08

Food Services Program Manager 15800 MS-31

Foreign Service Economic Development Executive I 15871 MS-32

Foreign Service Economic Development Executive II 15872 MS-34

Foreign Service Economic Development Representative 15875 MS-30

Forensic Science Administrator I 15911 MS-31

Forensic Science Administrator II 15912 MS-32

Forensic Science Administrator III 15913 MS-33

Forensic Scientist I 15891 MS-19

Forensic Scientist II 15892 MS-23

Forensic Scientist III 15893 MS-28

Forensic Scientist Trainee 15897 MS-12

Gaming Licensing Analyst 17171 MS-10

Gaming Senior Special Agent 17191 MS-29

Gaming Special Agent 17192 MS-21

Gaming Special Agent Trainee 17195 MS-11

Geographic Information Specialist I 17271 MS-21

Geographic Information Specialist II 17272 MS-29

Geographic Information Trainee 17276 MS-12

Governmental Career Trainee 17325 MS-09

Graduate Pharmacist 17345 MS-23

Graphic Arts Designer 17366 MS-11

Graphic Arts Designer Advanced 17370 MS-14

Graphic Arts Designer Supervisor 17365 MS-19

Graphic Arts Technician 17400 MS-09

Grounds Supervisor 17549 MS-18

Guard I 17681 MS-04

Guard II 17682 MS-06

Guard III 17683 MS-09

Guard Supervisor 17685 MS-11

Guardianship Representative 17710 MS-16


17



Guardianship Supervisor 17720 MS-24

Habilitation Program Coordinator 17960 MS-16

Handicapped Services Representative I 17981 MS-08

Health Facilities Surveillance Nurse 18150 MS-22

Health Facilities Surveyor I 18011 MS-14

Health Facilities Surveyor II 18012 MS-21

Health Facilities Surveyor III 18013 MS-23

Health Information Associate 18045 MS-07

Health Information Technician 18047 MS-09

Health Services Investigator I, Option A − General 18181 MS-21

Health Services Investigator I, Option B − Controlled

Substance Inspector

18182 MS-23

Health Services Investigator II, Option A − General 18185 MS-28

Health Services Investigator II, Option B − Controlled

Substance Inspector

18186 MS-28

Health Services Investigator II, Option C − Pharmacy 18187 MS-32

Health Services Investigator II, Option D −

Pharmacy/Controlled Substance Inspector

18188 MS-32

Hearing and Speech Advanced Specialist 18227 MS-28

Hearing and Speech Associate 18231 MS-19

Hearing and Speech Specialist 18233 MS-23

Hearing and Speech Technician II 18262 MS-06

Hearings Referee 18300 MS-29

Hearings Referee − Intermittent 18301 MS-29

Heavy Construction Equipment Operator 18465 MS-18

Highway Construction Supervisor I 18525 MS-25

Highway Construction Supervisor II 18526 MS-30

Highway Maintainer 18639 MS-18

Highway Maintenance Lead Worker 18659 MS-18

Historical Documents Conservator I 18981 MS-10

Historical Exhibits Designer 18985 MS-12

Historical Library Chief Of Acquisitions 18987 MS-21

Historical Research Editor II 19002 MS-11

Historical Research Specialist 19008 MS-23

Housekeeper II 19602 MS-03

Human Relations Representative 19670 MS-14

Human Resources Assistant 19690 MS-05

Human Resources Associate 19691 MS-08

Human Resources Trainee 19694 MS-04


17



Human Rights Investigator I 19774 MS-14

Human Rights Investigator II 19775 MS-19

Human Rights Investigator III 19776 MS-21

Human Rights Investigator Trainee 19768 MS-09

Human Rights Mediation Supervisor 19769 MS-23

Human Rights Mediator 19771 MS-16

Human Rights Specialist I 19778 MS-11

Human Rights Specialist II 19779 MS-14

Human Rights Specialist III 19780 MS-19

Human Services Casework Manager 19788 MS-23

Human Services Caseworker 19785 MS-14

Human Services Grants Coordinator I 19791 MS-11

Human Services Grants Coordinator II 19792 MS-16

Human Services Grants Coordinator III 19793 MS-23

Human Services Grants Coordinator Trainee 19796 MS-09

Human Services Sign Language Interpreter 19810 MS-14

Iconographer 19880 MS-09

Industrial and Community Development Representative I 21051 MS-16

Industrial and Community Development Representative II 21052 MS-21

Industrial Commission Reporter 21080 MS-14

Industrial Commission Technician 21095 MS-08

Industrial Services Consultant I 21121 MS-11

Industrial Services Consultant II 21122 MS-14

Industrial Services Consultant Trainee 21125 MS-08

Industrial Services Hygienist 21127 MS-21

Industrial Services Hygienist Technician 21130 MS-14

Industrial Services Hygienist Trainee 21133 MS-09

Information Services Intern 21160 MS-12

Information Services Specialist I 21161 MS-16

Information Services Specialist II 21162 MS-21

Information Systems Analyst I 21165 MS-25

Information Systems Analyst II 21166 MS-29

Information Systems Analyst III 21167 MS-32

Information Technology/Communications Systems

Specialist I

21216 MS-21

Information Technology/Communications Systems

Specialist II

21217 MS-31

Inhalation Therapist 21259 MS-05

Inhalation Therapy Supervisor 21260 MS-08


17



Institutional Helper 21460 MS-05

Institutional Maintenance Worker 21465 MS-05

Instrument Designer 21500 MS-19

Insurance Analyst I 21561 MS-06

Insurance Analyst II 21562 MS-09

Insurance Analyst III 21563 MS-11

Insurance Analyst IV 21564 MS-14

Insurance Analyst Trainee 21566 MS-04

Insurance Company Claims Examiner I 21601 MS-16

Insurance Company Claims Examiner II 21602 MS-21

Insurance Company Field Staff Examiner 21608 MS-14

Insurance Company Financial Examiner Trainee 21610 MS-10

Insurance Performance Examiner I 21671 MS-11

Insurance Performance Examiner II 21672 MS-16

Insurance Performance Examiner III 21673 MS-23

Intermittent Clerk 21686 MS-02

Intermittent Laborer (Maintenance) 21687 MS-08

Intermittent Unemployment Insurance Representative 21689 MS-09

Intermittent Unemployment Insurance Technician 21690 MS-04

Internal Auditor I 21721 MS-16

Internal Auditor Trainee 21726 MS-09

Internal Investigations Principal Evaluation Supervisor 21735 MS-31

Internal Investigations Supervisor 21740 MS-31

Internal Security Investigator I 21731 MS-19

Internal Security Investigator II 21732 MS-25

International Marketing Representative I 21761 MS-11

Janitor I 21951 MS-13

Janitor II 21952 MS-14

Juvenile Justice Chief of Security 21965 MS-31

Juvenile Justice Psychologist Administrator 21967 MS-32

Juvenile Justice Specialist 21971 MS-20

Juvenile Justice Specialist Intern 21976 MS-13

Juvenile Justice Supervisor 21980 MS-27

Juvenile Justice Unit Superintendent 21985 MS-32

Juvenile Justice Youth and Family Specialist Option 1 21991 MS-19

Juvenile Justice Youth and Family Specialist Option 2 21992 MS-23

Juvenile Justice Youth and Family Specialist Supervisor 21995 MS-28

Kidcare Supervisor 22003 MS-23

Labor Conciliator 22750 MS-23


17



Labor Maintenance Lead Worker 22809 MS-16

Laboratory Assistant 22995 MS-03

Laboratory Associate I 22997 MS-07

Laboratory Associate II 22998 MS-09

Laboratory Equipment Specialist 22990 MS-19

Laboratory Quality Specialist I 23021 MS-21

Laboratory Quality Specialist II 23022 MS-25

Laboratory Research Scientist 23025 MS-29

Laboratory Research Specialist I 23027 MS-21

Laboratory Research Specialist II 23028 MS-25

Laborer (Maintenance) 23080 MS-15

Land Acquisition Agent I 23091 MS-12

Land Acquisition Agent II 23092 MS-19

Land Acquisition Agent III 23093 MS-25

Land Reclamation Specialist I 23131 MS-11

Land Reclamation Specialist II 23132 MS-16

Land Reclamation Specialist Trainee 23137 MS-09

Landscape Architect 23145 MS-28

Landscape Planner 23150 MS-21

Laundry Manager I 23191 MS-10

Law Enforcement Training Administrator 23260 MS-32

Legal Research Assistant 23350 MS-10

Liability Claims Adjuster I 23371 MS-11

Liability Claims Adjuster II 23372 MS-19

Liability Claims Adjuster Trainee 23375 MS-09

Librarian I 23401 MS-14

Librarian II 23402 MS-19

Library Aide I 23421 MS-03

Library Aide II 23422 MS-04

Library Aide III 23423 MS-05

Library Associate 23430 MS-09

Library Technical Assistant 23450 MS-07

Licensed Practical Nurse I 23551 MS-09

Licensed Practical Nurse II 23552 MS-10

Licensing Assistant 23568 MS-05

Licensing Investigations Supervisor 23577 MS-32

Licensing Investigator I 23571 MS-10

Licensing Investigator II 23572 MS-13

Licensing Investigator III 23573 MS-15


17



Licensing Investigator IV 23574 MS-20

Life Sciences Career Trainee 23600 MS-09

Liquor Control Special Agent I 23751 MS-13

Liquor Control Special Agent II 23752 MS-14

Local Historical Services Representative 24000 MS-16

Local Housing Advisor I 24031 MS-11

Local Housing Advisor II 24032 MS-14

Local Housing Advisor III 24033 MS-19

Local Revenue and Fiscal Advisor I 24101 MS-12

Local Revenue and Fiscal Advisor II 24102 MS-16

Local Revenue and Fiscal Advisor III 24103 MS-21

Lock and Dam Tender 24290 MS-07

Locksmith 24300 MS-16

Lottery Commodities Distributor II 24402 MS-09

Lottery Regional Coordinator 24504 MS-21

Lottery Sales Representative 24515 MS-14

Lottery Telemarketing Representative 24520 MS-06

Maintenance Equipment Operator 25020 MS-18

Maintenance Worker 25500 MS-16

Management Operations Analyst I 25541 MS-19

Management Operations Analyst II 25542 MS-23

Management Operations Analyst Trainee 25545 MS-12

Management Systems Specialist 25583 MS-25

Manpower Planner I 25591 MS-11

Manpower Planner II 25592 MS-16

Manpower Planner III 25593 MS-23

Manpower Planner Trainee 25597 MS-09

Manuscripts Manager 25610 MS-21

Meat and Poultry Inspector 26070 MS-10

Meat and Poultry Inspector Supervisor 26073 MS-13

Meat and Poultry Inspector Trainee 26075 MS-07

Mechanical Engineer I 26201 MS-12

Mechanical Engineer II 26202 MS-16

Mechanical Engineer III 26203 MS-21

Medicaid Management Analyst 26301 MS-20

Medicaid Management Intern 26305 MS-13

Medical Administrator I Option C 26400 MS-60

Medical Administrator I Option D 26401 MS-62

Medical Administrator II Option C 26402 MS-61


17



Medical Administrator II Option D 26403 MS-64

Medical Administrator III 26404 MS-65

Medical Administrator IV 26405 MS-66

Medical Administrator V 26406 MS-67

Medical Assistance Consultant I 26501 MS-10

Medical Assistance Consultant II 26502 MS-14

Medical Assistance Consultant III 26503 MS-21

Mental Health Administrator I 26811 MS-19

Mental Health Administrator II 26812 MS-23

Mental Health Administrator Trainee 26817 MS-14

Mental Health Program Administrator 26908 MS-63

Mental Health Recovery Support Specialist I 26921 MS-16

Mental Health Recovery Support Specialist II 26922 MS-19

Mental Health Specialist I 26924 MS-09

Mental Health Specialist II 26925 MS-11

Mental Health Specialist III 26926 MS-14

Mental Health Specialist Trainee 26928 MS-08

Mental Health Technician I 27011 MS-04

Mental Health Technician II 27012 MS-05

Mental Health Technician III 27013 MS-06

Mental Health Technician IV 27014 MS-07

Mental Health Technician V 27015 MS-08

Mental Health Technician VI 27016 MS-09

Mental Health Technician Trainee 27020 MS-03

Meteorologist 27120 MS-19

Methods and Procedures Advisor I 27131 MS-11

Methods and Procedures Advisor II 27132 MS-14

Methods and Procedures Advisor III 27133 MS-23

Methods and Procedures Career Associate I 27135 MS-08

Methods and Procedures Career Associate II 27136 MS-09

Methods and Procedures Career Associate Trainee 27137 MS-06

Metrologist Associate 27146 MS-12

Microbiologist I 27151 MS-14

Microbiologist II 27152 MS-21

Microfilm Laboratory Technician I 27175 MS-04

Microfilm Laboratory Technician II 27176 MS-06

Microfilm Operator I 27181 MS-03

Microfilm Operator II 27182 MS-04

Microfilm Operator III 27183 MS-05


17



Mine Rescue Station Assistant 28150 MS-07

Motorist Assistance Specialist 28490 MS-05

Musician 28805 MS-05

Narcotics and Currency Unit Supervisor 28750 MS-32

Natural Resources Advanced Specialist 28833 MS-23

Natural Resources Coordinator 28831 MS-12

Natural Resources Coordinator Trainee 28830 MS-09

Natural Resources Education Program Coordinator 28834 MS-23

Natural Resources Grant Coordinator 28835 MS-20

Natural Resources Manager I 28836 MS-23

Natural Resources Manager II 28837 MS-26

Natural Resources Manager III 28838 MS-30

Natural Resources Site Manager I 28841 MS-23

Natural Resources Site Manager II 28842 MS-26

Natural Resources Specialist 28832 MS-19

Natural Resources Technician I 28851 MS-07

Natural Resources Technician II 28852 MS-10

Nursing Act Assistant Coordinator 29731 MS-25

Nutritionist 29820 MS-19

Occupational Therapist 29900 MS-16

Occupational Therapist Program Coordinator 29908 MS-21

Occupational Therapist Supervisor 29910 MS-25

Office Administrative Specialist 29990 MS-09

Office Administrator I 29991 MS-04

Office Administrator II 29992 MS-06

Office Administrator III 29993 MS-08

Office Administrator IV 29994 MS-11

Office Administrator V 29995 MS-12

Office Aide 30005 MS-02

Office Assistant 30010 MS-04

Office Associate 30015 MS-05

Office Clerk 30020 MS-03

Office Coordinator 30025 MS-06

Office Occupations Trainee 30075 MS-01

Office Specialist 30080 MS-08

Optometrist 30300 MS-11

Oral Health Consultant 30317 MS-19

Paralegal Assistant 30860 MS-11

Pension and Death Benefits Technician I 30961 MS-09


17



Pension and Death Benefits Technician II 30962 MS-21

Pest Control Operator 31810 MS-07

Pharmacy Lead Technician 32009 MS-06

Pharmacy Services Coordinator 32010 MS-32

Pharmacy Technician 32011 MS-04

Pharmacy Manager 32025 MS-33

Photographer 32080 MS-11

Photographic Technician I 32091 MS-08

Photographic Technician II 32092 MS-11

Photographic Technician III 32093 MS-12

Physical Therapist 32145 MS-16

Physical Therapist Program Coordinator 32153 MS-21

Physical Therapy Aide I 32191 MS-03

Physical Therapy Aide II 32192 MS-05

Physical Therapy Aide III 32193 MS-08

Physician 32200 MS-36

Physician Assistant 32210 MS-27

Physician Specialist − Option A 32221 MS-37

Physician Specialist − Option B 32222 MS-38

Physician Specialist − Option C 32223 MS-61

Physician Specialist − Option D 32224 MS-63

Physician Specialist − Option E 32225 MS-65

Plant and Pesticide Specialist I 32501 MS-15

Plant and Pesticide Specialist II 32502 MS-20

Plant and Pesticide Specialist Supervisor 32506 MS-20

Plumbing Consultant 32910 MS-28

Plumbing Inspector 32915 MS-22

Podiatrist 32960 MS-11

Police Lieutenant 32977 MS-31

Police Officer I 32981 MS-15

Police Officer II 32982 MS-20

Police Officer III 32983 MS-24

Police Training Specialist 32990 MS-16

Polygraph Examiner I 33001 MS-20

Polygraph Examiner II 33002 MS-24

Polygraph Examiner III 33003 MS-28

Polygraph Examiner Trainee 33005 MS-12

Power Shovel Operator 33360 MS-18

Private Secretary I 34201 MS-14


17



Private Secretary II 34202 MS-18

Procurement Representative 34540 MS-06

Products and Standards Inspector 34603 MS-11

Products and Standards Inspector Trainee 34605 MS-09

Program Integrity Auditor I 34631 MS-14

Program Integrity Auditor II 34632 MS-21

Program Integrity Auditor Trainee 34635 MS-09

Project Designer 34725 MS-21

Property and Supply Clerk I 34791 MS-03

Property and Supply Clerk II 34792 MS-04

Property and Supply Clerk III 34793 MS-05

Property Consultant 34900 MS-12

Psychologist Associate 35626 MS-12

Psychologist I 35611 MS-16

Psychologist II 35612 MS-23

Psychologist III 35613 MS-28

Psychology Intern 35660 MS-15

Public Administration Intern 35700 MS-11

Public Aid Eligibility Assistant 35825 MS-05

Public Aid Investigator 35870 MS-21

Public Aid Investigator Trainee 35874 MS-11

Public Aid Lead Casework Specialist 35880 MS-16

Public Aid Program Quality Analyst 35890 MS-21

Public Aid Quality Control Reviewer 35892 MS-16

Public Aid Quality Control Supervisor 35900 MS-21

Public Aid Staff Development Specialist I 36071 MS-12

Public Aid Staff Development Specialist II 36072 MS-16

Public Aid Staff Development Specialist III 36073 MS-22

Public Health Educator 36430 MS-21

Public Health Educator Associate 36434 MS-11

Public Health Program Specialist I 36611 MS-11

Public Health Program Specialist II 36612 MS-14

Public Health Program Specialist III 36613 MS-21

Public Health Program Specialist Trainee 36615 MS-09

Public Information Coordinator 36750 MS-19

Public Information Officer I 37001 MS-09

Public Information Officer II 37002 MS-11

Public Information Officer III 37003 MS-21

Public Information Officer IV 37004 MS-25


17



Public Safety Inspector 37007 MS-14

Public Safety Inspector Trainee 37010 MS-07

Public Service Executive 37017 MS-31

Public Service Supervisor 37016 MS-28

Public Service Trainee 37025 MS-01

Race Track Maintainer I 37551 MS-10

Race Track Maintainer II 37552 MS-12

Radiologic Technologist 37500 MS-08

Radiologic Technologist Chief 37505 MS-17

Radiologic Technologist Program Coordinator 37507 MS-09

Railroad Safety Specialist I 37601 MS-21

Railroad Safety Specialist II 37602 MS-25

Railroad Safety Specialist III 37603 MS-29

Railroad Safety Specialist IV 37604 MS-32

Ranger 37725 MS-10

Real Estate Investigator 37730 MS-21

Real Estate Professions Examiner 37760 MS-28

Recreation Worker I 38001 MS-09

Recreation Worker II 38002 MS-11

Refrigeration and Air Conditioning Repairer 38119 MS-12

Registered Nurse − Advanced Practice 38135 MS-26

Registered Nurse I 38131 MS-18

Registered Nurse II 38132 MS-22

Rehabilitation Case Coordinator I 38141 MS-05

Rehabilitation Case Coordinator II 38142 MS-07

Rehabilitation Counselor 38145 MS-16

Rehabilitation Counselor Aide I 38155 MS-06

Rehabilitation Counselor Aide II 38156 MS-08

Rehabilitation Counselor Senior 38158 MS-21

Rehabilitation Counselor Trainee 38159 MS-12

Rehabilitation Services Advisor I 38176 MS-23

Rehabilitation Workshop Instructor I 38192 MS-05

Rehabilitation Workshop Instructor II 38193 MS-09

Rehabilitation Workshop Supervisor I 38194 MS-09

Rehabilitation Workshop Supervisor II 38195 MS-11

Rehabilitation Workshop Supervisor III 38196 MS-14

Rehabilitation/Mobility Instructor 38163 MS-21

Rehabilitation/Mobility Instructor Trainee 38167 MS-12

Reimbursement Officer I 38199 MS-11


17



Reimbursement Officer II 38200 MS-14

Reproduction Service Supervisor I 38201 MS-10

Reproduction Service Supervisor II 38202 MS-18

Reproduction Service Technician I 38203 MS-03

Reproduction Service Technician II 38204 MS-06

Reproduction Service Technician III 38205 MS-08

Research Economist 38209 MS-18

Research Fellow, Option B 38211 MS-19

Research Scientist I 38231 MS-10

Research Scientist II 38232 MS-14

Research Scientist III 38233 MS-23

Resident Physician 38270 MS-15

Residential Care Program Supervisor I 38271 MS-22

Residential Care Worker 38277 MS-09

Residential Care Worker Trainee 38279 MS-05

Resource Planner I 38281 MS-16

Resource Planner II 38282 MS-21

Resource Planner III 38283 MS-28

Retirement Benefits Representative 38313 MS-09

Retirement Benefits Representative Supervisor 38314 MS-11

Retirement Benefits Representative Trainee 38316 MS-07

Retirement System Disability Specialist 38310 MS-21

Revenue Audit Supervisor 38369 MS-32

Revenue Auditor I 38371 MS-14

Revenue Auditor II 38372 MS-21

Revenue Auditor III 38373 MS-28

Revenue Auditor Trainee 38375 MS-09

Revenue Collection Officer I 38401 MS-12

Revenue Collection Officer II 38402 MS-16

Revenue Collection Officer III 38403 MS-21

Revenue Collection Officer Trainee 38405 MS-09

Revenue Computer Audit Specialist 38425 MS-29

Revenue Senior Special Agent 38557 MS-29

Revenue Special Agent 38558 MS-21

Revenue Special Agent Trainee 38565 MS-11

Revenue Tax Specialist I 38571 MS-09

Revenue Tax Specialist II 38572 MS-11

Revenue Tax Specialist III 38573 MS-16

Revenue Tax Specialist Trainee 38575 MS-07


17



Safety Responsibility Analyst 38910 MS-09

Safety Responsibility Analyst Supervisor 38915 MS-11

School Psychologist 39200 MS-21

Security Guard I 39851 MS-13

Security Guard II 39852 MS-14

Security Officer 39870 MS-10

Security Officer Chief 39875 MS-13

Security Officer Lieutenant 39876 MS-11

Security Officer Sergeant 39877 MS-10

Security Therapy Aide I 39901 MS-10

Security Therapy Aide II 39902 MS-11

Security Therapy Aide III 39903 MS-13

Security Therapy Aide IV 39904 MS-16

Security Therapy Aide Trainee 39905 MS-06

Seed Analyst I 39951 MS-09

Seed Analyst II 39952 MS-10

Seed Analyst Trainee 39953 MS-07

Senior Ranger 40090 MS-11

Sex Offender Registration Unit Supervisor 40700 MS-33

Sex Offender Therapist I 40531 MS-16

Sex Offender Therapist II 40532 MS-21

Shift Supervisor 40800 MS-31

Sign Hanger 40900 MS-16

Sign Hanger Foreman 40910 MS-18

Sign Shop Foreman 41000 MS-12

Silk Screen Operator 41020 MS-17

Site Assistant Superintendent I 41071 MS-12

Site Assistant Superintendent II 41072 MS-16

Site Interpreter 41090 MS-07

Site Interpretive Coordinator 41093 MS-10

Site Security Officer 41115 MS-06

Site Services Specialist I 41117 MS-12

Site Services Specialist II 41118 MS-16

Site Superintendent I 41211 MS-20

Site Superintendent II 41212 MS-25

Site Superintendent III 41213 MS-29

Site Technician I 41131 MS-07

Site Technician II 41132 MS-09

Small Engine Mechanic 41150 MS-10


17



Social Service Aide I 41281 MS-05

Social Service Aide II 41282 MS-08

Social Service Aide Trainee 41285 MS-03

Social Service Community Planner 41295 MS-08

Social Service Consultant I 41301 MS-19

Social Service Consultant II 41302 MS-21

Social Service Program Planner I 41311 MS-12

Social Service Program Planner II 41312 MS-16

Social Service Program Planner III 41313 MS-23

Social Service Program Planner IV 41314 MS-28

Social Services Career Trainee 41320 MS-09

Social Worker I 41411 MS-16

Social Worker II 41412 MS-21

Social Worker III 41413 MS-23

Social Worker IV 41414 MS-28

Social Worker Intern 41430 MS-15

Staff Development Specialist I 41771 MS-19

Staff Development Technician I 41781 MS-09

Staff Development Technician II 41782 MS-12

Staff Pharmacist 41787 MS-31

State Mine Inspector 42230 MS-21

State Mine Inspector-At-Large 42240 MS-31

State Police Crime Information Evaluator 41801 MS-08

State Police Evidence Technician I 41901 MS-09

State Police Evidence Technician II 41902 MS-10

State Police Field Specialist I 42001 MS-19

State Police Field Specialist II 42002 MS-23

State Police Inspector 42100 MS-33

Statistical Research Specialist I 42741 MS-09

Statistical Research Specialist II 42742 MS-11

Statistical Research Specialist III 42743 MS-16

Statistical Research Supervisor 42745 MS-23

Statistical Research Technician 42748 MS-08

Storage Tank Safety Specialist 43005 MS-19

Storekeeper I 43051 MS-11

Storekeeper II 43052 MS-12

Storekeeper III 43053 MS-13

Stores Clerk 43060 MS-03

Student Intern 43190 MS-01


17



Student Worker 43200 MS-01

Supervising Vehicle Testing Compliance Officer 43680 MS-22

Support Service Coordinator I 44221 MS-07

Support Service Coordinator II 44222 MS-09

Support Service Lead 44225 MS-04

Support Service Worker 44238 MS-03

Switchboard Chief Operator 44410 MS-11

Switchboard Operator I 44411 MS-03

Switchboard Operator II 44412 MS-04

Switchboard Operator III 44413 MS-06

Technical Advisor Advanced Program Specialist 45256 MS-31

Technical Advisor I 45251 MS-19

Technical Advisor II 45252 MS-23

Technical Advisor III 45253 MS-29

Technical Manager I 45261 MS-18

Telecommunications Specialist 45295 MS-12

Telecommunications Supervisor 45305 MS-23

Telecommunications Systems Analyst 45308 MS-16

Telecommunications Systems Technician I 45312 MS-07

Telecommunications Systems Technician II 45313 MS-10

Telecommunications Systems Technician Trainee 45314 MS-05

Telecommunicator 45321 MS-09

Telecommunicator − Command Center 45316 MS-10

Telecommunicator Call Taker 45322 MS-11

Telecommunicator Lead Call Taker 45323 MS-14

Telecommunicator Lead Specialist 45327 MS-16

Telecommunicator Lead Worker 45324 MS-11

Telecommunicator Lead Worker − Command Center 45318 MS-12

Telecommunicator Specialist 45326 MS-12

Telecommunicator Trainee 45325 MS-07

Terrorism Research Specialist I 45371 MS-19

Terrorism Research Specialist II 45372 MS-23

Terrorism Research Specialist III 45373 MS-28

Terrorism Research Specialist Trainee 45375 MS-11

Transportation Officer 45830 MS-11

Truck Weighing Inspector 46100 MS-10

Unemployment Insurance Adjudicator I 47001 MS-08

Unemployment Insurance Adjudicator II 47002 MS-10

Unemployment Insurance Adjudicator III 47003 MS-12


17



Unemployment Insurance Revenue Analyst I 47081 MS-12

Unemployment Insurance Revenue Analyst II 47082 MS-16

Unemployment Insurance Revenue Specialist 47087 MS-10

Unemployment Insurance Special Agent 47096 MS-19

Utility Engineer I 47451 MS-20

Utility Engineer II 47452 MS-24

Vehicle Compliance Inspector 47570 MS-15

Vehicle Emission Compliance Inspector 47580 MS-10

Vehicle Emission Compliance Supervisor 47583 MS-12

Vehicle Emission Quality Assurance Auditor 47584 MS-10

Vehicle Permit Evaluator 47585 MS-08

Veterans Educational Specialist I 47681 MS-12

Veterans Educational Specialist II 47682 MS-16

Veterans Educational Specialist III 47683 MS-25

Veterans Employment Representative I 47701 MS-11

Veterans Employment Representative II 47702 MS-14

Veterans Nursing Assistant − Certified 47750 MS-05

Veterans Service Officer 47800 MS-11

Veterans Service Officer Associate 47804 MS-10

Veterinarian I 47901 MS-19

Veterinarian II 47902 MS-23

Veterinarian III 47903 MS-25

Veterinary Consumer Safety Officer 47911 MS-20

Veterinary Pathologist 47916 MS-29

Veterinary Supervisor I 47917 MS-25

Veterinary Supervisor II 47918 MS-26

Vision/Hearing Consultant I 47941 MS-14

Vision/Hearing Consultant II 47942 MS-23

Vision/Hearing Consultant III 47943 MS-25

Vital Records Quality Control Inspector 48000 MS-10

Vocational Instructor 48200 MS-09

Volunteer Services Coordinator I 48481 MS-10

Volunteer Services Coordinator II 48482 MS-14

Volunteer Services Coordinator III 48483 MS-19

Wage Claims Specialist 48770 MS-06

Warehouse Claims Specialist 48780 MS-22

Warehouse Examiner 48881 MS-13

Warehouse Examiner Specialist 48882 MS-18

Warehouse Examiner Supervisor 48786 MS-20


17



Waterways Construction Supervisor I 49061 MS-14

Waterways Construction Supervisor II 49062 MS-19

Weatherization Specialist I 49101 MS-11

Weatherization Specialist II 49102 MS-16

Weatherization Specialist III 49103 MS-23

Weatherization Specialist Trainee 49105 MS-09

Well Inspector I 49421 MS-11

Well Inspector II 49422 MS-18

Well Inspector Trainee 49425 MS-09

Workers Compensation Insurance Compliance Investigator 49640 MS-23

NOTE: Effective January 1, 2008, the merit compensation grade 12 in the Personnel Code [20

ILCS 415/8b.18(a) and (b) and 8b.19(a) and (b)] that formerly was indicated by MC-12

is MS-32.



17



Section 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE I RC-009 (Institutional Employees, AFSCME)

Title Title Code Bargaining Unit Pay Grade

Activity Program Aide I 00151 RC-009 03

Activity Program Aide II 00152 RC-009 05

Apparel/Dry Goods Specialist I 01231 RC-009 05

Apparel/Dry Goods Specialist II 01232 RC-009 09

Apparel/Dry Goods Specialist III 01233 RC-009 23

Clinical Laboratory Associate 08200 RC-009 09

Clinical Laboratory Phlebotomist 08213 RC-009 06

Clinical Laboratory Technician I 08215 RC-009 16

Clinical Laboratory Technician II 08216 RC-009 22

Cook I 09601 RC-009 07

Cook II 09602 RC-009 14

Educator Aide 13130 RC-009 19

Facility Assistant Fire Chief 14430 RC-009 21

Facility Fire Safety Coordinator 14435 RC-009 21

Facility Firefighter 14439 RC-009 16

Florist II 15652 RC-009 19

Institutional Maintenance Worker 21465 RC-009 10

Laboratory Assistant 22995 RC-009 02

Laboratory Associate I 22997 RC-009 16

Laboratory Associate II 22998 RC-009 22

Laundry Manager I 23191 RC-009 23

Licensed Practical Nurse I 23551 RC-009 16

Licensed Practical Nurse II 23552 RC-009 21

Locksmith 24300 RC-009 27

Mental Health Technician I 27011 RC-009 05

Mental Health Technician II 27012 RC-009 09

Mental Health Technician III 27013 RC-009 12

Mental Health Technician IV 27014 RC-009 14

Mental Health Technician V 27015 RC-009 17

Mental Health Technician VI 27016 RC-009 18

Mental Health Technician Trainee 27020 RC-009 01

Musician 28805 RC-009 12

Pest Control Operator 31810 RC-009 15

Physical Therapy Aide I 32191 RC-009 04


17



Physical Therapy Aide II 32192 RC-009 10

Physical Therapy Aide III 32193 RC-009 17

Rehabilitation Workshop Instructor I 38192 RC-009 12

Rehabilitation Workshop Instructor II 38193 RC-009 20

Residential Care Worker 38277 RC-009 20

Residential Care Worker Trainee 38279 RC-009 11

Security Therapy Aide I 39901 RC-009 24

Security Therapy Aide II 39902 RC-009 25

Security Therapy Aide III 39903 RC-009 26

Security Therapy Aide IV 33904 RC-009 27

Security Therapy Aide Trainee 39905 RC-009 13

Social Service Aide I 41281 RC-009 12

Social Service Aide II 41282 RC-009 17

Social Service Aide Trainee 41285 RC-009 02

Support Service Coordinator I 44221 RC-009 15

Support Service Coordinator II 44222 RC-009 22

Support Service Lead 44225 RC-009 07

Support Service Worker 44238 RC-009 04

Transportation Officer 45830 RC-009 25

Veterans Nursing Assistant − Certified 47750 RC-009 12

NOTES: Shift Differential Pay – Employees shall be paid a shift differential of $0.80 per hour in

addition to their base salary rate for all hours worked if their normal work

schedule for that day provides that they are scheduled to work and they work ½ or

more of the work hours before 7 a.m. or after 3 p.m. The payment shall be for all

paid time. Incumbents who currently receive a percentage shift differential

providing more than the cents per hour indicated in this Note based on the base

rate of pay prior to the effective date shall have that percentage converted to the

cents per hour equivalent rounded to the nearest cent and shall continue to receive

the higher cents per hour rate. This provision shall not apply to employees who,

because of "flex-time" scheduling made at their request, are scheduled and work

hours that would otherwise qualify them for premium pay under this provision.

Longevity Pay – Effective January 1, 2002, the Step 8 rate shall be increased by $25 per

month for those employees who attain 10 years of continuous service and have

three or more years of creditable service on Step 7 in the same or higher pay grade

on or before January 1, 2002. For those employees who attain 15 years of

continuous service and have three or more years of creditable service on Step 7 in

the same or higher pay grade on or before January 1, 2002, the Step 8 rate shall be


17



increased by $50 per month. For employees not eligible for longevity pay on or

before January 1, 2002, the Step 8 rate shall be increased by $25 per month for

those employees who attain 10 years of continuous service and have three or more

years of creditable service on Step 8 in the same or higher pay grade. For those

employees who attain 15 years of continuous service and have three or more years

of creditable service on Step 8 in the same or higher pay grade, the Step 8 rate

shall be increased by $50 per month. Effective July 1, 2010, the Step 8 rate shall

be increased by $50 per month for those employees who attain 10 years of

continuous service and have three or more years of creditable service on Step 8 in

the same or higher pay grade on or before July 1, 2010. For those employees who

attain 15 years of continuous service and have three or more years of creditable

service on Step 8 in the same or higher pay grade on or before July 1, 2010, the

Step 8 rate shall be increased by $75 per month. Effective July 1, 2013, the Step 8

rate shall be increased by $25 per month to $75 a month for those employees who

attain 10 years of continuous service and have three or more years of creditable

service on Step 8 in the same or higher pay grade on or before July 1, 2013. For

those employees who attain 15 years of continuous service and have three or more

years of creditable service on Step 8 in the same or higher pay grade on or before

July 1, 2013, the Step 8 rate shall be increased by $25 per month to $100 a month.

Employees whose salaries are red-circled above the maximum Step rate continue

to receive all applicable general increases and any other adjustments (except the

longevity pay) provided for in the Agreement. For these employees, the longevity

pay shall be limited to the amount that would increase the employee's salary to the

amount that is equal to that of an employee on the maximum Step rate with the

same number of years of continuous and creditable service. Employees receiving

the longevity pay shall continue to receive the longevity pay as long as they

remain in the same or successor classification as a result of a reclassification or

reevaluation. Employees who are eligible for the increase provided for longevity

pay on or before January 1, 2002, shall continue to receive longevity pay after

being placed on Step 8 while they remain in the same or lower pay grade.

Effective July 1, 2014

Bargaining Unit: RC-009

Pay

Grade

Pay

Plan

Code

S T E P S

1c 1b 1a 1 2 3 4 5 6 7 8

1 B 2577 2661 2746 2831 2896 2972 3042 3116 3190 3322 3454


17



1 Q 2676 2765 2854 2943 3008 3087 3165 3239 3314 3454 3594

2 B 2636 2721 2809 2896 2972 3053 3120 3207 3279 3418 3557

2 Q 2738 2827 2917 3008 3087 3169 3243 3334 3409 3554 3696

3 B 2655 2743 2829 2917 3008 3105 3201 3302 3409 3546 3689

3 Q 2757 2848 2940 3029 3125 3227 3328 3436 3542 3688 3836

4 B 2700 2790 2877 2967 3042 3119 3201 3284 3360 3502 3641

4 Q 2805 2898 2990 3082 3165 3242 3328 3414 3495 3642 3788

5 B 2719 2809 2899 2988 3080 3179 3279 3384 3492 3631 3779

5 Q 2828 2922 3015 3109 3203 3307 3409 3521 3630 3778 3930

6 B 2782 2874 2966 3058 3135 3220 3310 3394 3489 3636 3781

6 Q 2889 2982 3078 3173 3259 3349 3443 3532 3626 3781 3933

7 B 2840 2933 3026 3120 3216 3296 3393 3486 3577 3730 3879

7 Q 2951 3049 3145 3243 3342 3430 3531 3624 3723 3887 4042

8 B 2854 2948 3042 3135 3225 3320 3413 3504 3604 3767 3917

8 Q 2965 3063 3161 3259 3352 3452 3547 3645 3747 3922 4079

9 B 2865 2959 3054 3149 3246 3351 3455 3569 3685 3845 3998

9 Q 2979 3077 3176 3274 3377 3484 3597 3712 3838 4004 4164

10 B 2926 3023 3119 3216 3310 3403 3503 3600 3704 3876 4032

10 Q 3041 3141 3242 3342 3443 3537 3644 3742 3856 4036 4198

11 B 2935 3031 3128 3225 3327 3424 3532 3628 3731 3908 4065

11 Q 3051 3152 3252 3352 3462 3560 3676 3774 3888 4070 4234

12 B 2951 3048 3145 3242 3346 3452 3562 3676 3798 3965 4124

12 Q 3069 3170 3272 3373 3478 3591 3707 3827 3960 4130 4296


17



13 B 3027 3127 3227 3327 3430 3539 3649 3766 3877 4061 4223

13 Q 3151 3254 3358 3462 3568 3683 3796 3920 4037 4230 4401

14 B 3035 3135 3235 3335 3439 3555 3664 3787 3917 4091 4253

14 Q 3155 3259 3363 3467 3578 3696 3814 3945 4079 4264 4435

15 B 3102 3204 3307 3409 3514 3630 3745 3871 3984 4178 4344

15 Q 3224 3330 3436 3542 3654 3777 3900 4034 4148 4355 4530

16 B 3124 3227 3330 3433 3559 3664 3785 3905 4025 4231 4402

16 Q 3250 3358 3465 3572 3702 3814 3944 4067 4195 4418 4594

17 B 3127 3230 3333 3436 3546 3664 3784 3914 4045 4248 4418

17 Q 3254 3361 3468 3575 3688 3814 3943 4077 4217 4435 4612

18 B 3156 3260 3364 3468 3579 3704 3826 3956 4089 4283 4452

18 Q 3285 3394 3502 3610 3726 3856 3984 4122 4262 4470 4647

19 B 3201 3306 3412 3517 3649 3767 3890 4018 4142 4362 4535

19 Q 3328 3437 3548 3657 3796 3922 4053 4185 4318 4550 4734

20 B 3226 3333 3439 3546 3676 3796 3929 4057 4189 4441 4621

20 Q 3357 3467 3578 3688 3827 3957 4091 4228 4369 4640 4825

21 B 3319 3428 3537 3647 3772 3890 4023 4159 4302 4537 4720

21 Q 3453 3567 3681 3794 3929 4053 4191 4336 4491 4736 4927

22 B 3371 3481 3592 3704 3840 3965 4114 4248 4405 4641 4826

22 Q 3508 3625 3740 3856 3998 4130 4289 4435 4595 4846 5041

23 B 3450 3564 3678 3791 3932 4068 4224 4368 4511 4758 4948

23 Q 3593 3712 3831 3949 4096 4242 4405 4561 4709 4975 5169

24 B 3456 3571 3684 3798 3939 4080 4236 4389 4545 4789 4985

24 Q 3603 3723 3841 3960 4103 4255 4421 4581 4752 5010 5212


17



25 B 3756 3880 4004 4127 4293 4460 4652 4827 5017 5310 5521

25 Q 3916 4045 4174 4303 4482 4658 4861 5047 5245 5551 5772

26 B 3908 4036 4165 4294 4485 4671 4869 5062 5254 5563 5781

26 Q 4080 4215 4350 4484 4679 4880 5088 5294 5489 5814 6047

27 B 4097 4231 4367 4502 4696 4898 5101 5304 5501 5817 6049

27 Q 4281 4423 4563 4704 4905 5121 5331 5539 5750 6074 6316

(Source: Amended at 41 Ill. Reg. _______________, effective _______________)


17

ILLINOIS EDUCATIONAL LABOR RELATIONS BOARD

NOTICE OF PROPOSED REPEALER

1) Heading of the Part: Freedom of Information



2676.10 Repealed

2676.20 Repealed

2676.30 ` Repealed

2676.40 Repealed

2676.60 Repealed

2676.70 Repealed

2676.80 Repealed

4) Statutory Authority: Authorized by Section 3(h) of the Freedom of Information Act [5

ILCS 140/3(h) and Section 5(i) of the Illinois Educational Labor Relations Act [115

ILCS 5/5(i)]

5) A Complete Description of the Subjects and Issues Involved: This rulemaking repeals

the IELRB's current Freedom of Information Act Rules, since they are being replaced by

updated Rules based on changes to the Illinois Freedom of Information Act.


rulemaking: None

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



10) Are there any other rulemakings pending on this Part? A new version of the IELRB''s

related to the Freedom of Information Act has also been proposed.

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

State mandate under 30 ILCS 805.

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

rulemaking: Any interested person may submit comments in writing concerning this


17



proposed rulemaking not later than 45 days after publication of this Notice in the Illinois

Register to:

Susan J. Willenborg

General Counsel

Illinois Educational Labor Relations Board

160 N. LaSalle Street, Suite N-400

Chicago IL 60601-3103

312/793-3170

email: [email protected]

Comments received by the Illinois Educational Labor Relations Board will be available

to members of the public upon written request.



affected: None

B) Reporting, bookkeeping or other procedures required for compliance: Small

businesses, small municipalities and not-for-profit corporations will not be

affected.

C) Types of professional skills necessary for compliance: Small businesses, small

municipalities and not-for-profit corporations will not be affected.

14) Regulatory Agenda on which this rulemaking was summarized: July 2016

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


17



TITLE 2: GOVERNMENTAL ORGANIZATION

SUBTITLE E: MISCELLANEOUS STATE AGENCIES

CHAPTER XLVIII: ILLINOIS EDUCATIONAL LABOR RELATIONS BOARD

PART 2676

FREEDOM OF INFORMATION (REPEALED)

Section

2676.10 General Categories of Board Records

2676.20 Availability of Certain Records

2676.30 Requests for Access to Records

2676.40 Initial Response to Request

2676.50 Appeal of Denial of Access (Repealed)

2676.60 Place and Time of Inspection

2676.70 Copies

2676.80 Records of Freedom of Information Act Requests

AUTHORITY: Implementing the Freedom of Information Act [5 ILCS 140] and authorized by

Section 5(i) of the Educational Labor Relations Act [115 ILCS 5/5(i)].

SOURCE: Adopted at 14 Ill. Reg. 4151, effective March 2, 1990; amended at 28 Ill. Reg. 7921,

effective May 28, 2004; amended at 35 Ill. Reg. 14426, effective August 12, 2011; repealed at 41

Ill. Reg. ______, effective ____________.

Section 2676.10 General Categories of Board Records

a) The Illinois Educational Labor Relations Board (the Board) maintains the

following general categories of records:

1) Case records covering the processing and disposition of representation and

unfair labor practice cases.

2) Mediation/arbitration records, including the Board's roster of

mediators/arbitrators, requests for panels from the roster, and related

records.

3) Collective bargaining agreement filed with the Board by employers under

the Board's jurisdiction.


17



4) Minutes and agendas of Board meetings.

5) Administrative, fiscal and personnel files covering the Board's internal

business affairs.

6) General correspondence.

7) Legislative and rulemaking files covering analyses of bills and proposed

rules, comments on proposed bills and rules, and related records.

8) Files and records concerning the appeal of Board decisions to the

Appellate Court and other litigation involving the Board.

9) Files and records concerning mediations conducted by Board employees.

b) Within these general categories, some records are available to the public for

inspection, others are available subject to limitations, and some are deemed

confidential and exempt from disclosure pursuant to the Board's Freedom of

Information procedures. Section 2676.20 provides examples.

Section 2676.20 Availability of Certain Records

a) The following records maintained by the Board are available for public

inspection.

1) Dockets of cases filed with the Board.

2) Pending Representation Petitions (including for certification,

decertification, clarification and amendment of certification).

3) Current certifications of exclusive bargaining representatives and

certifications of result.

4) Pending unfair labor practice charges.

5) Decisions and Orders rendered by hearing officers, Administrative Law

Judges, the Executive Director and the Board.

6) The Labor Mediation Roster, including vitae of roster members.


17



7) Open Session Minutes and Agendas of Board meetings.

8) Freedom of Information Requests and the records showing their

dispositions. Information the disclosure of which would constitute a

clearly unwarranted invasion of the personal privacy of a requester will be

redacted, unless the requester consents to the disclosure in writing.

9) Files in unfair labor practice and representation cases, except for the

information described in subsection (b).

10) Hearing records, including transcripts, exhibits, briefs filed to hearing

officers and Administrative Law Judges, exceptions, cross-exceptions and

briefs filed with the Board, and other record materials from Board-

conducted hearings in both representation and unfair labor practice cases.

11) Mediation/arbitration records, other than those dealing with mediations

conducted by Board personnel.

12) Rulemaking files, except for preliminary drafts, notes, recommendations,

memoranda and other records in which opinions are expressed, or policies

or actions are formulated, except to the extent that a record or a relevant

portion of a record is publicly cited and identified by the Chairman of the

Board.

13) Collective bargaining agreements filed with the Board by covered

employers.

14) Records relating to the obligation, receipt and use of public funds of the

State and school districts.

b) The following records are regarded as confidential and exempt from disclosure

pursuant to the Board's Freedom of Information procedures.

1) Showings of Interest submitted to the Board in conjunction with petitions

in representation cases, and materials generated by the Board's

investigations of those showings.

2) Files in pending unfair labor practice and representation cases.


17



3) Records in representation cases potentially identifying voters (or non-

voters) and the character of their votes in secret ballot elections conducted

by the Board.

4) Information regarding Board employees that constitutes private

information as defined in Section 2(c-5) of the Freedom of Information

Act [5 ILCS 140] is prohibited from being disclosed by the Personnel

Records Review Act [820 ILCS 40] is exempted from disclosure under the

State Officials and Employees Ethics Act [5 ILCS 430], constitutes

examination data used to determine the qualifications of an applicant for

employment, or relates to the Board's adjudication of employee grievances

or disciplinary cases; however, this exemption shall not extend to the final

outcome of cases in which discipline is imposed.

5) Preliminary drafts, notes, recommendations, memoranda and other records

by Board members or Board personnel in which opinions are expressed or

policies or actions are formulated, except when a record or a relevant

portion of a record is publicly cited and identified by the Chairman of the

Board.

6) Drafts, notes, recommendations, memoranda and other materials,

including communications between Board personnel and attorneys

representing the Board, relating to pending litigation involving the Board.

7) Information contained in files in representation and unfair labor practice

cases that constitutes private information as defined in Section 2(c-5) of

the Freedom of Information Act or personal information the disclosure of

which would constitute a clearly unwarranted invasion of personal privacy

as defined in Section 7(c) of the Freedom of Information Act, unless the

disclosure is consented to in writing by the individual subjects of the

information.

8) Affidavits submitted in unfair labor practice cases and the identity of the

persons giving the affidavits.

9) Communications made during mediations conducted by employees of the

Board, other than settlement agreements entered into by or on behalf of a

public body.


17



10) Proposals and bids for any contract or agreement, or information prepared

by or for the Board in preparation for a bid solicitation, including

information that, if it were disclosed, would frustrate procurement or give

an advantage to any person proposing to enter into a contract agreement

with the Board.

11) Information received by an educational employer under its procedures for

evaluation of faculty members by their academic peers, and course

materials or research materials used by faculty members.

12) Closed Session Minutes of Board meetings.

13) Administrative or technical information associated with automated data

processing operations that, if disclosed, would jeopardize the security of

the system or its data or the security of materials exempt from disclosure

under Section 7 of the Freedom of Information Act.

14) Records relating to collective negotiating matters between public bodies

and their employees or representatives, except for any final contract or

agreement.

15) Materials prepared or compiled with respect to internal audits of the

Board.

c) All other records maintained by the Board shall be available for public inspection,

to the extent mandated by the Freedom of Information Act, pursuant to the

procedures specified in Section 2676.30.

Section 2676.30 Requests for Access to Records

Requests under the Freedom of Information Act for access to public records of the Illinois

Educational Labor Relations Board shall be submitted in writing to the Executive Director,

Illinois Educational Labor Relations Board, 160 North LaSalle Street, Suite N-400, Chicago,

Illinois 60601. Written requests can be submitted by any means available and accessible to the

Board.

Section 2676.40 Initial Response to Request


17



a) Timelines

1) The Board will respond, through its staff, to the request within 5 working

days after its receipt unless, within that period, the staff notifies the

requester that it will require an extension of up to 5 additional working

days. A notice of such an extension shall state the reasons why the

extension is needed and the date by which the response will be

forthcoming.

2) Unless the requester and the Board agree to extend the time for the Board

to comply with the request, the Board may extend the time for responding

to the request only if:

A) the requested records are stored in whole or part at other locations

than the office having charge of them;

B) the request requires the collection of a substantial number of

specified records;

C) the request is made in categorical terms and requires an extensive

search for the records responsive to it;

D) the records have not been located in the course of routine search

and additional efforts are being made to locate them;

E) the requested records require examination and evaluation to

determine whether they are exempt from disclosure under Section

7 of the Freedom of Information Act or should be revealed only

with appropriate deletions;

F) the Board cannot comply with the request for records within 5

working days after receipt of the request without unduly burdening

or interfering with the operations of the public body, or

G) there is a need for consultation, which shall be conducted with all

practicable speed, with another public body or among two or more

components of the Board having a substantial interest in the

determination of the subject matter of the request.


17



3) The Board and the requester may also agree in writing to extend the period

for complying with the request for public records for a period to be

determined by the Board and the requester.

b) The Board shall comply with all requests seeking all records within a category

unless compliance with the request would be unduly burdensome for the Board,

there is no way to narrow the request, and the burden on the Board outweighs the

public interest in the information. Before invoking this exemption, the Board

shall afford the requester an opportunity to confer with it in an attempt to reduce

the request to manageable proportions. If the Board responds to a request by

invoking this exemption, it shall do so in writing, specifying the reasons why it

would be unduly burdensome to comply with the request and the extent to which

compliance will burden the operations of the Board. Repeated requests by the

same person for the same records that are unchanged or are identical to records

that have been previously provided or properly denied shall be deemed unduly

burdensome.

c) If the staff approves a request for the inspection of public records, it will notify

the requester when and where the records will be made available for inspection.

d) If the Board, through its staff, denies in whole or in part a written request for

records, notice of the denial shall be given in writing stating the reasons for the

denial, including a detailed factual basis for the application of any exemption

claimed. The notice shall also identify by name and title the staff persons

responsible for the denial. The notice shall also inform the requester of the right

to review by the Public Access Counselor established in the Office of the

Attorney General, provide the address and telephone number of the Public Access

Counselor, and inform the requester of his or her right to judicial review. When

the Board denies a request for records on the basis that the records are exempt

under Section 7 of the Freedom of Information Act, the notice shall specify the

exemption claimed to authorize the denial and the specific reasons for the denial,

including a detailed factual basis and a citation to supporting legal authority. If

the denial goes to only a portion of the requested records, the notice shall advise

how and when the request will otherwise be granted.

e) The Board's failure to respond to a request within the period of time prescribed in

subsection (a) may be treated by the requester as a denial of the request.

Section 2676.50 Appeal of Denial of Access (Repealed)


17



Section 2676.60 Place and Time of Inspection

Public records maintained by the Board will be made available for inspection pursuant to this

Part at the Board's offices at either One Natural Resources Way, Springfield, Illinois 62702 or

160 North LaSalle Street, Suite N-400, Chicago, Illinois 60601, during regular office hours (8:30

a.m. to 5:00 p.m.) on days other than Saturdays, Sundays and legal holidays. The Board will

determine at which office the records will be available.

Section 2676.70 Copies

Upon proper request, the Board will furnish and certify copies of public records that are available

for public inspection. No fees will be charged for the first 50 pages of copies. The fee for

additional copies will be 15 cents per page. The Board will furnish copies of documents without

charge or at a reduced charge if the requester states the specific purpose for the request and

indicates that a waiver or reduction of the fee is in the public interest. Waiver or reduction of the

fee is in the public interest if the principal purpose of the request is to access and disseminate

information regarding the health, safety and welfare or the legal rights of the general public, and

is not for the principal purpose of personal or commercial benefit. In the case of a public record

maintained in an electronic format, the Board will furnish it in the electronic format specified by

the requester, if feasible. If it is not feasible to furnish the record in the format in which it is

specified by the requester, the Board will furnish it the format in which it is maintained by the

Board or in paper format, at the option of the requester. The Board will charge the requester for

the actual cost of purchasing a recording medium.

Section 2676.80 Records of Freedom of Information Act Requests

The Board's Freedom of Information Officer shall maintain an electronic or paper copy of a

request for public records, including all documents submitted with the request. The Freedom of

Information Officer shall create a file containing the original request for public records, a copy of

the Board's response, and a copy of all other communications related to the request for public

records. The Freedom of Information Officer shall also create a single file in which copies of all

notices of denials of requests for public records shall be retained. This file shall be open to the

public and indexed according to the type of exemption asserted and, to the extent feasible,

according to the types of records request. Information in this file the disclosure of which would

constitute a clearly unwarranted invasion of the personal privacy of a requester will be redacted,

unless the requester consents to the disclosure in writing.


17

ILLINOIS EDUCATIONAL RELATIONS BOARD

NOTICE OF PROPOSED RULES

1) Heading of the Part: Access to Records of the Illinois Educational Labor Relations Board



2676.100 New Section





2676.300 ` New Section















2676.APPENDIX A New Section

4) Statutory Authority: Authorized by Section 3(h) of the Freedom of Information Act [5

ILCS 140/3(h) and Section 5(i) of the Illinois Educational Labor Relations Act [115

ILCS 5/5(i)]

5) A Complete Description of the Subjects and Issues Involved: These are the IELRB's new

Rules related to the Freedom of Information Act, which are based on changes to the

Illinois Freedom of Information Act.


rulemaking: None



17





10) Are there any other rulemakings pending on this Part? The IELRB is also proposing to

repeal its existing Freedom of Information Act Rules.

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

State mandate under 30 ILCS 805.


rulemaking: Any interested person may submit comments in writing concerning this

proposed rulemaking not later than 45 days after publication of this Notice in the Illinois

Register to:

Susan J. Willenborg

General Counsel


160 N. LaSalle Street, Suite N-400


312/793-3170


Comments received by the Illinois Educational Labor Relations Board will be available

to members of the public upon written request.



affected: None

B) Reporting, bookkeeping or other procedures required for compliance: Small

businesses, small municipalities and not-for-profit corporations will not be

affected.

C) Types of professional skills necessary for compliance: Small businesses, small

municipalities and not-for-profit corporations will not be affected.


17



14) Regulatory Agenda on which this rulemaking was summarized: July 2016

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


17



TITLE 2: GOVERNMENTAL ORGANIZATION

SUBTITLE E: MISCELLANEOUS STATE AGENCIES

CHAPTER XLVIII: ILLINOIS EDUCATIONAL LABOR RELATIONS BOARD

PART 2676

ACCESS TO RECORDS OF THE


SUBPART A: INTRODUCTION

Section

2676.100 Summary and Purpose

2676.105 Definitions

SUBPART B: CLASSIFICATION OF RECORDS

Section

2676.200 Records that Will Be Disclosed

2676.205 Records that Will Be Withheld from Disclosure

2676.210 Statutory Exemptions

SUBPART C: PROCEDURES FOR REQUESTING

RECORDS FROM THE AGENCY

Section

2676.300 Submittal of Requests for Records

2676.305 Information To Be Provided in Requests for Records

2676.310 Requests for Records for Commercial Purposes

2676.315 Records Maintained Online

SUBPART D: AGENCY RESPONSE TO REQUESTS FOR RECORDS

Section

2676.400 Timeline for Agency Response

2676.405 Requests for Records that the Agency Considers Unduly Burdensome

2676.410 Recurrent Requesters

2676.415 Requests for Records that Require Electronic Retrieval

2676.420 Denials of Requests for Records

2676.425 Requests for Review of Denials − Public Access Counselor


17



2676.430 Circuit Court Review

2676.435 Administrative Review

SUBPART E: PROCEDURES FOR PROVIDING RECORDS TO REQUESTERS

Section

2676.500 Inspection and Copying of Records

2676.505 Fees for Records

2676.510 Reduction and Waiver of Fees

2676.APPENDIX A Fee Schedule for Duplication and Certification of Records

AUTHORITY: Implementing and authorized by Section 3(h) of the Freedom of Information Act

[5 ILCS 140/3(h)], implementing Section 5(i) of the Illinois Educational Labor Relations Act

[115 ILCS 5/5(i)] and Section 5-15 of the Illinois Administrative Procedure Act [5 ILCS 100/5-

15].

SOURCE: Adopted at 14 Ill. Reg. 4151, effective March 2, 1990; amended at 28 Ill. Reg. 7921,

effective May 28, 2004; amended at 35 Ill. Reg. 14426, effective August 12, 2011; former Part

repealed at 41 Ill. Reg. ______ and new Part adopted at 41 Ill. Reg. ______, effective

____________.

SUBPART A: INTRODUCTION

Section 2676.100 Summary and Purpose

a) This Part states the policy of the Illinois Educational Labor Relations Board

(Agency) for making its records available for reasonable public inspection while,

at the same time, protecting legitimate interests in confidentiality.

b) This Part:

1) Establishes the following classifications for records in the Agency's

possession:

A) Records that shall be disclosed; and

B) Records that shall be withheld from disclosure;


17



2) Contains the procedures by which requesters may obtain records in the

Agency's possession; and

3) Contains the procedures for claiming and determining that records

submitted to the Agency are exempt from disclosure.

Section 2676.105 Definitions

Terms not defined in this Section shall have the same meaning as in the Freedom of Information

Act [5 ILCS 140]. The following definitions are applicable for purposes of this Part:

"Act" means the Illinois Educational Labor Relations Act [115 ILCS 5].

"Agency" means the Illinois Educational Labor Relations Board as established by

the Act.

"Commercial purpose" means the use of any part of a record or records, or

information derived from records, in any form for sale, resale, or solicitation or

advertisement for sales or services. For purposes of this definition, requests

made by news media and non-profit, scientific, or academic organizations shall

not be considered to be made for a "commercial purpose" when the principal

purpose of the request is:

to access and disseminate information concerning news and current or

passing events;

for articles or opinion or features of interest to the public; or

for the purpose of academic, scientific, or public research or education.

(Section 2(c-10) of FOIA)

"Copying" means the reproduction of any record by means of any photographic,

electronic, mechanical, or other process, device or means now known or hereafter

developed and available to the Agency. (Section 2(d) of FOIA)

"Director" means the Executive Director of the Agency.

"FOIA" means the Freedom of Information Act [5 ILCS 140].


17



"Freedom of Information Officer" or "FOI Officer" means an individual or

individuals responsible for receiving and responding to requests for public

records.

"News media" means a newspaper or other periodical issued at regular intervals,

news service in paper or electronic form, radio station, television station,

television network, community antenna television service, or person or

corporation engaged in making news reels or other motion picture news for

public showing. (Section 2(f) of FOIA)

"Person" means any individual, corporation, partnership, firm, organization or

association, acting individually or as a group. (Section 2(b) of FOIA)

"Private information" means unique identifiers, including a person's Social

Security number, driver's license number, employee identification number,

biometric identifiers, personal financial information, passwords or other access

codes, medical records, home or personal telephone numbers, and personal email

addresses. Private information also includes home address and personal license

plates, except as otherwise provided by law or when compiled without possibility

of attribution to any person. (Section 2(c-5) of FOIA)

"Public Access Counselor" means an individual appointed to that office by the

Attorney General under Section 7 of the Attorney General Act [15 ILCS 205].

"Public body" means all legislative, executive, administrative, or advisory bodies

of the State, State universities and colleges, counties, townships, cities, villages,

incorporated towns, school districts and all other municipal corporations,

boards, bureaus, committees or commissions of this State, any subsidiary bodies

of any of the foregoing, including but not limited to committees and

subcommittees thereof, and a School Finance Authority created under Article 1E

of the School Code [105 ILCS 5]. (Section 2(a) of FOIA)

"Records" means all records, reports, forms, writings, letters, memoranda, books,

papers, maps, photographs, microfilms, cards, tapes, recordings, electronic data

processing records, electronic communications, recorded information and all

other documentary materials pertaining to the transaction of public business,

regardless of physical form or characteristics, having been prepared by or for, or

having been or being used by, received by, in the possession of or under the

control of the Agency. (Section 2(c) of FOIA)


17



"Recurrent requester" means a person that, in the 12 months immediately

preceding the request, has submitted to the same public body a minimum of 50

requests for records, a minimum of 15 requests for records within a 30-day

period, or a minimum of 7 requests for records within a 7 day period. For the

purposes of this definition, requests made by news media and non-profit,

scientific, or academic organizations shall not be considered in calculating the

number of requests made in the time periods, in this definition when the principal

purpose of the requests is to access and disseminate information concerning news

and current or passing events, for articles of opinion or features of interest to the

public, or for the purpose of academic, scientific, or public research or education.

For the purposes of this definition, "request" means a written document (or oral

request, if the public body chooses to honor oral requests) that is submitted to a

public body via personal delivery, mail, telefax, electronic mail, or other means

available to the public body and that identifies the particular public record the

requester seeks. One request may identify multiple records to be inspected or

copied. (Section 2(g) of FOIA)

"Requester" is any person who has submitted to the Agency a written request,

electronically or on paper, for records.

"Unwarranted invasion of personal privacy" means the disclosure of information

that is highly personal or objectionable to a reasonable person and in which the

subject's right to privacy outweighs any legitimate public interest in obtaining the

information. (Section 7(1)(c) of FOIA)

SUBPART B: CLASSIFICATION OF RECORDS

Section 2676.200 Records that Will Be Disclosed

Upon request meeting the requirements of this Part, the Agency shall disclose to the requester all

records requested except that it shall not disclose certain records as provided in Section 2676.205

or 2676.210. Records covered under this Section shall include, but are not limited to:

a) Records of funds. All records relating to the obligation, receipt and use of public

funds of the Agency are records subject to inspection and copying by the public.

(Section 2.5 of FOIA)


17



b) Payrolls. Certified payroll records submitted to the Agency under Section 5(a)(2)

of the Prevailing Wage Act [820 ILCS 130] are records subject to inspection and

copying in accordance with the provisions of FOIA; except that contractors' and

employees' addresses, telephone numbers, and Social Security numbers will be

redacted by the Agency prior to disclosure. (Section 2.10 of FOIA)

c) Criminal history records. The following documents maintained by the Agency

pertaining to criminal history record information are records subject to

inspection and copying by the public pursuant to FOIA:

1) Court records that are public;

2) Records that are otherwise available under State or local law; and

3) Records in which the requesting party is the individual identified, except

as provided under Section 7(d)(1)(vi) of FOIA. (Section 2.15(b) of FOIA)

d) Settlement agreements. All settlement agreements entered into by or on behalf of

the Agency are records subject to inspection and copying by the public, provided

that information exempt from disclosure under Section 2676.205 or 2676.210 may

be redacted. (Section 2.20 of FOIA)

Section 2676.205 Records that Will Be Withheld from Disclosure

a) Showings of interest submitted to the Agency in connection with petitions in

representation cases and materials generated by the Agency’s investigations of

those showings.

b) Files in pending unfair labor practice and representation cases.

c) Records in representation cases potentially identifying voters (or non-voters) in

secret ballot elections conducted by the Agency.

d) Affidavits submitted to or prepared by Agency staff in unfair labor practice cases

and the identity of the persons giving the affidavits.

e) For other exemptions from FOIA that are stated in FOIA, see Section 7(1) of the

Act.


17



f) A record that is not in the possession of the Agency but is in the possession of a

party with whom the Agency has contracted to perform a governmental function

on behalf of the Agency, and that directly relates to the governmental function

and is not otherwise exempt under FOIA, shall be considered a record of the

Agency for purposes of Subpart C. (Section 7(2) of FOIA)

Section 2676.210 Statutory Exemptions

a) Information that is prohibited from disclosure under the Uniform Mediation Act

[710 ILCS 35].

b) For other exemptions from FOIA that are stated in other statutes, see Section 7.5

of the Act.

SUBPART C: PROCEDURES FOR REQUESTING

RECORDS FROM THE AGENCY

Section 2676.300 Submittal of Requests for Records

a) Any request for public records should be submitted in writing to the FOI Officers

at the Agency.

b) The Agency has 2 FOI Officers, located in the Chicago Office.

c) Contact information for each FOI Officer can be found online at www.

Illinois.gov/Pages/FOIAContacts.

d) FOIA requests may be submitted via mail, e-mail, fax, or hand delivery. Requests

should be mailed or hand delivered to:


160 North LaSalle Street, Suite N-400


Attn: FOI Officer

e) E-mailed requests should be sent to [email protected], contain the request

in the body of the e-mail, and indicate in the subject line of the e-mail that it

contains a FOIA request. Faxed FOIA requests should be faxed to 312/793-3369,

Attn: FOI Officer.


17



Section 2676.305 Information To Be Provided in Requests for Records

A request for records should include:

a) The complete name, mailing address and telephone number of the requester;

b) As specific a description as possible of the records sought. Requests that the

Agency considers unduly burdensome or categorical may be denied. (See Section

3(g) of FOIA and Section 2676.405 of this Part.);

c) A statement as to the requested medium and format for the Agency to use in

providing the records sought: for example, paper, specific types of digital or

magnetic media, or videotape;

d) A statement as to the requested manner for the Agency to use in providing the

records sought: for example, inspection at Agency headquarters or providing

paper or electronic copies;

e) A statement as to whether the requester needs certified copies of all or any portion

of the records, including reference to the specific documents that require

certification; and

f) A statement as to whether the request is for a commercial purpose.

Section 2676.310 Requests for Records for Commercial Purposes

a) It is a violation of FOIA for a person to knowingly obtain a record for a

commercial purpose without disclosing that it is for a commercial purpose if

requested to do so by the Agency. (Section 3.1(c) of FOIA)

b) The Agency shall respond to a request for records to be used for a commercial

purpose within 21 working days after receipt. The response shall:

1) Provide to the requester an estimate of the time required by the Agency to

provide the records requested and an estimate of the fees to be charged,

which the Agency may require the person to pay in full before copying the

requested documents;


17



2) Deny the request pursuant to one or more of the exemptions set out in

Section 2676.205 or 2676.210;

3) Notify the requester that the request is unduly burdensome and extend an

opportunity to the requester to attempt to reduce the request to

manageable proportions; or

4) Provide the records requested. (Section 3.1(a) of FOIA)

c) Unless the records are exempt from disclosure, the Agency shall comply with a

request within a reasonable period considering the size and complexity of the

request, and giving priority to records requested for non-commercial purposes.

(Section 3.1(b) of FOIA)

Section 2676.315 Records Maintained Online

a) Notwithstanding any provision of FOIA to the contrary, a public body is not

required to copy a public record that is published on the public body's website.

The public body shall notify the requester that the public record is available

online and direct the requester to the website where the record can be reasonably

accessed.

b) If the person requesting the public record is unable to reasonably access the

record online after being directed to the website pursuant to subsection (a), the

requester may resubmit his or her request for the record stating his or her

inability to reasonably access the record online, and the public body shall make

the requested record available for inspection or copying as provided in Section 3

of FOIA. (Section 8.5 of FOIA)

SUBPART D: AGENCY RESPONSE TO REQUESTS FOR RECORDS

Section 2676.400 Timeline for Agency Response

a) Except as stated in subsection (b) or (c), the Agency will respond to any written

request for records within 5 business days after its receipt of the request. Failure

to comply with a written request, extend the time for response, or deny a request

within 5 business days after its receipt shall be considered a denial of the request.

If the Agency fails to respond to a request within the requisite periods in this

subsection (a) but thereafter provides the requester with copies of the requested


17



records, it will not impose a fee for those copies. If the Agency fails to respond to

a request received, it will not treat the request as unduly burdensome as provided

under Section 2676.405. (Section 3(d) of FOIA) A written request from the

Agency to provide additional information shall be considered a response to the

FOIA request.

b) The time limits prescribed in subsection (a) may be extended for not more than 5

business days from the original due date for any of the following reasons:

1) The requested records are stored in whole or in part at locations other

than the office having charge of the requested records;

2) The request requires the collection of a substantial number of specified

records;

3) The request is couched in categorical terms and requires an extensive

search for the records responsive to it;

4) The requested records have not been located in the course of routine

search and additional efforts are being made to locate them;

5) The requested records require examination and evaluation by personnel

having the necessary competence and discretion to determine if they are

exempt from disclosure under Section 7 or 7.5 of FOIA or should be

revealed only with appropriate deletions;

6) The request for records cannot be complied with by the Agency within the

time limits prescribed by subsection (a) without unduly burdening or

interfering with the operations of the Agency; or

7) There is a need for consultation, which shall be conducted with all

practicable speed, with another public body or among two or more

components of a public body having a substantial interest in the

determination or in the subject matter of the request. (Section 3(e) of

FOIA)

c) The person making a request and the Agency may agree in writing to extend the

time for compliance for a period to be determined by the parties. If the requester

and the Agency agree to extend the period for compliance, a failure by the Agency


17



to comply with any previous deadlines shall not be treated as a denial of the

request for the records. (Section 3(e) of FOIA)

d) When additional time is required for any of the reasons set forth in subsection (b),

the Agency will, within 5 business days after receipt of the request, notify the

person making the request of the reasons for the extension and the date by which

the response will be forthcoming. Failure to respond within the time permitted

for extension shall be considered a denial of the request. If the Agency fails to

respond to a request within the time permitted for extension but thereafter

provides the requester with copies of the requested public records, it may not

impose a fee for those copies. If the Agency issues an extension and subsequently

fails to respond to the request, it will not treat the request as unduly burdensome

under Section 2676.405. (Section 3(f) of FOIA)

Section 2676.405 Requests for Records that the Agency Considers Unduly Burdensome

a) The Agency will fulfill requests calling for all records falling within a category

unless compliance with the request would unduly burden the Agency, there is no

way to narrow the request, and the burden on the Agency outweighs the public

interest in the information. Before invoking this exemption, the Agency will

extend to the requester an opportunity to confer with it in an attempt to reduce the

request to manageable proportions. (Section 3(g) of FOIA) The amended

request must be in writing.

b) If the Agency determines that a request is unduly burdensome, it shall do so in

writing, specifying the reasons why it would be unduly burdensome and the extent

to which compliance will so burden the operations of the Agency. The response

shall be treated as a denial of the request for information. (Section 3(g) of FOIA)

c) Repeated requests from the same person for records that are unchanged or

identical to records previously provided or properly denied under this Part shall

be deemed unduly burdensome. (Section 3(g) of FOIA)

Section 2676.410 Recurrent Requesters

a) Notwithstanding any provision of this Part to the contrary, the Agency will

respond to a request from a recurrent requester, as defined in Section 2676.105,

within 21 business days after receipt. The response shall:


17



1) provide to the requester an estimate of the time required by the Agency to

provide the records requested and an estimate of the fees to be charged,

which the Agency may require the person to pay in full before copying the

requested documents;

2) deny the request pursuant to one or more of the exemptions set out in this

Part;

3) notify the requester that the request is unduly burdensome and extend an

opportunity to the requester to attempt to reduce the request to

manageable proportions; or

4) provide the records requested.

b) Within 5 business days after receiving a request from a recurrent requester, the

Agency will notify the requester that the Agency is treating the request as a

recurrent request, of the reasons why the Agency is treating the request as a

recurrent request, and that the Agency will send an initial response within 21

business days after receipt in accordance with subsection (a). The Agency will

also notify the requester of the proposed responses that can be asserted pursuant

to subsection (a).

c) Unless the records are exempt from disclosure, the Agency will comply with a

request within a reasonable period considering the size and complexity of the

request. (Section 3.2 of FOIA)

Section 2676.415 Requests for Records that Require Electronic Retrieval

a) A request for records that requires electronic retrieval will be treated the same as

any other request for records, with the same timeline and extensions as allowed

for other records.

b) The Agency will retrieve and provide electronic records only in a format and

medium that is available to the Agency.

Section 2676.420 Denials of Requests for Records

a) The Agency will deny requests for records when:


17



1) Compliance with the request would unduly burden the Agency, as

determined pursuant to Section 2676.405, and the requester has not

reduced the request to manageable proportions; or

2) The records are exempt from disclosure pursuant to Section 7 or 7.5 of

FOIA or Section 2676.205 or 2676.210 of this Part.

b) The denial of a request for records must be in writing.

1) The notification shall include a description of the records denied; the

reason for the denial, including a detailed factual basis for the application

of any exemption claimed; and the names and titles or positions of each

person responsible for the denial (Section 9(a) of FOIA);

2) Each notice of denial shall also inform the person of the right to review by

the Public Access Counselor and provide the address and phone number

for the Public Access Counselor (Section 9(a) of FOIA); and

3) When a request for records is denied on the grounds that the records are

exempt under Section 7 or 7.5 of FOIA, the notice of denial shall specify

the exemption claimed to authorize the denial and the specific reasons for

the denial, including a detailed factual basis and a citation to the

supporting legal authority (Section 9(b) of FOIA).

c) A requester may treat the Agency's failure to respond to a request for records

within 5 business days after receipt of the written request as a denial for purposes

of the right to review by the Public Access Counselor.

d) If the Agency has given written notice pursuant to Section 2676.400(d), failure to

respond to a written request within the time permitted for extension may be

treated as a denial for purposes of the right to review by the Public Access

Counselor.

e) Any person making a request for records shall be deemed to have exhausted his

or her administrative remedies with respect to that request if the Agency fails to

act within the time periods provided in Section 2676.400. (Section 9(c) of FOIA)

Section 2676.425 Requests for Review of Denials − Public Access Counselor


17



a) A person whose request to inspect or copy a record is denied by the Agency may

file a request for review with the Public Access Counselor established in the

Office of the Attorney General not later than 60 days after the date of the final

denial. The request for review shall be in writing, be signed by the requester, and

include a copy of the request for access to records and any response from the

Agency. (Section 9.5(a) of FOIA)

b) A person whose request to inspect or copy a record is made for a commercial

purpose may not file a request for review with the Public Access Counselor. A

person whose request to inspect or copy a record was treated by the Agency as a

request for a commercial purpose may file a request for review with the Public

Access Counselor for the limited purpose of reviewing whether the Agency

properly determined that the request was made for a commercial purpose.

(Section 9.5(b) of FOIA)

c) Within 7 business days after the Agency receives a request for review from the

Public Access Counselor, the Agency shall provide copies of records requested

and shall otherwise fully cooperate with the Public Access Counselor. (Section

9.5(c) of FOIA)

d) Within 7 business days after it receives a copy of a request for review and request

for production of records from the Public Access Counselor, the Agency may, but

is not required to, answer the allegations of the request for review. The answer

may take the form of a letter, brief, or memorandum. The Public Access

Counselor shall forward a copy of the answer to the person submitting the request

for review, with any alleged confidential information to which the request

pertains redacted from the copy. (Section 9.5(d) of FOIA)

e) The requester may, but is not required to, respond in writing to the answer within

7 business days and shall provide a copy of the response to the Agency. (Section

9.5(d) of FOIA)

f) In addition to the request for review, and the answer and response to the request,

if any, a requester or the Agency may furnish affidavits or records concerning any

matter germane to the review. (Section 9.5(e) of FOIA)

g) A binding opinion from the Attorney General shall be binding upon both the

requester and the Agency, subject to administrative review under Section

2676.435. (Section 9.5(f) of FOIA)


17



h) If the Attorney General decides to exercise his or her discretion to resolve a

request for review by mediation or by a means other than issuance of a binding

opinion, the decision not to issue a binding opinion shall not be reviewable.

(Section 9.5(f) of FOIA)

i) Upon receipt of a binding opinion concluding that a violation of FOIA has

occurred, the Agency will either take necessary action immediately to comply with

the directive of the opinion or shall initiate administrative review under Section

2676.435. If the opinion concludes that no violation of FOIA has occurred, the

requester may initiate administrative review under Section 2676.435. (Section

9.5(f) of FOIA)

j) If the Agency discloses records in accordance with an opinion of the Attorney

General, the Agency is immune from all liabilities by reason thereof and shall not

be liable for penalties under FOIA. (Section 9.5(f) of FOIA)

k) If the requester files suit under Section 2676.430 with respect to the same denial

that is the subject of a pending request for review, the requester shall notify the

Public Access Counselor. (Section 9.5(g) of FOIA)

l) The Attorney General may also issue advisory opinions to the Agency regarding

compliance with FOIA. A review may be initiated upon receipt of a written

request from the Director of the Agency or the Agency's Chief Legal Counsel,

which shall contain sufficient accurate facts from which a determination can be

made. The Public Access Counselor may request additional information from the

Agency in order to assist in the review. If the Agency relies in good faith on an

advisory opinion of the Attorney General in responding to a request, the Agency

is not liable for penalties under FOIA, so long as the facts upon which the opinion

is based have been fully and fairly disclosed to the Public Access Counselor.

(Section 9.5(h) of FOIA)

Section 2676.430 Circuit Court Review

A requester also has the right to file suit for injunctive or declaratory relief in the Circuit Court

for Sangamon County or for the county in which the requester resides, in accordance with the

procedures set forth in Section 11 of FOIA.

Section 2676.435 Administrative Review


17



A binding opinion issued by the Attorney General shall be considered a final decision of an

administrative agency, for purposes of administrative review under the Administrative Review

Law [735 ILCS 5/Art. III]. An action for administrative review of a binding opinion of the

Attorney General shall be commenced in Cook County or Sangamon County. An advisory

opinion issued to the Agency shall not be considered a final decision of the Attorney General for

purposes of this Section. (Section 11.5 of FOIA)

SUBPART E: PROCEDURES FOR PROVIDING RECORDS TO REQUESTERS

Section 2676.500 Inspection and Copying of Records

a) The Agency may make available records for personal inspection at the Agency's

headquarters office located at 160 North LaSalle Street, Chicago, or at another

location agreed to by both the Agency and the requester. No original record shall

be removed from State-controlled premises except under constant supervision of

the agency responsible for maintaining the record. The Agency may provide

records in duplicate forms, including, but not limited to, paper copies, data

processing printouts, videotape, microfilm, audio tape, reel to reel microfilm,

photographs, computer disks and diazo.

b) When a person requests a copy of a record maintained in an electronic format,

the Agency shall furnish it in the electronic format specified by the requester, if

feasible. If it is not feasible to furnish the records in the specified electronic

format, then the Agency shall furnish it in the format in which it is maintained by

the Agency, or in paper format at the option of the requester. (Section 6(a) of

FOIA)

c) A requester may inspect records by appointment only, scheduled subject to space

availability. The Agency will schedule inspection appointments to take place

during normal business hours, which are 8:30 a.m. to 5:00 p.m. Monday through

Friday, exclusive of State holidays. If the requester must cancel the viewing

appointment, the requester shall so inform the Agency as soon as possible before

the appointment.

d) In order to maintain routine Agency operations, the requester may be asked to

leave the inspection area for a specified period of time.

e) The requester will have access only to the designated inspection area.


17



f) Requesters shall not be permitted to take briefcases, folders or similar materials

into the room where the inspection takes place. An Agency employee may be

present during the inspection.

g) The requester shall segregate and identify the documents to be copied during the

course of the inspection.

Section 2676.505 Fees for Records

a) In accordance with Section 2676.510, unless a fee is otherwise fixed by statute,

the Agency will provide copies of records and certifications of records in

accordance with the fee schedule set forth in Appendix A.

b) In calculating its actual cost for reproducing records or for the use of the

equipment of the Agency to reproduce records, the Agency will not include the

costs of any search for and review of the records or other personnel costs

associated with reproducing the records. (Section 6(b) of FOIA)

c) In order to expedite the copying of records that the Agency cannot copy, due to

the volume of the request or the operational needs of the Agency, in the timelines

established in Section 2676.400, the requester may provide, at the requester's

expense, the copy machine, all necessary materials, and the labor to copy the

public records at the Agency headquarters in Section 2676.500, or at another

location agreed to by both the Agency and the requester. No original record shall

be removed from State-controlled premises except under constant supervision of

the agency responsible for maintaining the record.

d) Copies of records will be provided to the requester only upon payment of any fees

due. The Agency may charge the requester for the actual cost of purchasing the

recording medium, whether disc, diskette, tape, or other medium, but the Agency

will not charge the requester for the costs of any search for and review of the

records or other personnel costs associated with reproducing the records.

(Section 6(a) of FOIA) Payment must be by check or money order sent to the

Agency, payable to "Treasurer, State of Illinois".

e) If a contractor is used to inspect or copy records, the following procedures shall

apply:


17



1) The requester, rather than the Agency, must contract with the contractor;

2) The requester is responsible for all fees charged by the contractor;

3) The requester must notify the Agency of the contractor to be used prior to

the scheduled on-site inspection or copying;

4) Only Agency personnel may provide records to the contractor;

5) The Agency must have verification that the requester has paid the Agency,

if payment is due, for the copying of the records before providing the

records to the contractor; and

6) The requester must provide to the Agency the contractor's written

agreement to hold the records secure and to copy the records only for the

purpose stated by the requester.

f) The Agency may charge up to $10 for each hour spent by personnel in searching

for and retrieving a requested record. No fees shall be charged for the first 8

hours spent by personnel in searching for or retrieving a requested record. The

Agency may charge the actual cost of retrieving and transporting public records

from an off-site storage facility when the public records are maintained by a

third-party storage company under contract with the Agency. If the Agency

imposes a fee pursuant to this subsection (f), it must provide the requester with an

accounting of all fees, costs, and personnel hours in connection with the request

for public records. The provisions of this subsection (f) apply only to commercial

requests. (Section 6(f) of FOIA)

Section 2676.510 Reduction and Waiver of Fees

a) Fees may be reduced or waived by the Agency if the requester states the specific

purpose for the request and indicates that a waiver or reduction of the fee is in the

public interest. In making this determination, the Agency will consider the

following:

1) Whether the principal purpose of the request is to disseminate information

regarding the health, safety, welfare or legal rights of the general public;

and


17



2) Whether the principal purpose of the request is personal or commercial

benefit. For purposes of this subsection (a), "commercial benefit" shall

not apply to requests made by news media when the principal purpose of

the request is to access and disseminate information regarding the health,

safety, welfare or legal rights of the general public. (Section 6(c) of

FOIA)

b) In setting the amount of the waiver or reduction, the Agency will take into

consideration the amount of materials requested and the cost of copying them.

(Section 6(c) of FOIA)

c) The Agency will provide copies of records without charge to federal, State and

municipal agencies, Constitutional officers and members of the General

Assembly, and not-for-profit organizations providing evidence of good standing

with the Secretary of State's Office.

d) Except to the extent that the General Assembly expressly provides, statutory fees

applicable to copies of records when furnished in a paper format will not be

applicable to those records when furnished to a requester in an electronic format.

(Section 6(a) of FOIA)


17



Section 2676.APPENDIX A Fee Schedule for Duplication and Certification of Records

TYPE OF DUPLICATION FEE (PER COPY)

Paper copy from original, up to and including 50

copies of black and white, letter or legal sized

copies No charge

Paper copy from original, in excess of 50 copies of

black and white, letter or legal sized copies $.15/page

Paper copy from microfilm original $.15/page

Microfilm diazo from original $.50/diazo

VHS video copy of tape Actual cost of the reproduction

Audio tape copy of tape Actual cost of the reproduction

CD ROM disk Actual cost of the reproduction

Photograph from negative Actual cost of the reproduction

Blueprints/oversized prints Actual cost of the reproduction

Paper copies in color or in a size other than letter

or legal Actual cost of the reproduction

Certification fee $1.00/record

NOTE: Expense for delivery other than by First Class U.S. Mail must be borne by the requester.


17

DEPARTMENT OF INSURANCE


1) Heading of the Part: Acquisition of Control of a Domestic Company



651.20 Amendment

651.30 Amendment

651.40 Amendment

651.80 New Section

651.ILLUSTRATION A Amendment

4) Statutory Authority: Implementing Article VIII ½ and authorized by Section 401 of the

Illinois Insurance Code (215 ILCS 5/Art. VIII ½ and 401)

5) A Complete Description of the Subjects and Issues Involved: Article VIII ½ of the

Illinois Insurance Code (Insurance Holding Company Systems) was amended by PA 98-

609. The changes to Illinois statutes were made based on the NAIC Model Law #440

which was passed in December 2010.

Changes to Parts 651 pertain to acquisitions of IL domestic insurance companies.

Proposed new Section 651.80 adds a severability clause to the rule. The changes to the

Form A (Section 651.Illustration A) include new financial statement requirements for the

acquiring party, removal of the previously required Notice and Summary Statement and a

statement that the new owners will provide enterprise risk management information

going forward. Minor edits and additions are also being made to other Sections of the

rule.

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



10) Are there any other rulemakings pending on this Part? No


17



11) Statement of Statewide Policy Objectives: 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.


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:

Joseph Clennon or Susan Anders

Assistant General Counsel Rules Coordinator

Illinois Department of Insurance Illinois Department of Insurance

320 W. Washington St. 320 W. Washington St.

Springfield IL 62767 Springfield IL 62767

217/557-1396 217/558-0957

fax: 217/524-9033



affected: None

B) Reporting, bookkeeping or other procedures required for compliance: Procedures

for filing statement regarding the acquisition of control of a domestic insurer


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



17



TITLE 50: INSURANCE

CHAPTER I: DEPARTMENT OF INSURANCE

SUBCHAPTER g: INSURANCE HOLDING COMPANY SYSTEMS

PART 651

ACQUISITION OF CONTROL OF

A DOMESTIC COMPANY

Section

651.20 Purpose

651.30 Definitions

651.40 Acquisition of Control – Form of Statement Filing

651.80 Severability Provision

651.ILLUSTRATION A Statement Regarding the Acquisition of, Control of or Merger

With a Domestic Insurer

AUTHORITY: Implementing Article VIII½ and authorized by Section 401 of the Illinois

Insurance Code [215 ILCS 5/Art. VIII½ and Section 401].

SOURCE: Filed December 20, 1971, effective January 1, 1972; amended at 4 Ill. Reg. 28, p.

374, effective July 2, 1980; emergency amendment at 5 Ill. Reg. 11595, effective October 20,

1981, for a maximum of 150 days; emergency amendment at 6 Ill. Reg. 3187, effective March 5,

1982, for a maximum of 150 days; amended at 6 Ill. Reg. 8054, effective June 24, 1982; codified

at 7 Ill. Reg. 8253; emergency amendment at 10 Ill. Reg. 2071, effective January 1, 1986, for a

maximum of 150 days; emergency expired May 30, 1986; amended at 10 Ill. Reg. 17125,

effective October 1, 1986; transferred from the Department of Insurance to the Department of

Financial and Professional Regulation pursuant to Executive Order 2004-6 on July 1, 2004;

transferred from the Department of Financial and Professional Regulation to the Department of

Insurance pursuant to Executive Order 2009-4 on June 1, 2009; recodified from 50 Ill. Adm.

Code 851 to 50 Ill. Adm. Code 651 at 41 Ill. Reg. 140; amended at 41 Ill. Reg. ______, effective

____________.

Section 651.20 Purpose

The purpose of this Part is to set forth requirements which the Director deems necessary to carry

out the provisions of Section 131.4 through and including Sections 131.12 and 131.24 of the

Illinois Insurance Code [215 ILCS 5/131.4 through 131.12 and 131.24]. The information called

for by this Part is hereby declared to be necessary and appropriate for the protection of


17



policyholders, the insurance buying public and for the information of security holders.



Terms found in this Part other than those defined in this Section have the meanings

ascribedbelow, are used as defined in Section 131.1 of the Illinois Insurance Code. Other

nomenclature or terminology, if not otherwise defined by the Code, is to be accorded the

accepted insurance industry usage.

"Code" means the Illinois Insurance Code [215 ILCS 5].

"Department" means the Illinois Department of Insurance.

"Director" means the Director of the Illinois Department of Insurance.

"Executive officer" means any individual charged with active management and

control in a senior executive capacity as described by the company's by-laws

(including a president, senior vice president, treasurer, secretary, controller, and

any other individual regardless of title performing functions the same as those

performed by thesethe foregoing officers) of a person, whether incorporated or

unincorporated.

"Ultimate controlling person" means a controlling person within an insurance

holding company system who is not controlled by any other person.


Section 651.40 Acquisition of Control – Form of Statement Filing

a) A person required to file a statement pursuant to Sections 131.4, 131.5 and 131.6

of the Insurance Code shall furnish the required information in the format

designated on Form A, as specified in the instructions of that form, which is in

Illustration A of this Part.

b) Acquiring parties, otherwise subject to the requirements of Section 651.40851.40

of this Part, who seek exemption pursuant to the provisions of Insurance Code

Section 131.4 or 131.10(2) shall submit to the Director a typewritten, sworn


17



statement setting forth the particulars of the acquiring party or the transaction

thatwhich the acquiring party believes meet the criteria for an exemption under

Code Section 131.4 or 131.10one of the above cited statutory provisions. If, upon

examination of the information submitted by the acquiring party, the Director

determines that the statutory criteria of Section 131.4 or 131.10, as appropriate,

have been met, then the Director shall enter an Order on the exemption request

within 30thirty days afterfrom receipt of the request.


Section 651.80 Severability Provision

If any Section or portion of a Section of this Part or the applicability of that Section or portion of

a Section to any person or circumstance is held invalid by a court, the remainder of the Part or

the applicability of the provision to other persons or circumstances shall not be affected by that

determination of invalidity.

(Source: Added at 41 Ill. Reg. ______, effective ____________)


17



Section 651.ILLUSTRATION A Statement Regarding the Acquisition of Control of a

Domestic Insurer

FORM A

GENERAL INSTRUCTIONS

A. Use of Form A

Form A shall be used by an acquiring party required to file a statement with the

Director pursuant to Section 131.5 of the Illinois Insurance Code. Subsequent

amendments shall also be filed on Form A, but shall include on the top of the

cover sheet "Amendment No. to" and shall indicate the date of the amendment

and not the date of the original filing. If the person being acquired is a "domestic

insurer" solely because of the provisions of Section 131.4 of the Illinois Insurance

Code, the name of the domestic insurer on the cover page shall be indicated as

follows:

"ABC Insurance Company, a subsidiary of XYZ Holding Company."

B. Number of Copies – Signatures

(1) TwoFour complete paper copies and one electronic copy of each

statement, including exhibits and all other papers and documents filed as a

part of the statementthereof, shall be filed with the Director.

(2) At least one copy of each statement filed with the Director shall be

manually signed in the manner prescribed by this form. The unsigned

copyUnsigned copies shall contain the same information as in the

manually signed copy. If the signature of any person is affixed pursuant to

a power of attorney or other similar authority, a copy of thatsuch power of

attorney or other authority shall also be filed with the statement.

C. Requirements as to Printing and Language

(1) Statements shall be easily readable and suitable for review and

reproduction.All copies of any filed statements, papers or documents shall

be clear, readable and suitable for photocopying. Debits in credit

categories and credits in debit categories shall be designated in a manner

other than color so as to be distinguishable on photocopies.


17



(2) Statements shall be in the English language and monetary values shall be

stated in United States currency. If any exhibit or other paper or document

filed with a statement is in a foreign language, it shall be accompanied by

a translation into the English language and any monetary values shown in

a foreign currency shall be converted into United States currency.

Monetary conversions in the financial statement shall be made as of the

date of the financial statement. Other required conversions shall be made

as of the date stated on the Form A cover page.

D. Preparation of Statement

This form is not to be used as a blank form to be filled in, but only as a guide in

the preparation of the statement. The statement shall contain the numbers and

captions of all items, but the text of the items may be omitted at the option of the

acquiring party provided the answers thereto are so prepared as to indicate to the

reader the coverage of the items without the necessity of his or her referring to the

text of the items or instructions thereto. All instructions, whether appearing under

the items of the form or elsewhere in the formtherein, are to be omitted. Unless

expressly provided otherwise within this Part, if any item is inapplicable or the

answer thereto is in the negative, aan statement to that effect shall be made.

E. Additional Information and Exhibits

In addition to the information expressly required to be included in the statement,

the Director may request such further material information, if any, as may be

necessary to make the information contained in the statement not misleading. The

person filing may also file such exhibits as it may desire in addition to those

expressly required by the statement. The exhibits shall be so marked as to indicate

clearly the subject matters to which they refer. Changes to the statement shall

include on the top of the cover page the phrase: "Change No. (insert number) to"

and shall indicate the date of the change and not the date of the original filing.In

addition to the information expressly required to be included in the statement,

there may at the option of the acquiring party be added such further material

information, if any, as may be necessary to make the information contained

therein not misleading.

F. Information Unknown or Not Available

Information required need be given only insofar as it is known or reasonably

available to the acquiring party. If any required information is unknown and not

reasonably available to the acquiring party, either because the obtaining the

informationthereof would involve unreasonable effort or expense, or because it


17



rests peculiarly within the knowledge of another person not affiliated with the

acquiring party, the information may be omitted, subject to the following

conditions:

(1) The acquiring party shall give such information on the subject as it

possesses or can acquire without unreasonable effort or expense, including

but not limited to impossibility or the loss or destruction of documents,

together with the sources of the documentsthereof.

(2) The acquiring party shall include a statement either showing that

unreasonable effort or expense would be involved or indicating the

absence of any affiliation with the person within whose knowledge the

information rests and stating the result of a request made to thatsuch

person for the information.

G. Incorporation by Reference

(1) MaterialsMatters required by any item of this statement may be

incorporated by reference in answer or partial answer to any other item.

(2) Information contained in any financial statement, annual report, proxy

statement, statement filed with a governmental authority, or any other

document may be incorporated by reference in answer or partial answer to

any item, provided the document or paper is filed as an exhibit to the

statement. Excerpts of documents may be filed as exhibits if the

documents are extensive. Documents currently on file with the Director

that were filed within 3 years need not be attached as exhibits. References

to information contained in exhibits or in documents already on file shall

clearly identify the material and shall specifically indicate that the material

is to be incorporated by reference in answer to the item. Material shall not

be incorporated by reference in any case in which the incorporation would

render the statement incomplete, unclear or confusing.Information

contained in a statement filed pursuant to the Federal Securities Act of

1933 (15 U.S.C. 77a et seq.) the Federal Securities Exchange Act of 1934

(15 U.S.C. 78a et seq.) or a state law requiring registration or disclosure

and information contained in any financial statement, annual report, proxy

statement or any other document may be incorporated by reference in any

answer or partial answer to any item or items of this Statement, provided

such information meets the requirements of this statement. A copy of


17



such incorporation documents shall be included as an exhibit to Form A.

(3) When an item requires a summary or outline of the provisions of any

document, only a brief statement shall be made as to the pertinent

provisions of the document. In addition to the statement, the summary or

outline may incorporate by reference particular parts of any exhibit or

document currently on file with the Director that was filed within three

years and may be qualified in its entirety by that reference. In any case in

which two or more documents required to be filed as exhibits are

substantially identical in all material respects except as to the parties to the

document, the dates of execution, or other details, a copy of only one of

the documents needs to be filed, with a schedule identifying the omitted

documents and setting forth the material details in which those documents

differ from the documents a copy of which is filed.Material incorporated

by reference shall be clearly identified in the reference. An express

statement that the specified matter is incorporated by reference shall be

made at the particular place in the statement where the information is

required. Matter shall not be incorporated by reference in any case where

such incorporation would render the statement incomplete, unclear or

confusing.

H. Summaries or Outlines of Documents

WhenWhere an item requires a summary or outline of the provisions of any

document, only a brief statement shall be made as to the most important

provisions of the document. In addition to thatsuch statement, the summary or

outline may incorporate by reference particular parts of any exhibit and may be

qualified in its entirety by thesuch reference.

I. Additional Exhibits

The acquiring party may file such exhibits as it may desire, in addition to those

expressly required by the statement. TheSuch exhibits shall be so marked as to

indicate clearly the subject matters to which they refer.

J. Omission of Identical Documents

In any case in whichwhere two or more documents required to be filed as exhibits

are identical in all respects except as to the parties to the documentthereto, the

dates of execution, or other details, the acquiring party need file a copy of only

one of thesuch documents, with a schedule identifying the omitted documents and

setting forth the details in which thosesuch documents differ from the documents


17



a copy of which is filed. The Director may, at any time, in his or her discretion

require the filing of copies of any omitted documents in order to verify that the

omitted documents are identical to documents on file.

K. Financial Statements

(1) The financial statements included as exhibits are to be audited by an

independent certified public accountant in accordance with generally

accepted auditing standards and are to contain financial information

presented in accordance with generally accepted accounting principles for

each acquiring party for the preceding five fiscal yearsyear (or for such

lesser period as thesuch acquiring party and any predecessors thereof shall

have been in existence) and similar unaudited information for the second

and third preceding fiscal years and as of a date not earlier than 90 days

prior to the filing of the statement.

(2) If the applicant is an insurer that is actively engaged in the business of

insurance, the financial statements need not be certified, provided they are

based on the Annual Statement of the person filed with the insurance

department of the person's domiciliary state and are in accordance with the

requirements of insurance or other accounting principles prescribed or

permitted under the laws and regulations of that state.If an acquiring party

is an insurer, which has been actively engaged in the business of insurance

for the previous 10 years, the financial statements need not be audited,

provided they are based on the annual statement of such person filed with

the insurance department of the person's domiciliary state and are in

accordance with the requirements of insurance or other accounting

principles prescribed or permitted under the law and regulations of such

state.

(3) If the acquiring party is controlled by an individual, the individual's

financial information will not be required provided that the acquiring party

is currently subject to the registration and reporting requirements of

Section 12 (g) of the Securities Exchange Act of 1934 (15 U.S.C. 77b et

seq., 1985) or is an insurer which has been actively engaged in the

business of insurance for the previous ten years.

L. Notice and Summary Statement

A copy of the Notice and Summary Statement to be provided to shareholders


17



pursuant to Section 131.9 of the Illinois Insurance Code [215 ILCS 5/131.9] shall

be filed as an exhibit. This statement should contain the Introduction verbatim

and at a minimum the following:

Introduction: On_____, 20__, (Name of Acquiring Party) filed with the Director

of the Illinois Department of Insurance a Form A statement regarding the

acquisition of control of (Name of Domestic Insurer.) Such Form A statement

was filed pursuant to the provision of Article VIII½ of the Illinois Insurance Code

and the Regulations promulgated thereunder. A copy of the Form A statement

has been delivered to (Name of Domestic Insurer.) Under Article VIII½ the

acquisition of control of (Name of Domestic Insurer) requires the approval of the

Director of the Illinois Department of Insurance and under that Article the

acquisition of 10% or more of the voting securities of (Name of Domestic

Insurer) would be presumed to be the acquisition of control of (Name of

Domestic Insurer).

Article VIII½ of the Illinois Insurance Code requires that (Name of Domestic

Insurer) send to its securityholders notice of such Form A statement and a

summary of the information contained therein. This Summary Statement

constitutes such notice and summary of the Form A statement filed by (Name of

Acquiring Party) regarding the acquisition of control of (Name of Domestic

Insurer).

Insurer and Method of Acquisition: State the name and address of the domestic

insurer to which this statement relates. Briefly describe how control is to be

acquired and the considerations used or to be used in effecting the acquisition of

control. Be sure to state the number of shares of the insurer's voting securities

which the acquiring party plans to acquire.

Identity of the Acquiring Party: State the name and address of the acquiring party

seeking to acquire control over the insurer: If the acquiring party is not an

individual, state the nature of its business operations. Briefly describe the

business intended to be done by the acquiring party and the acquiring party's

subsidiaries.

Future Plans for Insurer: Briefly described any plans or proposals which the

acquiring party may have to liquidate such insurer, to sell its assets or to merge it

with any other persons, or to make any other material change in its business

operations or corporate structure or management. For purposes of this instruction


17



a change in business operations or corporate structure or management shall be

deemed material where it is likely that a reasonable corporate officer would attach

importance to the change considering the overall impact of the change on the

corporation.

Contracts, Arrangements, or Understanding with Respect to Voting Securities of

the Insurer: Give a brief description of any contracts, arrangements or

understandings with respect to any voting security of the insurer in which the

acquiring party, its affiliates or any persons identified as being associated with the

acquiring party in Item 3 below is involved.

Financial Stability: Briefly outline the financial condition of each acquiring party.

The outline shall contain current information as to assets, liabilities, net worth and

operational results.

The statement must contain a notice that a copy of the entire Form A as filed with

the Director of the Illinois Department of Insurance may be obtained free of cost

by contacting:

Name:

Title:

Name of Company:

Street:

City, State & Zip Code:

LM. Signature and Certification

For purposes of the signature and certification required by Item 19 of the Form A,

the applicant may be any person that is an acquiring party. If the applicant is a

natural person, then that person shall sign and certify in his or hertheir individual

capacity. If the applicant is other than a natural person, then the signature and

certification is to be provided only by an executive officer of the applicant.

MN. Filing Fee

Pursuant to Section 408 of the Illinois Insurance Code [215 ILCS 5/408], the

Director shall collect a fee for the filing of a statement of acquisition of a

domestic insurance company. The Form A filing shall not be deemed complete

until the Director has received the appropriate filing fee as required by Section

408.


17



FORM A

INSTRUCTIONS FOR COMPLETION

COVER PAGE.

FORM A

NAME OF DOMESTIC INSURER

BY

NAME OF ALL ACQUIRING PARTIES (APPLICANT)

Date: , 20

Name, Title and Address of Person to Whom Notices and Correspondence Concerning This

Statement Should be Addressed:

ITEM 1. Insurer and Method of Acquisition

State the name and address of the domestic insurer to which this application

relates and a brief description of how control is to be acquired.

ITEM 2. Identity and Background of the Acquiring Party

(a) State the name and address of the acquiring party seeking to acquire

control over the insurer.


17



(b) If the acquiring party is not an individual, state the nature of its business

operations for the past five years or for such lesser period as that partysuch

person and any predecessors thereof shall have been in existence. Briefly

describe the business intended to be done by the acquiring party and the

acquiring party's subsidiaries.

(c) Furnish a chart or listing presenting the identities of and interrelationships

among, the acquiring party and all affiliates of the acquiring party. No

affiliate need be identified if its total assets are equal to less than ½ of 1

percent of the total assets of the ultimate controlling person affiliated with

the acquiring party. Indicate in thesuch chart or listing the percentage of

voting securities of each such person thatwhich is owned or controlled by

the acquiring party or by any other such person. If control of any person is

maintained other than by ownership or control of voting securities,

indicate the basis of thatsuch control. As to each person specified in

thesuch chart or listing, indicate the type of organization (e.g., –

corporation, trust, partnership) and the state or other jurisdiction of

domicile. If court proceedings looking toward a reorganization or

liquidation are pending with respect to any such person, indicate which

person, and set forth the title of the court, nature of proceedings and the

date when commenced.

ITEM 3. Identity and Background of Individuals Associated with the Acquiring

Party

With respect to (1) the acquiring party if thatsuch person is an individual,

and (2) all persons who are directors or executive officers of the acquiring

party thatwhich will acquire direct control of the domestic insurer, if

thatsuch acquiring party is not an individual, provide a biographical

affidavit indicating the information requested and in the form designated

in 50 Ill. Adm. Code 913.Illustration A. On the biographical affidavit,

include a third party background check.

ITEM 4. Nature, Source and Amount of Consideration

(a) Describe the nature, source and amount of funds or other considerations

used or to be used in effecting the acquisition of control. If any part of the

funds or other considerationsame is represented or is to be represented by

funds or other consideration borrowed or otherwise obtained for the


17



purpose of acquiring, holding, or trading securities, furnish a description

of the transaction, including any pledge of the acquiring party's own

securities or the securities of any of its subsidiaries or affiliates or

securities of the domestic company to be acquired, the names of the

parties thereto, and copies of all agreements relating to the

transactionthereto.

(b) An explanation of the criteria used in determining the nature and amount

of thesuch consideration. Nature, as used in this subsection, means form of

consideration, such as, but not limited to, cash, debentures and their terms.

(c) If the source of the consideration is a loan made in the lender's ordinary

course of business and if the acquiring party wishes the identity to remain

confidential, he or she must specifically request that the identity be kept

confidential. However, thatsuch identity may be disclosed to other

insurance departmentsInsurance Departments, provided they agree to

observe the confidentiality.

ITEM 5. Future Plans for Insurer

Describe any plans or proposals thatwhich the acquiring party may have to

liquidate thesuch insurer, to sell its assets to or merge it with any other persons, or

to make any other material change in its business operations or corporate structure

or management. Describe any operational changes thatwhich may occur as a

result of any integration of thesuch insurer's operations with the operation of the

applicant or any of its affiliates. For purposes of this Item, a change in business

operations or corporate structure or management shall be deemed material

whenwhere it is likely that a reasonable corporate officer would attach importance

to the change, considering the overall impact of the change on the corporation.

ITEM 6. Voting Securities or Policyholder Proxies To Be Acquired or Controlled

State the number of shares of the insurer's voting securities or number of

policyholder proxies thatwhich the acquiring party, its affiliates and any person

listed in Item 3 plan to acquire or control, and the terms of the offer, request,

invitation, agreement or acquisition, and a statement as to the method by which

the fairness of the proposal was arrived.

ITEM 7. Ownership of Voting Securities or Control of Policyholder Proxies


17



State the amount of the insurer's voting securities thatwhich is beneficially owned

or concerning which there is a right to acquire beneficial ownership by the

acquiring party, its affiliates or any person listed in Item 3. State the number of

policyholderPolicyholder proxies currently controlled or concerning which there

is a right to acquire control of by the acquiring party, its affiliates or any person

listed in Item 3.

ITEM 8. Contracts, Arrangements, or Understandings with Respect to Voting

Securities or Policyholder Proxies of the Insurer

a) Give a description of any contracts, arrangements or understandings with

respect to any voting security or policyholder proxy of the insurer in

which the acquiring party, its affiliates or any persons listed in Item 3 areis

involved, including but not limited to transfer of any of the securities, joint

ventures, loan or option arrangements, puts or calls, guarantees of loans,

guarantees against loss or guarantees of profits, division of losses or

profits, or the giving or withholding of proxies. TheSuch description shall

identify the persons with whom thesuch contracts, arrangements or

understandings have been entered into.

b) Copies of all tender offers for, request or invitations for tenders of,

exchange offers for, and agreements to acquire or exchange any voting

securities of the insurer, and (if distributed) of additional related soliciting

material relating thereto, shall be filed as exhibits.

ITEM 9. Recent Acquisition of Voting Securities or Policyholders Proxies

Describe any acquisition of any voting securities or control of policyholder's

proxies of the insurer during the 12 calendar months preceding the filing of this

Statement by the acquiring party, its affiliates or any person listed in Item 3.

Include in thesuch description the dates of purchase acquisition, the names of the

acquirers, and the consideration paid or agreed to be paid therefor.

ITEM 10. Recent Recommendations to Acquire

Describe any recommendations to purchase any voting security or policyholder's

proxies of the insurer made during the 12 calendar months preceding the filing of

this statement by the acquiring party, its affiliates or any person listed in Item 3,


17



or by anyone based upon interviews or at the suggestion of the acquiring party, its

affiliates or any person listed in Item 3.

ITEM 11. Agreements with Brokers-Dealers

Describe the terms of any agreement, contract or understanding made with any

broker-dealer as to solicitation of voting securities of the insurer for tender, and

the amount of any fees, commissions or other compensation to be paid to broker-

dealers with regard to the solicitationthereto.

ITEM 12. Financial Statements and Exhibits

a) Financial statements, exhibits and three-year financial projections of the

insurers shall be attached to this statement as an appendix, but list under

this item the financial statements and exhibits so attached. However,

when an individual as the acquiring party must file financial information,

that information need not be delivered to the domestic company, but shall

be physically available at a hearing proceeding.

b) The financial statements shall include the annual financial statements of

the persons identified in Item 2(a) for the preceding five fiscal years (or

for such lesser period as the applicant and its affiliates and any

predecessors shall have been in existence), and similar unaudited

information as of a date not earlier than 90 days prior to the filing of the

statement. The statements may be prepared on either an individual basis,

or, unless the Director otherwise requires, on a consolidated basis if

consolidated statements are prepared in the usual course of business.

The annual financial statements of the applicant shall be accompanied by

the certificate of an independent public accountant to the effect that those

statements present fairly the financial position of the applicant and the

results of its operations for the year then ended, in conformity with

generally accepted accounting principles or with requirements of

insurance or other accounting principles prescribed or permitted under

law. If the applicant is an insurer that is actively engaged in the business

of insurance, the financial statements need not be certified, provided they

are based on the Annual Statement of the person filed with the insurance

department of the person's domiciliary state and are in accordance with the

requirements of insurance or other accounting principles prescribed or


17



permitted under the laws and regulations of that state.Financial statements

and exhibits shall be attached to this statement as an appendix, but list

under this item the financial statements and exhibits so attached.

However, when an individual as the acquiring party must file financial

information such information need not be delivered to the domestic

company, but shall be physically available at a hearing proceeding.

ITEM 13. Licensing Requirements

Describe how the domestic company would be able to satisfy the requirements for

the issuance of a license to write the line or lines of insurance for which it is

presently licensed after the change of control.

ITEM 14. Effect of Change of Control Upon Competition

Describe how the effect of the change of control would not substantially lessen

competition or tend to create a monopoly in insurance in Illinois. Refer to the

competitive standards as set forth in Section 131.12a(4) of the Insurance Code. If

these standards would apply, provide information outlined in 50 Ill. Adm. Code

653.Illustration A. The optional expert opinion referred to in Part 653 is also

optional under this Part.

ITEM 15. Financial Stability

Briefly outline the financial condition of each acquiring party so as to demonstrate

that thesuch financial condition would not jeopardize the financial stability of the

domestic company or the interest of its policyholders. For purposes of this Item,

each acquiring party shall submit information regarding its financial condition as

affecting the financial stability of a domestic insurer when a corporate officer

could reasonably believe that the fiscal integrity of the domestic insurer would be

affected by the financial condition of the acquiring party.

ITEM 16. Reasonableness of the Terms

Provide a statement that specifies the method by which the fairness ofBriefly

outline any facts which would tend to show that the terms of the offer, request,

invitation, agreement or acquisition are fair in relationship to the value of the

domestic company was determined.


17



ITEM 17. Plans for Material Change in the Domestic Company

Briefly outline facts thatwhich would tend to show that the plans or proposals

thatwhich the acquiring party has to liquidate the domestic company, sell its

assets or consolidate or merge it with any person, or to make any other material

change in its business or corporate structure or management, are fair and

reasonable to the policyholders of the domestic company. Briefly outline any

intended business relationship between the company to be acquired and the

acquiring party or any affiliate of the acquiring party. For purposes of this Item, a

change in business operations or corporate structure or management shall be

deemed material whenwhere it is likely that a reasonable corporate officer would

attach importance to the change considering the overall impact of the change on

the corporation.

ITEM 18. Qualifications of the Managing Persons

Briefly describe the competence, experience and integrity of those persons who

would manage the operation of the domestic company so as to show that the

change of control would not be adverse to the policyholders of the domestic

company and of the insurance buying public.

ITEM 19. Statement that Enterprise Risk Management Information Will Be Provided

After the acquisition of control occurs, the applicant shall agree to provide the

annual report specified in Section 131.14b of the Code.

ITEM 2019. Signature and Certification

Signature and Certification shall be in the following form:

Pursuant to the requirements of Section 131.5 of the Illinois Insurance Code and 50 Ill. Adm.

Code 651, has caused this application to be duly signed Name of Applicant

on its behalf in the City of and State of ,

on the day of , 20 .

Name of Applicant


17



BY

(Name) (Title)

Attest:

(Signature of Officer)

(Title)

CERTIFICATION

The undersigned deposes and says that he or she had duly executed the attached application dated

, 20 , for and on behalf of ,

(Name of Applicant)

that he or she is the of thatsuch company, and that he or she is authorized to (Title of Officer)

execute and file the applicationsuch instrument. Deponent further says that he or she is familiar

with the applicationsuch instrument and the contents of the applicationthereof, and that the facts

in the applicationtherein set forth are true to the best of his or her knowledge, information and

belief.

Signature

(Type or Print Name Beneath)



17



1) Heading of the Part: Pre-Acquisition Notification



653.10 Amendment

653.15 New Section

653.30 New Section


4) Statutory Authority: Implementing Article VIII ½ and authorized by Sections 131.12a

and 401 of the Illinois Insurance Code [215 ILCS 5/Art. VIII½ and 401]

5) A Complete Description of the Subjects and Issues Involved: Proposed changes to Part

653 are mainly editorial, for updating, clarification and consistency with other

Department rules. New Sections 653.15 and 653.30 add definitions and a severability

clause to the rule. The Illustration includes changes to update the reference to applicable

annual statement pages for Life, Health and Property and Casualty insurers. It also adds

standardized Incorporation by Reference procedures that eliminate redundant information

filing requirements for the Form CX.



None





11) Statement of Statewide Policy Objective: This rulemaking will not require a local




17











217/557-1396 217/558-0957

fax: 217/524-9033



affected: None


for filing Form CX, Pre-Acquisition Notification, with the Department of

Insurance





17



TITLE 50: INSURANCE



PART 653

PRE-ACQUISITION NOTIFICATION

Section

653.10 Purpose

653.15 Definitions

653.20 Pre-acquisition Notification – Form of Statement Filing

653.30 Pre-acquisition Notification – Severability Provision

653.ILLUSTRATION A Form CX

AUTHORITY: Implementing Article VIII½ and authorized by Sections 131.12a and 401 of the

Illinois Insurance Code [215 ILCS 5/Art. VIII½ and Sections 131.12a and 401].

SOURCE: Emergency rule adopted at 10 Ill. Reg. 793, effective January 1, 1986, for a

maximum of 150 days; adopted at 10 Ill. Reg. 17163, effective October 1, 1986; transferred from

the Department of Insurance to the Department of Financial and Professional Regulation

pursuant to Executive Order 2004-6 on July 1, 2004; transferred from the Department of

Financial and Professional Regulation to the Department of Insurance pursuant to Executive

Order 2009-4 on June 1, 2009; recodified from 50 Ill. Adm. Code 853 to 50 Ill. Adm. Code 653

at 41 Ill. Reg. 144; amended at 41 Ill. Reg. ______, effective ____________.

Section 653.10 Purpose

The purpose of this Part is to set forth requirements which the Director deems necessary to carry

out the provisions of Section 131.12a of the Illinois Insurance Code [215 ILCS 5/131.12a].






17





Section 653.30 Pre-acquisition Notification – Severability Provision







17



Section 653.ILLUSTRATION A Form CX FORM CX

INSTRUCTIONS FOR COMPLETION

FORM CX

PRE-ACQUISITION NOTIFICATION

Filed with the Insurance Department of the State of Illinois.

BY

(Name of Registrant)

On Behalf of the Following Insurance Companies

Date: , 20

Name, Title and Address of Officer to Whom Notices and Correspondence Concerning this

Statement Should be Addressed: ___________________________________________________

Item 1. Parties.


17



Identify all "involved insurers", "acquired persons" or "acquired insurers" subject

to Section 131.12a of the Illinois Insurance Code.

Item 2. Method and Datedate of Acquisitionacquisition.

Describe the transactions thattransaction(s) which will occur andwhich may

directly or indirectly change the control, as defined in Code Section 131.1(b) of

the Illinois Insurance Code [215 ILCS 5/131.1] of an insurer authorized to do

business in this State. Identify the effective date for the

transactionstransaction(s).

Item 3. Market Shares.

Identify the rank and percent of the market share for each insurer or group of

insurers as defined by Code Section 131.12a by line of insurance. The lines of

insurance include Illinois business reported on the Direct Business In The State

Of Illinois page 46 of the Life, Accident and Health Annual Statement blank and

the Exhibit of Premiums and Losses (Statutory Page 14) page 14 of the

PropertyFire and Casualty Annual Statement blank as filed with the Director for

the preceding year as required by Code Section 136 of the Illinois Insurance Code

[215 ILCS 5/136].

Item 4. Expert Opinion (Optional).

Include statement by economist regarding competitive impact of acquisition.

TheSuch statement shall also include the qualifications of thatsaid economist.

Item 5. Filing Fees.

Pursuant to Code Section 408 of the Illinois Insurance Code [215 ILCS 5/408],

the Director shall collect a fee for the filing of a statement of acquisition of a

foreign or alien insurance company. This filing shall not be deemed complete

until the Director has received the appropriate filing fee as required by Section

408.

Item 6. This Form is not to be used as a blank form to be filled in, but only as a guide in

the preparation of the statement.

Item 7. Incorporation by Reference


17



a) Materials required by any item of this statement may be incorporated by

reference in answer or partial answer to any other item.

b) Information contained in any financial statement, annual report, proxy

statement, statement filed with a governmental authority, or any other

document may be incorporated by reference in answer or partial answer to

any item, provided the document or paper is filed as an exhibit to the

statement. Excerpts of documents may be filed as exhibits if the

documents are extensive. Documents currently on file with the Director

that were filed within the prior three years need not be attached as

exhibits. References to information contained in exhibits or in documents

already on file shall clearly identify the material and shall specifically

indicate that the material is to be incorporated by reference in answer to

the item. Material shall not be incorporated by reference in any case in

which the incorporation would render the statement incomplete, unclear or

confusing.

c) When an item requires a summary or outline of the provisions of any

document, only a brief statement shall be made as to the pertinent

provisions of the document. In addition to the statement, the summary or

outline may incorporate by reference particular parts of any exhibit or

document currently on file with the Director that was filed within three

years and may be qualified in its entirety by the reference. In any case in

which two or more documents required to be filed as exhibits are

substantially identical in all material respects except as to the parties, the

dates of execution, or other details, a copy of only one of the documents

need be filed, with a schedule identifying the omitted documents and

setting forth the material details in which the documents differ from the

documents a copy of which is filed.

Affidavit of Registrant.

State of )

)

County of )

(Company officer) being duly sworn, deposes and says:


17



That he or she is the (Title) of the (Name of the Company) , a corporation organized

and existing under and by virtue of the laws of the State of (State) ; and on whose

behalf makes this Affidavit.

Deponent says that he or she is familiar with Pre-Acquisition Notification and the its contents

thereof, and that the facts set forth are true to the best of his or herknowledge, information and

belief.

____________________________________ (Signature)

(Type or Print Name Beneath)



17



1) Heading of the Part: Prior Notification of Dividends on Common Stock and Other

Distributions



655.20 Amendment

655.30 Amendment

655.50 New Section


4) Statutory Authority: Implementing Article VIII ½ and authorized by Sections 131.16,

131.20a(2), and 401 of the Illinois Insurance Code [215 ILCS 5/Art. VIII ½, 131.16,

131.20a(2), and 401]

5) A Complete Description of the Subjects and Issues Involved: Article VIII ½ of the

Illinois Insurance Code (Insurance Holding Company Systems) was amended by PA 98-

609. The changes to Illinois statutes were made based on the NAIC Model Law #440

which was passed in December 2010.

Changes to Part 655 are based on updated requirements of the Model Law. Section

655.30 discloses the change in ordinary dividend reporting which follows the changes

made to Section 131.16 of the Illinois Insurance Code. Section 655.50 adds a

severability clause. Minor editorial changes were also made throughout the rule.



None






17



11) Statement of Statewide Policy Objective: This rulemaking will not require a local











217/557-1396 217/558-0957

fax: 217/524-9033



affected: None


for filing Form D-2, Prior Notice of Dividends on Common Stock and Other

Distributions, with the Department of Insurance





17



TITLE 50: INSURANCE



PART 655

PRIOR NOTIFICATION OF DIVIDENDS ON

COMMON STOCK AND OTHER DISTRIBUTIONS

Section

655.10 Purpose

655.20 Definitions

655.30 Prior Notification of Dividends and Other Distributions

655.40 Penalties

655.50 Severability Provision

655.ILLUSTRATION A Form D-2

AUTHORITY: Implementing Article VIII½ and authorized by Sections 131.16, 131.20a(2) and

401 of the Illinois Insurance Code [215 ILCS 5/Art. VIII½ and Sections 131.16, 131.20a(2) and

401].

SOURCE: Emergency rules adopted at 17 Ill. Reg. 21869, effective November 30, 1993, for a

maximum of 150 days; amended at 18 Ill. Reg. 6168, effective April 6, 1994; amended at 21 Ill.

Reg. 5922, effective April 29, 1997; transferred from the Department of Insurance to the

Department of Financial and Professional Regulation pursuant to Executive Order 2004-6 on

July 1, 2004; transferred from the Department of Financial and Professional Regulation to the

Department of Insurance pursuant to Executive Order 2009-4 on June 1, 2009; recodified from

50 Ill. Adm. Code 855 to 50 Ill. Adm. Code 655 at 41 Ill. Reg. 147; amended at 41 Ill. Reg.

______, effective ____________.


Terms found in this Part, other than those defined in this Section, have the meanings ascribed in

Section 131.1 of the Insurance Code.




17




"Executive officer" means any individual charged with active management and

control in a senior executive capacity as described by the company's by-laws

(including a president, senior vice president, treasurer, secretary, controller, and

any other individual regardless of title performing functions the same as those

performed by the foregoing officers).


Section 655.30 Prior Notification of Dividends and Other Distributions

a) Notice.

1) Ordinary Dividends. Any domestic company required, pursuant to Code

Section 131.16 of the Illinois Insurance Code, to notify the Director of a

dividend or other distribution to its shareholders shall notify the Director

of the proposed dividend or distribution in writing within 5 business days

following declaration and no less than 10 business days prior to payment

thereof. The 10 day period shall begin the day the notice is received by

the Department. TheSuch notice shall be deemed incomplete unless all

the information required by this Part has been included therein.

2) Extraordinary Dividends or Other Extraordinary Distributions. Any

domestic company required, pursuant to Code Section 131.20a of the

Illinois Insurance Code, to notify the Director of an extraordinary dividend

or other extraordinary distribution to its shareholders shall notify the

Director of the proposed dividend or distribution in writing within 5

business days following declaration and no less than 30 days prior to

payment thereof. The 30 day period shall begin the day the notice is

received by the Department. TheSuch notice shall be deemed incomplete

unless all the information required by this Part has been included therein.

3) Proof of Receipt. Certified Mail confirmation, confirmation from a

commercial delivery service, or the date stamped upon the notice by the

Department acknowledging receipt of the filing required by this Part shall

serve as proof of the date of receipt of the filing.

b) The domestic company shall provide to the Director the information required by,


17



and in the format specified by, Illustration A, Form D-2 of this Part.

c) The notification shall be directed to the Deputy Director of the Financial-

Corporate Regulatory Division of the Illinois Department of Insurance,

Springfield, Illinois 62767.

d) In the case of a proposed payment of extraordinary dividends pursuant to Code

Section 131.20a of the Illinois Insurance Code, the Director may require

supplemental information in addition to the information required by Illustration

A, Form D-2 of this Part. Supplemental information required by the Director may

include but is not limited to: a statement in narrative form of the effects of the

proposed dividends on the company's most recent Management Discussion and

Analysis; a statement of financial position; a statement of operations; a statement

of cash flows; a statement of changes in capital and surplus accounts; a statement

in schedule form of risk-based capital requirements; and a statement of significant

trends in reinsurance programs, premium volume and/or mix, losses, benefits, and

general expenses.

e) For the purposes of the Department's review of proposed dividend payments, the

factors set forth in Code Section 131.20(2) of the Illinois Insurance Code [215

ILCS 5/131.20(2)] are not intended to be an exhaustive list. In determining the

adequacy and reasonableness of an insurer's surplus, no single factor shall be

controlling. The Director, instead, will consider the net effect of all these factors

plus any other factors bearing on the financial condition of the insurer. In

comparing the surplus, maintained by other insurers, the Director will consider

the extent to which each of the factors varies from company to company and, in

determining the quality and liquidity of investments in subsidiaries, the Director

will consider the individual subsidiary and may discount or disallow its valuation

to the extent that the individual investments warrant.


Section 655.50 Severability Provision






17





17



Section 655.ILLUSTRATION A Form D-2

FORM D-2

GENERAL

INSTRUCTIONS

Signature and Certification.

For purposes of filing the Form D-2, the signature and certification required by this Part shall be

signed by an executive office of the insurer.

PRIOR NOTICE OF DIVIDENDS ON COMMON

STOCK AND OTHER DISTRIBUTIONS

Filed with the Insurance Department of the State of Illinois

By

Name of Domestic Company

On behalf of Following Insurance Companies:

Name Address

Date , 20

Name, Title, Address and Telephone Number of Individual to Whom Notices and

Correspondence Concerning this Request Should be Addressed:


17



Item 1. Type of Dividend or Distribution.

Identify the dividend or distribution as a dividend or other distribution subject to Code Section

131.16 of the Illinois Insurance Code [215 ILCS 131.16] or as an extraordinary dividend or other

extraordinary distribution as defined in Code Section 131.20a(2) of the Illinois Insurance Code

[215 ILCS 131.20a(2)].

Item 2. The amount of the dividend or other distribution and the date established for payment.

The proposed date must be consistent with requirements for receipt of notice by the Department,

as specified in Section 655.30(a) of 50 Ill. Adm. Code 655.

Item 3. A statement as to whether the dividend or other distribution is to be in cash or other

property, and, if in property, a description thereof, its cost, statutory carrying value, and the fair

market value of thesuch property together with an explanation of the basis for valuation.

Item 4. The amounts and payment dates of all dividends paid within the period of 12 consecutive

months ending on the date fixed for payment of the proposed dividend for which notification is

being given or approval is being sought.

Item 5. An illustration of the calculation of the extraordinary dividend limit set by Code Section

131.20a of the Illinois Insurance Code. Dividends that have been or will be paid in other than

cash, shall be valued for the purposes of the calculation at the greater of market or statutory

carrying value of the asset.

Item 6. If the notice is filed for an extraordinary dividend pursuant to Code Section 131.20a of

the Illinois Insurance Code, the following items must also be included:

a) A balance sheet and statement of income for the period intervening from the last

annual statement filed with the Director and the end of the month preceding the

month in which the prior notification of the dividend is submitted. Indicate the

amount of all unrealized capital gains included in unassigned funds.

b) A brief statement as to the effect of the proposed dividend upon the insurer's

surplus and the reasonableness of surplus in relation to the insurer's outstanding

liabilities and the adequacy of surplus relative to the insurer's financial position.

c) A calculation of the insurer's risk based capital level as of the most recently filed

financial statement (quarterly or annual), adjusted to show the effect of the

proposed dividend or other distribution.


17



Pursuant to the requirements of Code Section 131.16 (or 131.6 and 131.20a, in the case of

extraordinary dividends) of the Illinois Insurance Code, has caused this

notice to be duly signed on its behalf in the City of

and State of on the day of , 20 .

Name of Requesting Insurer

By

(Name) (Title)

Attest:

(Signature of Officer)

(Title)

CERTIFICATION

The undersigned deposes and says that (s)he or she had duly executed the attached notice dated

, 20, , for and on behalf of ; that (s)he is the

(Name of Insurer)

of thesuch company and that (s)he or she is familiar with thesuch (Title of Officer)

instrument and the contents thereof, and that the facts therein set forth are true to the best of his or

herhis/her knowledge, information and belief.

(Signature)

(Type or print name beneath)



17

ILLINOIS COMMERCE COMMISSION

NOTICE OF ADOPTED REPEALER

1) Heading of the Part: Standards of Service for Gas Utilities


3) Section Numbers: Adopted Actions:

500.10 Repealed

500.20 Repealed

500.30 Repealed

500.40 Repealed

500.110 Repealed

500.120 Repealed

500.130 Repealed

500.140 Repealed

500.150 Repealed

500.160 Repealed

500.170 Repealed

500.180 Repealed

500.190 Repealed

500.200 Repealed

500.210 Repealed

500.215 Repealed

500.220 Repealed

500.230 Repealed

500.240 Repealed

500.250 Repealed

500.260 Repealed

500.270 Repealed

500.280 Repealed

500.290 Repealed

500.300 Repealed

500.310 Repealed

500.320 Repealed

500.330 Repealed

500.335 Repealed

500.340 Repealed

4) Statutory Authority: Implementing Section 8-301 and authorized by Section 10-101 of

the Public Utilities Act [220 ILCS 5/8-301 and 10-101]


17


NOTICE OF ADOPTED REPEALER

5) Effective Date of Repealer: January 1, 2017


7) Does this rulemaking contain incorporations by reference? Yes

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

file in the Commission's Springfield office and is available for public inspection.

9) Notice of Proposal published in the Illinois Register: 40 Ill. Reg. 7217; May 13, 2016

10) Has JCAR issued a Statement of Objection to this rulemaking? No

11) Differences between Proposal and Final Version: None

12) Have all the changes agreed upon by the Agency and JCAR been made as indicated in the

agreement letter issued by JCAR? No changes were required.


14) Are there any rulemakings pending on this Part? No

15) Summary and Purpose of Rulemaking: This rulemaking repeals the rules currently found

in Part 500; they will be replaced by the provisions of Part 501, which have already been

adopted and which will apply beginning on January 1, 2017. Many of the provisions of

Part 500 have existed in their current form since 1965, and some are a century old. A

comprehensive and systematic revision of the Part was necessary to take account of

technological improvements that have occurred in recent years, as well as to recognize

the emerging role of alternative gas suppliers in the market.

16) Questions or requests for information about this adopted repealer shall be directed to:

Brian W. Allen

Office of General Counsel

Illinois Commerce Commission

527 East Capitol Avenue


217/558-2387


17


NOTICE OF ADOPTED AMENDMENTS

1) Heading of the Part: Standards of Service for Gas Utilities and Alternative Gas Suppliers



501.10 Amendment

501.20 Amendment

501.110 Amendment

501.160 Amendment

501.180 Amendment

501.190 Amendment

501.200 Amendment

501.230 Amendment

501.250 Amendment

501.270 Amendment

501.280 Amendment

501.610 Amendment

4) Statutory Authority: Implementing and authorized by Sections 8-301, 8-302, 8-501, 9-

201, 10-101, 10-107, 19-110(e)(3) and 19-115(b)(1), (b)(4) and (b)(5) of the Public

Utilities Act [220 ILCS 5/8-301, 8-302, 8-501, 9-201, 10-101, 10-107, 19-110(e)(3) and

19-115(b)(1), (b)(4) and (b)(5)]

5) Effective Date of Rules: December 29, 2016


7) Does this rulemaking contain incorporations by reference? Yes

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

in the Commission's Springfield office and is available for public inspection.

9) Notice of Proposal published in the Illinois Register: 40 Ill. Reg. 7246; May 13, 2016


11) Differences between Proposal and Final Version: No substantive changes have been

made.


17




agreement letter issued by JCAR? None were made.

13) Does this rulemaking replace any emergency rule currently in effect? No


15) Summary and Purpose of Rulemaking: The amendments adopted here make a number of

corrections to Part 501, which will apply beginning on January 1, 2017, taking the place

of Part 500. Among other things, the amendments correct cross-references within the

rules and correct citations to materials incorporated by reference. In addition, Section

501.160(g) expands the roster of national measurement institutes that may serve as

sources for calibration standards.

16) Questions or requests for information about this adopted rulemaking shall be directed to:

Brian W. Allen

Office of General Counsel

Illinois Commerce Commission

527 East Capitol Avenue


217/558-2387

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


17



TITLE 83: PUBLIC UTILITIES

CHAPTER I: ILLINOIS COMMERCE COMMISSION

SUBCHAPTER d: GAS UTILITIES

PART 501

STANDARDS OF SERVICE FOR GAS UTILITIES AND

ALTERNATIVE GAS SUPPLIERS

SUBPART A: GENERAL

Section

501.5 Effectiveness of this Part

501.10 Definitions and Incorporations by Reference

501.20 Application

501.30 Exemption or Modification

501.40 Complaints

501.50 Customer Call Centers

SUBPART B: NATURAL GAS MEASUREMENT REQUIREMENTS

Section

501.100 Application of Subpart B

501.110 Location and Installation of Meters

501.120 Meter and Equipment Handling Requirements

501.130 Trained Personnel

501.140 Compressibility and Supercompressibility

501.150 Fixed Factor Delivery

501.160 Testing Facilities and Equipment

501.170 Meter Accuracy Requirements

501.180 Diaphragm Meters

501.190 Rotary Meters

501.200 Turbine Meters

501.210 Orifice Meters

501.220 Multi-Path Ultrasonic Meters

501.230 Coriolis Meters

501.240 Other Meter Types

501.250 Sample Testing of Diaphragm Meters

501.260 Meter Tests Requested by the Customer

501.270 Commission Referee Tests


17



501.280 Meter Tests Requested by Natural Gas Suppliers

501.290 Meter Installation Inspection

501.300 Correctors

501.310 Transmitters

501.320 Gas Chromatograph

SUBPART C: CUSTOMER INFORMATION

Section

501.400 Corrections and Adjustments for Measurement Error

501.410 Information to Customers

501.420 Meter Reading

SUBPART D: GAS SERVICE STANDARDS

Section

501.500 Pressure Regulation

501.510 Pressure Survey

501.520 Interruptions of Service

501.530 Heating Value

501.540 Good Engineering Practice

SUBPART E: EXTENSION OF MAINS

Section

501.600 Extension of Distribution Mains in Urban Areas

501.610 Extension of Distribution Mains in Rural Areas

AUTHORITY: Implementing and authorized by Sections 8-301, 8-302, 8-501, 9-201, 10-101,

10-107, 19-110(e)(3) and 19-115(b)(1), (b)(4) and (b)(5) of the Public Utilities Act [220 ILCS

5/8-301, 8-302, 8-501, 9-201, 10-101, 10-107, 19-110(e)(3) and 19-115(b)(1), (b)(4) and (b)(5)].

SOURCE: Adopted at 39 Ill. Reg. 12494, effective August 25, 2015; amended at 41 Ill. Reg.

351, effective December 29, 2016.

SUBPART A: GENERAL

Section 501.10 Definitions and Incorporations by Reference


17



a) Definitions

"Act" means the Public Utilities Act [220 ILCS 5].

"AGA" means the American Gas Association.

"Alternative Gas Supplier" has the same meaning as in Section 19-105 of the Act.

"ANSI" means the American National Standards Institute.

"Answer Time" means a measurement from the point the customer dialed the last

digit of the natural gas public utility's or alternative gas supplier's telephone

number and a natural gas public utility or alternative gas supplier representative or

automated system is ready to render assistance or accept information to process

calls.

"Auxiliary Equipment" means an integral device attached directly or remotely to a

gas meter. The function of auxiliary equipment is to adjust gas meter usage

measurements to account for changes in gas temperature or pressure.

"Bell Prover" means a cylindrical metal tank open at the top and nearly filled with

liquid, in which a smaller calibrated cylindrical tank called the bell, open at the

bottom and having a dome-shaped top, can be raised or lowered. As the operator

raises (negative pressure) or lowers (positive pressure) the bell, the bell will

displace a known volume of air.

"British Thermal Unit" or "BTU" means the quantity of heat required to raise the

temperature of one pound of water one degree Fahrenheit from 58.5°F to 59.5°F

under a standard pressure of 30 inches of mercury at 32°F, or 1054.804 Joules.

"Complaint" means an objection made to a natural gas public utility or alternative

gas supplier, by a customer or another entity, as to its charges, facilities or service.

Complaints include a customer or other entity identifying and asking a natural gas

public utility or alternative gas supplier to address or resolve a problem or

concern and shall not include contacts that are limited to inquiry or seeking

information.

"Compressibility" means a gas volume correction factor calculated by using the

parameters of natural gas composition, flowing gas temperature, and flowing gas


17



pressure. The compressibility correction factor compensates for the deviation of

gases from the ideal gas laws with increased pressure and with variations in

temperature and gas composition. Compressibility is not to be confused with

"supercompressibility", which is also defined in this Section.

"Coriolis Meter" means a gas meter that infers mass flow rate by measuring tube

displacement resulting from the Coriolis effect.

"Corrector" means a device that corrects uncorrected gas meter volume according

to the gas laws (Boyle's Law, Charles' Law, and Real Gas Law).

"Commission" means the Illinois Commerce Commission.

"Commission Referee Test" means the accuracy test of any gas meter made in the

presence of one or more members of Commission Staff.

"Cubic Foot" means the unit of volume for purposes of measurement at a base

temperature of 60°F at a base pressure of 14.73 pounds per square inch absolute.

"Custody Transfer Meter" means the meter, auxiliary equipment and tertiary

equipment a utility uses to measure a customer's gas usage.

"Diaphragm Meter" means a positive displacement, bellows-type gas meter that

alternately fills and empties compartments of known volume and totals the

number of times the cycle occurs to determine the volume of gas passing through

the meter.

"Defective Meter" means a meter whose condition is impairing service to a

customer or a meter that has failed the requirements of Sections 501.170, 501.180,

501.190, 501.200, 501.210, 501.220 or 501.230500.170, 500.180, 500.190,

500.200, 500.210, 500.220 or 500.230.

"Flow Computer" means a device that electronically converts signals from a gas

measurement system to a useful form such as flow rate.

"Fixed Factor" means the use of a gas pressure regulator to control gas pressure

within an allowable pressure band over the required flow rate range considering

the variation of inlet pressures and results in the application of a pressure


17



correction factor applied via an arithmetic application or special index to a

customer's measured usage.

"Master Bell" means a primary bell prover used as a reference standard for target

proof correlations and bell prover interface recertification.

"Measurement Error" means an error in the calculation of a customer's gas usage

due to the inaccuracy or improper setup of a utility's meter or other equipment

whose function directly or indirectly affects the utility's measurement of a

customer's gas usage.

"Meter Accuracy" means the overall performance of a particular meter in

relationship to a known reference or portable standard.

"Meter Soaking Room" means a room maintained at the same atmospheric

conditions as the meter proving room. The purpose of a meter soaking room is to

store and acclimatize meters prior to testing to ensure meter testing accuracy that

is not affected by temperature variations.

"Multi-path Ultrasonic Meter" means a device that derives gas flow rate by

measuring the transit times of high-frequency sound pulses. Sound pulses transit

between pairs of transducers located on or in the gas pipe.

"Natural Gas Supplier" means an alternative gas supplier or any other natural gas

supplier providing the natural gas commodity to a customer under a gas utility

tariff or rider.

"Orifice Meter" means an inferential meter that consists of an orifice plate

perpendicular to the gas flow in a pipe. When gas flows across the orifice, it

creates a pressure differential. Transmitters and transducers measure the pressure

differential, static pressure, and other variables to determine the flow rate. The

flow rate is proportional to the square root of the differential pressure across the

orifice plate.

"Portable Standards" means instruments that utilities use in the field or the meter

shop to test the accuracy of auxiliary and tertiary equipment, transmitters, and

other equipment associated with correcting a meter's output.


17



"Proving Room" means a temperature-controlled room where the utility uses

equipment to determine the accuracy of meters.

"Rated Capacity" or "Badged Capacity" means the hourly gas throughput of a

meter as defined by the meter manufacturer.

"Reference Standards" means instruments that utilities use only for verifying the

accuracy of portable standards, and whose accuracy is traceable back to the

national standard maintained by the National Institute of Standards and

Technology (NIST) or its successor.

"Rotary Meter" means a positive displacement meter that alternately fills and

empties rotating compartments of known size and totals the number of times the

cycle occurs to determine the volume of gas passing through the meter.

"Service Applicant" means a person who applies for residential or non-residential

utility service for a location where the utility has not yet installed the meter.

"Small Commercial Customer" has the same meaning as in Section 19-105 of the

Act.

"Sonic Nozzle Automatic Prover" means a device containing a parallel bank of

sonic flow nozzles that it uses to determine actual gas volume passed through a

gas meter in order to determine the gas meter's accuracy.

"Sub-metering" means the placement of a meter downstream of a custody transfer

meter.

"Supercompressibility" means a value used in some flow equations for differential

pressures (for example, orifice metering). In general, the supercompressibility

factor is equal to the square root of the quotient of gas compressibility at base

conditions divided by the gas compressibility at flowing conditions.

Supercompressibility is not to be confused with "compressibility".

"Tertiary Equipment" means a device that electronically converts signals from a

gas measurement system (meter or auxiliary equipment or both) to a useful form

such as flow rate (for example, flow computers).


17



"Therm" means a unit of measurement representing a quantity of heat equivalent

to 100,000 BTUs and expresses the energy content of natural gas.

"Transducer" means a sensing element capable of transforming values of physical

properties such as pressure or temperature into equivalent electrical signals.

"Transmitter" means a device designed to enhance the transmission of

information from a transducer to a flow computer by the addition of an electrical

circuit that converts the transducer output to a standard signal in analog, digital or

frequency form.

"Turbine Meter" means an inferential meter that measures gas flow by counting

the revolutions of a rotor with blades, which turn in proportion to the gas flow

velocity.

b) Incorporations by Reference. The following materials are incorporated by

reference as of the date stated and include no later editions or amendments.

American Gas Association, 400 North Capitol Street, NW, Washington DC 20001

AGA Report No. 3, Orifice Metering of Natural Gas − Part 2:

Specification and Installation Requirements, XQ0002 (April

2000)(January 1, 2000)

AGA Report No. 7, Measurement of Natural Gas by Turbine Meter,

XQ0601 (February 2006)XQ0604 (January 1, 2006)

AGA Report No. 9, Measurement of Gas by Multipath Ultrasonic Meters,

XQ0701 (April 1, 2007)

AGA Report No. 11, Measurement of Natural Gas by Coriolis Meter,

XQ1301 (February 1, 2013)

AGA Gas Measurement Manuals – Part 15: Electronic Corrector, XQ9901

(May 1999)

AGA Gas Measurement Manuals – Part 8: Electronic Flow Computers

and Transducers, Revised (1988), XQ8805 (May 1988)


17



American National Standards Institute and American Society for Quality

(American National Standards Institute, 25 West 43rd Street, 4th Floor, New York,

New York 10036)

Sampling Procedures and Tables for Inspection by Attributes, ANSI/ASQ

Z1.4-2008 (January 1, 2008)

American National Standards Institute and American Gas Association (American

National Standards Institute, 25 West 43rd Street, 4th Floor, New York, New York

10036)

Diaphragm-Type Gas Displacement Meters (Under 500 Cubic Feet Per

Hour Capacity), ANSI B109.1-2000, AGA XQ0008 (June 2000)

Diaphragm-Type Gas Displacement Meters (500 Cubic Feet Per Hour

Capacity and Over), ANSI B109.2-2000, AGA XQ0009 (June 2000)

Rotary-Type Gas Displacement Meters, ANSI B109.3-2000, AGA

XQ0010 (June 2000)

(Source: Amended at 41 Ill. Reg. 351, effective December 29, 2016)

Section 501.20 Application

This Part sets forth minimum requirements and shall apply to any natural gas public utility as

defined in Section 3-105 of the Act and any alternative gas supplier as defined in Section

501.10500.10. This Part shall not apply to any natural gas cooperative or to a municipal system

when operating within its service territory. A public utility shall retain a record required by this

Part for the period specified in 83 Ill. Adm. Code 510 unless this Part requires a longer retention

period.


SUBPART B: NATURAL GAS MEASUREMENT REQUIREMENTS

Section 501.110 Location and Installation of Meters

a) A utility shall install a meter on a service applicant's premises as near as practical

to the point of entrance of gas service into the service applicant's building or


17



utilization area as mutually agreed upon by the utility and service applicant. The

utility shall install a meter in a readily accessible location and protect the meter

from corrosion and other damage.

b) A utility shall not install a meter indoors unless outdoor installation is not possible

or would make the meter installation financially infeasible. A utility shall not

install an indoora meter in sleeping rooms, in small, unventilated areas, or in

locations where the installation, reading or removal of the meter may prove

difficult or hazardous. A utility shall not install indoor meters less than three feet

from any ignition source, air intake, or source of heat that might damage the

meter. A utility shall not install a meter in a location where expected temperatures

are likely to exist outside the range recommended by the meter manufacturer.

c) A utility shall not install a meter in front of a residential dwelling except with the

consent of the service applicant or if no other practical external location is

available.

d) A utility shall install all meters in a secured upright and level position. A utility

may vary from this requirement if it installs a meter whose accuracy does not

depend upon an upright and level installation. A utility shall install each meter to

minimize anticipated stresses upon the connecting piping and the meter.

e) If it is not practical for a utility to locate a meter installation in a place free of

vehicular traffic hazards, the utility shall install meter protection such as guard

posts or rails to protect the meter installation from damage. If the utility

determines meter protection is necessary, then the utility shall inform the service

applicant and include an estimate of the cost for the additional meter protection.

The service applicant may install the guard posts or rails prior to the installation

of the meter if the utility approves the proposed protection, or the service

applicant may reimburse the utility for the cost and installation of the guard posts

or rails.

f) A utility may refuse to install a meter or to serve a service applicant if, in the

utility's judgment, the metering installation is hazardous or the service applicant's

installation of piping or gas burning equipment is hazardous or of such character

that the utility cannot provide service in a manner consistent with the

requirements of Section 8-101 of the Act. In case of refusal, the utility shall

inform the service applicant in writing of the reason for refusal to render service


17



and make the service applicant aware of the refusal to provide service within five

business days after the decision to refuse service.

g) A utility shall not install a meter without a temperature compensation device

unless the utility uses a corrector or other acceptable auxiliary equipment to

correct the meter's reading for temperature variation. A utility may install

non-temperature compensated meters in indoor locations if the utility uses only

that type and size of meter in indoor locations.

h) Each diaphragm, rotary and turbine meter shall have a register or display on the

meter or correcting device that displays consumption in a definite and known

proportion to the actual energy consumption of the customer, that is plainly

visible, and that a customer can read. A customer may waive this requirement in

writing. This requirement shall not affect the utility's right to secure meters for

safety reasons or in situations in which the meter is subject to excessive risk of

damage or tampering. At the customer's request, a utility shall explain to the

customer how to read the meter used for billing that customer.

i) A utility shall avoid installing a meter or auxiliary or tertiary equipment in

locations where the meter or auxiliary or tertiary equipment is in direct contact

with soil or concrete unless the manufacturer designed the meter or equipment for

those conditions.

j) A utility shall have security seals installed on all meters and auxiliary and tertiary

equipment or take measures to secure its equipment in order to deter unauthorized

personnel from tampering with it.

k) A utility shall secure all meter bypass valves when not in use in order to deter

unauthorized personnel from tampering with them while also providing a readily

apparent visual indication of tampering or other diversion activities.

l) A utility shall secure a regulator that it uses in conjunction with fixed factor

billing if it discovers tampering with the pressure setting.


Section 501.160 Testing Facilities and Equipment


17



a) A utility shall provide laboratories, testing shops and other equipment, facilities

and personnel as may be necessary to conduct the tests required by this Subpart or

other orders of the Commission. A utility's laboratories, meter testing shops, and

other equipment and facilities so provided shall be at all times available for

inspection by authorized representatives of the Commission.

b) If a utility selects an agent to perform meter sample testing, meter accuracy tests

when a meter is removed from service, and other requirements of this Subpart, or

if a utility changes its agent, or if the agent changes the location where it will

conduct meter tests, the utility shall notify the Director of the Safety and

Reliability Division of the Commission in writing within 60 days after the

selection or change. If an agent is selected or changed, the utility shall provide the

following information about the new agent:

1) Name of agent;

2) Name of contact for agent;

3) Address and phone number of agent contact;

4) Address of location where agent will conduct meter tests;

5) Summary of meter types and sizes that agent will test;

6) Summary of services the agent will perform for the utility; and

7) Identification of what changes, if any, caused the need for the notification.

c) A utility shall provide meter testing equipment, including a bell prover of not less

than two-cubic-foot capacity. A utility shall maintain each of its active provers of

all types in proper adjustment in order to determine the average accuracy of

meters to within one-half of one percent. A utility shall provide suitable

thermometers, pressure gauges, and temperature recorders and shall adequately

control the temperature of the meter testing room, meter soaking room, and air

supply used in testing meters to achieve the meter testing accuracy stated in this

subsection. The temperature of the meter testing and soaking room, when in use,

shall not vary by more than 4F during regular operating hours and shall not vary

by more than 6F throughout the year.


17



d) In the event a meter shop experiences temperature variances that exceed those

provided in subsection (c), a utility shall immediately stop testing meters in the

meter shop until the utility corrects the problem and the temperature returns to the

normal levels for at least four continuous hours or the utility can demonstrate that

the temperature variance between the meters and testing equipment is less than or

equal to 1°F.

e) A utility that uses a transfer prover to test the accuracy of meters in the field shall

verify the transfer prover's accuracy by testing a reference meter on the transfer

prover at least every three months. If this testing shows a deviation of more than

0.5% in the reference meter accuracy, the utility must take all necessary repairs or

actions to bring the transfer prover's testing of the reference meter to within 0.5%

of the prior readings.

f) An authorized representative of the Commission may check or establish the

accuracy of all testing equipment used or intended for use in determining the

accuracy of custody transfer meters, as well as the methods of operating that

equipment. If a utility uses an agent to test the accuracy of its meters, the utility

shall include provisions within its agreement with its agent for the authorized

representatives of the Commission to conduct on-site audits of the agent's facility.

An authorized representative of the Commission shall perform an audit of the

utility's testing equipment and methods at least every three years. The utility shall

reimburse the Commission for all expenses related to audits of meter shops used

or maintained by the utility or its agents located outside of this State.

g) A utility shall certify the accuracy of its testing equipment with measurement

results that are traceable to the international system of units through at least one of

the following national measurement institutes: the National Institute of Standards

and Technology for the United States, the National Physical Laboratory for the

United Kingdom, the National Research Council for Canada, National

Measurement Institute, American Association of Laboratory Accreditation, and

the Physikalisch-Technische Bundesanstalt for Germany.against National Institute

of Standards and Technology traceable standards. Unless specified in this

subsection (g), the maximum certification interval is 36 months.

1) A utility shall certify sonic nozzle automatic provers at least every 12

months. A utility shall also conduct the following maintenance at least

every 12 months on sonic nozzle automatic provers:


17



A) Inspect and clean nozzles and solenoids;

B) Strap and recertify a master bell during the bell interface

recertification process;

C) Recalibrate prover sensors and instrumentation in accordance with

manufacturer's specifications;

D) Test the function of the optical sensor; and

E) Perform a complete bell interface certification followed by a

reference meter target proof analysis.

2) Utility verification checks on portable or reference equipment shall meet

the following requirements:

A) A utility shall verify the accuracy of a portable standard against a

reference standard at least every 12 months. If the portable

standard exhibits an error greater than 0.5%, the utility shall adjust

the portable standard to read within 0.5% or replace the portable

standard, or shall apply the proper correction factor.

B) If a utility does not operate a reference standard, the utility shall

certify or replace its portable standards at least every 12 months.

C) A utility shall certify a reference standard at least every 36 months.

D) A calibration certificate, verification certificate, or card signed or

initialed by the person responsible for the calibration shall

accompany a portable standard and a reference standard at all

times. A utility, in lieu of maintaining the certificate or card with

the device, may maintain the certificate or card in a central location

or database that is available to Commission Staff upon request. A

certificate or card shall provide the date and results of the last

calibration or verification of the instrument. A utility, after each

successive issuance of certificates or cards, shall keep any

superseded certificates or cards on file for at least three years.


17



h) A utility that tests meters with a rated capacity of 800 cubic feet per hour or less

shall use one or more reference meters to conduct equipment checks every week.

A utility shall designate and label reference meters for meter shop use only, and

shall not adjust reference meters in any manner once in service unless they are in

need of repair. A utility shall fully document all alterations to a repaired reference

meter, including before and after accuracies. A reference meter shall carry a rating

of 800 cubic feet per hour or less and shall have a similar size to the meters the

utility tests. Every week during periods when a utility expects to test meters, a

utility shall test a reference meter on each prover that the utility uses to test meters

of the reference meter's size. A utility shall record reference meter test results,

including temperature, when testing on a sonic nozzle automatic prover, and shall

record the test results, temperature test flow times and bell pressure when testing

on a bell prover. If the reference meter tests indicate an accuracy problem with

any equipment, the utility shall cease using that equipment until the utility repairs

the equipment.

i) A utility shall allow meters tested within a meter testing facility to acclimate in

the room containing the testing equipment or meter soaking room for at least 12

hours prior to testing. This acclimation time is not required if the utility can show

that it has taken sufficient actions to bring the meter temperature and the testing

equipment to within 1.0°F of each other.


Section 501.180 Diaphragm Meters

a) A utility shall install a new diaphragm meter set and revisions to an existing

diaphragm meter set in accordance with the recommendations of ANSI B109.1,

XQ0008 (June 2000) for diaphragm meters with a rated capacity less than 500

cubic feet per hour and in accordance with ANSI B109.2, XQ0009 (June 2000)

for diaphragm meters with a rated capacity of 500 cubic feet per hour or greater.

b) A utility furnishing natural gas service with diaphragm meters shall ensure the use

of suitable meter proving or testing equipment to determine the accuracy of the

meter. The average accuracy of a diaphragm meter is determined by averaging the

accuracy of the check and open flow rates.

1) The open rate is 95% to 105% of the rated capacity.


17



2) The check rate is 20% to 33% of the rated capacity.

3) The maximum allowable accuracy spread between the open and check

rates' accuracy is 1.0%.

c) A utility shall conduct periodic accuracy tests on all installed diaphragm meters at

least every 120 months unless the utility has provided notification to the

Commission regarding its plans to conduct sample testing in accordance with

Section 501.250500.250.


Section 501.190 Rotary Meters

a) A utility shall install all rotary meters or revisions to existing rotary meter sets in

accordance with the recommendations of ANSI B109.3, XQ0010 (June 2000).

b) A utility furnishing gas service through a rotary meter shall verify that the meter's

accuracy meets the requirements of Section 501.170(a)500.170(a) before placing

the meter in service.

1) A utility may rely on the manufacturer's factory accuracy test to

demonstrate that a new rotary meter meets the Section

501.170(a)500.170(a) requirements only if the utility also conducts quality

assurance reviews on its new rotary meters.

2) A utility that conducts quality assurance reviews must group the new

meters into meter lots consisting of the same size and manufactured under

the same conditions. The utility must then sample test these lots in

accordance with a single sample plan for normal inspection, Inspection

Level II, of ANSI/ASQ Z1.4-2008 using an acceptable quality level not to

exceed 1.0%.

3) In the event that a meter lot fails, the utility must either return the meters

to the manufacturer or test all of the meters in the lot to verify compliance

with Section 501.170(a)500.170(a).

4) A utility shall retain a record of a meter's accuracy test for the life of the

meter.


17



c) A utility shall differential test an in-service rotary type positive displacement

meter at least every 60 months. If the meter's pressure differential for a given flow

rate is more than 50% higher than the utility's initial differential test or the factory

published differential curve, a utility shall return the differential to a value below

the 50% limit. If the utility cannot return the meter's differential to below the 50%

limit, the utility shall clean and retest the rotary meter within 7 days and, if the

meter's pressure differential is still more than 50% higher than the utility's initial

differential test or the factory published differential curve, the utility will replace

the meter within 60 days. If the meter is of sufficient size that portions of a

customer's structure require modification to remove the meter, then the utility will

replace the meter within 90 days unless the utility and customer agree to a longer

period, not to exceed 180 days.

d) If a utility documents conditions at the meter that prevent the utility from

obtaining a differential reading from the meter, then the utility may delay

verification until those conditions cease to exist or for four months, whichever is

shorter. If a utility delays verification, it shall maintain for three years

documentation of the conditions that prevented verification within the required 60

months and provide the documentation to an authorized representative of the

Commission when requested.

e) In lieu of the differential test requirement in subsection (c), a utility may conduct

an accuracy test of a rotary meter. The average accuracy of a rotary meter is

determined by averaging the accuracy of the check and open flow rates.

1) The check rate is 10% to 33% of the meter's rated capacity.

2) The open rate is 60% to 105% of the meter's rated capacity. The utility

may substitute the proving equipment's maximum capacity for the open

flow rate if the meter's required testing volume exceeds the utility's testing

equipment's capacity.

f) A utility shall maintain the most recent 10 years of inspection records, as well as

the dates of all inspections of rotary meters.


Section 501.200 Turbine Meters


17



a) A utility furnishing natural gas service with turbine meters shall install new

turbine meters or revisions to existing meter sets in accordance with the

recommendations contained in AGA Report No. 7, Measurement of Natural Gas

by Turbine Meters, XQ0601 (February 2006).

b) A utility shall accuracy test a turbine meter at least every 60 months.

1) A utility shall atmospherically test the accuracy of a turbine meter with an

operating pressure not exceeding 25 psi at a minimum of four different

flow rates of not less than 10% of meter capacity and not more than 105%

of the meter capacity.

2) A utility shall accuracy test turbine meters with an operating pressure

exceeding 25 psi at the expected operating pressure of the meter

installation using at least five flow rates of not less than 10% of meter

capacity and no more than 105% of the meter capacity. A utility may

install a turbine meter at a location where the operating pressure falls

within the range of 50% less than or two times greater than the pressure of

the meter's accuracy test. For example, a turbine meter that was accuracy

tested at 100 psi is acceptable for delivery pressures from 50 psi (50% of

100) through 200 psi (2 x 100).

3) A utility may accuracy test its turbine meters in natural gas or air. A utility

that conducts accuracy tests with air shall account for the Reynolds

number equivalence as set forth in AGA Report No. 7, Measurement of

Natural Gas by Turbine Meters, Appendix E, XQ0601 (February 2006).

4) When tested at the expected delivery pressure of the in-service location, a

turbine meter shall demonstrate a tested accuracy within ±1.0% of the

accuracy shown over the manufacturer's entire published flow range.

c) A utility furnishing natural gas service with a dual rotor turbine meter that has an

external means of verifying meter accuracy may extend the accuracy test

requirement to at least every 120 months if the utility can demonstrate that it

verifies the accuracy of the meter at least every six months and that the meter's

performance meets the manufacturer's guidelines.


17



d) A utility shall spin test and, if necessary, lubricate its turbine meters at least every

12 months. If a turbine meter is not equipped with external lubrication provisions

or external means of verifying the operation of the meter, a utility shall spin test

the meter every six months. If the turbine meter's spin time is not equal to or

greater than the minimum spin time specified by the manufacturer, the utility shall

make corrections to the meter to allow the spin time to equal or exceed the

manufacturer's specifications.

e) A utility is not required to conduct a spin test of its dual rotor turbine meter if the

utility furnishes natural gas service with a dual rotor turbine that has an external

means of verifying rotor health, the utility can demonstrate that it verifies the

health of the rotor at least every six months, and the utility can demonstrate the

performance of the rotor meets the manufacturer's guidelines.

f) A utility shall maintain the most recent five years of inspection records, as well as

the dates of all inspections for the most recent 10 years, except accuracy tests. A

utility shall maintain documents for each turbine meter's most recent accuracy

test, the prior accuracy test, and the dates of any other accuracy test that occurred

during the prior 10 years.


Section 501.230 Coriolis Meters

a) A utility shall install a Coriolis meter in accordance with the recommendations of

AGA Report #11, Measurement of Natural Gas by Coriolis Meter, XQ1301

(February 2013).

b) A utility shall verify the proper operation of an installed Coriolis meter at least

every 12 months by verifying that the meter meets the manufacturer's tolerances

using, at a minimum, all of the following inspection requirements:

1) Meter zero flow check;

2) Meter sensor check; and

3) Meter transmitter check.


17



c) A utility shall calibrate a Coriolis meter at least every 120 months. However, if

the utility can demonstrate that the meter meets the manufacturing tolerances set

forth in Section 501.220(b)500.220(b) and the utility conducts an annual

inspection of the meter body to ensure that the meter body has not incurred

damage that would affect the meter's accuracy, the utility may forego the 120-

month calibration requirement.

d) When a utility removes a Coriolis meter from service, the utility shall verify the

meter's existing accuracy prior to altering the operation of the meter. This

verification replaces the requirements of Section 501.170(d)500.170(d) for

Coriolis meters.

e) A utility shall maintain the most recent five years of inspection records. A utility

shall also maintain documents for each Coriolis meter's most recent accuracy test,

the prior accuracy test, and the dates of any other accuracy test that occurred

during the prior 10 years.


Section 501.250 Sample Testing of Diaphragm Meters

a) A utility may, at its option and upon giving notice to the Commission, adopt

scientific sample procedures for new and in-service diaphragm meters.

b) A utility shall develop sample testing lots for new meters that consist of meters of

a single type and size that were manufactured under the same conditions and at

essentially the same time. All sample testing procedures shall be in accordance

with Inspection Level II of ANSI/ASQ Z1.4-2008.

c) A utility shall establish meter sample testing lots for in-service meters that consist

of meters of a similar type, size and year of installation or year of purchase. In the

ninth and every subsequent year thereafter that the meters are in service, a utility

shall test their accuracy in accordance with Inspection Level II of ANSI/ASQ

Z1.4-2008.

d) In order to comply with the accuracy limits of Section 501.170500.170, a utility's

sample testing plan for new meters shall provide an acceptable quality limit not to

exceed 1.0% in order to assure a process average of at least 99%.


17



e) A manufacturer shall test a new meter, and the resulting test record shall

accompany the meter to retirement. A utility shall use the manufacturer's test as

the initial test of the meter. However, if a utility tested the new meter prior to

placing it into service, then the utility shall use its test as the meter's initial test.

f) A utility's sample testing plan for meters in service shall provide an acceptable

quality limit of 6.5% in order to assure a process average of at least 93.5%. A

meter is deviant if the average of its check-rate and capacity-rate accuracy test

results in accuracy more than 3.0% fast or 3.0% slow. A utility must complete all

sample tests by the end of the calendar year in which the tests are due for

completion.

g) If a utility determines that a meter lot has failed sample testing, the utility shall

remove all remaining meters in the failed lot from service within 24 months after

completion of the current year's sampling.


Section 501.270 Commission Referee Tests

a) Subject to the provisions of subsection (b), a customer may not request a referee

test of a meter used to measure the customer's gas consumption if the utility that

provides service to the customer does not have the necessary testing equipment.

b) If a customer requests a referee test of the meter used to measure the customer's

gas consumption, but the utility's testing facility is located out of state, the utility

shall provide the option of having the meter tested at an in-state testing facility,

provided the alternative location is in good standing with the Commission and the

location is capable of testing the meter. A meter shop is in good standing if a

Commission representative has conducted a review of the facility for compliance

with the requirements of this Part within the last 40 months and the meter shop

has no outstanding non-compliance issues associated with its ability to accurately

measure meter accuracy. A Commission representative shall advise, upon request

of a utility, if a meter shop is in good standing.

c) A utility shall conduct a referee test of a meter within 45 days after receiving

notice from a Commission representative of a customer's request if the meter

testing facility that the utility uses to conduct the test is located in-state. The

utility shall conduct the meter test between 7 a.m. and 4 p.m. Monday through


17



Friday, excluding holidays, at a date and time agreed upon by the utility, the

customer and the Commission representative, unless the utility, the customer and

the Commission representative agree to a different day or time.

d) A utility shall conduct a referee test of a meter within 90 days after receiving

notice from a Commission representative of a customer's request if the meter

testing facility that the utility uses to conduct the test is located out of state and

the customer requesting the referee test selects the out-of-state location, unless the

customer agrees to a later time. The utility shall conduct the meter test between 7

a.m. and 4 p.m. Monday through Friday, excluding holidays, at a date and time

agreed upon by the utility, the customer and the Commission representative,

unless the utility, the customer and the Commission representative agree to a

different day or time.

e) Upon written application to the Commission by a customer and upon notice to a

utility by a Commission representative, a utility under the oversight of a

Commission representative shall conduct an accuracy test of a meter that was the

subject of the written request, provided the customer has not requested a meter

accuracy test under this Section or under Section 501.260500.260 in the 12

months prior to the request. A customer shall make a written request for a meter

test and pay a fee, as provided in this subsection, to the Commission. A utility

shall inform the customer or a Commission representative, upon request, of the

size and type of meter used to serve the customer. If the accuracy test indicates

that the meter over-registers by more than 2.0%, the utility shall refund the fee to

the customer.

SCHEDULE OF FEES

Rated capacities in cubic feet per hour Fee

Diaphragm meters up to 650 $40

Diaphragm meters from 651 to 1,500 $80

Diaphragm meters in excess of 1,500 $120

Rotary meters up to 1,500 $40

Rotary meters from 1,501 to 12,000 $80

Rotary meters from in excess of 12,000 $120

Turbine meter tested in utility shop at atmospheric

pressure

$120

Metering types not listed but tested in utility shop $120


17



f) If a customer is required to pay the costs of a meter test under Section

501.260500.260 because of the type or size of the meter, the customer must pay

the utility the same costs under this Section, in addition to the fee to the

Commission under subsection (e).

g) Upon notice of a referee test from a Commission representative, a utility shall not

disturb the meter that was the subject of the written referee test request in any

manner, unless a Commission representative or the customer provides

authorization. The utility shall document the authorization by recording the name

of the person giving the authorization and the date and time of the authorization.

The utility shall provide this authorization documentation to the Commission

representative at the time of the referee test.

h) When a utility removes a meter for purposes of a referee test, the utility or

Commission representative shall deliver the meter to the utility's meter testing

facility, and the utility shall secure the meter to prevent potential tampering or

disturbance from in-service conditions until the referee test begins.

i) A utility shall waive the 12-month waiting period identified in subsection (e) for

Commission referee tests if a customer makes one of the following

demonstrations:

1) A deviation in the customer's measured gas usage in excess of 10%

occurred following the utility's installation of a different meter on the

customer's service and the difference is not attributable to weather or the

customer's process changes; or

2) Relevant facts that point to potential accuracy problems with the meter.

j) If a utility removes a meter for testing but before the testing occurs is notified by

the customer that the customer plans to request a referee test of the meter, the

utility shall not test the meter and shall secure the meter to prevent potential

tampering or disturbance from in-service conditions until the referee test begins.

If, after 60 days from when the utility removed the meter for testing, the customer

has not filed a request with the Commission for a referee test, the utility shall send

a notice in writing to the customer informing it of the following:

1) The notice shall state that the customer has 30 days in which to complete

the request for the Commission referee test.


17



2) If the customer fails to make its request within the 30 days, the utility, at

its option, may conduct the required testing of the meter.

k) The utility is responsible for contacting the Commission to verify the status of the

customer's request for a referee test prior to testing the meter.


Section 501.280 Meter Tests Requested by Natural Gas Suppliers

a) Upon a natural gas supplier's request, provided that the utility or manufacturer has

not tested the meter in question within 12 months prior to the request, a utility

providing metering service shall test the meter in question within 45 days after

receiving the request, unless the natural gas supplier agrees to a later time. The

utility shall perform the meter test between 7 a.m. and 4 p.m. on Monday through

Friday, excluding holidays, unless the utility and the natural gas supplier agree to

a different day or time. The utility shall inform the customer of the natural gas

supplier's request and the date and time of the test at least five business days prior

to the agreed-upon test date. The utility shall perform the test in the presence of a

representative of the natural gas supplier, unless the natural gas supplier waives

the right to have a representative present. The utility shall allow the customer or

its representative to observe the meter test. The utility shall provide a written

summary of the results of the meter test to the natural gas supplier and the

customer within five business days.

b) If a utility or manufacturer has tested a meter within the last 12 months, the utility

is not obligated to retest the meter in response to the latest request. Instead, the

utility may offer the results of the last test in response to the latest request.

c) If a requested meter test will not interrupt a customer's gas service, a utility may

perform a meter test requested by a natural gas supplier at any time agreeable to

the utility and the natural gas supplier. If a requested meter test will interrupt the

customer's gas service, then a utility shall obtain permission from a customer to

interrupt the customer's service to perform a requested test.

d) A utility may require a natural gas supplier to pay up to $10,000 ($25,000 if

performed at a non-affiliated third-party location) for the actual costs of the meter

test. A utility performing a meter test at the request of a natural gas supplier shall


17



refund the natural gas supplier's payment if the meter test shows that the meter is

under-registering by more than 2.0%. A utility shall provide to a natural gas

supplier an itemized written statement of the cost of a requested meter test, obtain

the natural gas supplier's agreement to pay the stated cost, and receive payment

from the natural gas supplier for the requested meter test before taking any action

to remove the meter or begin the requested meter test.

e) A natural gas supplier may request a meter test only for a current customer or for

a prior customer if, at the time of the request, the supplier had provided gas

supply to that customer within the prior three months.

f) A natural gas supplier may request a Commission referee test of a meter under the

provisions of subsection (c) and Section 501.270500.270, and shall be responsible

for the fee prescribed by Section 501.270(e)500.270(e) and the actual cost, not to

exceed $10,000, of the test. The utility shall inform the customer of the natural

gas supplier's request and the date and time of the referee test at least five

business days prior to the agreed upon test date. The utility shall perform the

referee test in the presence of a representative of the natural gas supplier, unless

the natural gas supplier waives the right to have a representative present. The

utility shall allow the customer or its representative to observe the meter test. If

the meter over-registers by more than 2.0%, the utility shall refund all fees it

charged to the natural gas supplier and make any necessary meter data

adjustment.

g) A utility shall conduct a referee test of a meter within 45 days after receiving

notice from a Commission representative of a natural gas supplier's request if the

meter testing facility that the utility uses to conduct the test is located in-state,

unless the supplier agrees to a later time. The utility shall conduct the meter test

between 7 a.m. and 4 p.m. Monday through Friday, excluding holidays, unless the

utility, the third party supplier, and Commission representative agree to a different

day or time.

h) A utility shall conduct a referee test of a meter within 90 days after receiving

notice from a Commission representative of a natural gas supplier's request if the

meter testing facility that the utility uses to conduct the test is located out of state,

unless the supplier agrees to a later time. The utility shall conduct the meter test

between 7 a.m. and 4 p.m. Monday through Friday, excluding holidays, unless the

utility, the third party supplier, and Commission representative agree to a different

day or time.


17




SUBPART E: EXTENSION OF MAINS

Section 501.610 Extension of Distribution Mains in Rural Areas

a) Rural Customer

1) A utility shall consider a customer whose premises are not located in

urban territory, as described in Section 501.600500.600, as a rural

customer.

2) The provisions of this Section shall not apply to applicants for service

under tariffs allowing interruptions of service. A utility with service tariffs

that allow the utility to interrupt service to a customer shall file with the

Commission an extension provision or an agreement with the applicant

that shall govern main extensions for service under those tariffs.

b) Extension Provisions

1) If a utility determines that a main extension is necessary to provide firm

gas service for an applicant or group of applicants whose premises are

located in rural areas within which the utility operates, the utility, upon

written request for service by the applicants, shall make the necessary

main extension along a street, highway or other right-of-way to the nearest

point or points adjacent to the point of connection with the service piping

of such applicants, upon agreement by the applicant or group of applicants

to comply with the provisions of this Section.

A) A utility may file, in conjunction with its rate schedule, a main

extension provision that would provide the utility customer with

the choice of obtaining the extension under the provision or under

subsection (b)(1)(C). If a utility files a main extension provision

and the Commission permits it to become effective, the applicant

may, at his or her election, proceed either under the provision or

under subsection (b)(1)(C).


17



B) A utility may file a main extension provision that operates in place

of, and not as an alternative to, subsection (b)(1)(C), but in that

case the main extension provision shall not become effective

except after a showing that it is generally more favorable to

applicants than are the provisions of subsection (b)(1)(C) and, after

specific action by the Commission by order or otherwise,

permitting the provision to become effective. If the provision

becomes effective, it shall govern the making of extensions.

C) Deposits for Extensions

i) The utility may require the applicant or group of applicants

to deposit with the utility the estimated cost of the

extension determined in the manner designated in

subsection (c). Each subsequent customer to be connected

within a period of 10 years from the date of making the

original extension shall be required to deposit with the

utility an amount equal to the sum of the estimated cost of

the existing extension plus the estimated cost of any further

extension necessary to serve the customer, divided by the

number of depositors for the entire extension. The excess of

this deposit over the estimated cost of any further extension

necessary to serve the customer shall be divided equally by

the utility among the previous depositors for the extension

and shall be refunded to them in that amount. In no case

shall the amount of the refund to a customer exceed the

customer's deposit, nor shall the total of deposits for any

extension exceed the estimated cost of making the

extension.

ii) The foregoing provisions depend upon agreement by

applicants that deposits of applicants will be equal. If an

applicant or group of applicants requests a new extension to

an existing main that would increase present customers'

deposits, the utility shall consider the new extension as an

original extension and shall not require deposits from

existing customers for the requested new original

extension.


17



iii) If the point of connection with the service piping of an

applicant is so located that the applicant could be served by

extending a separate parallel main at less cost than the

amount of deposit that would be required from the

applicant for connection to the existing extension, a utility

will not require the applicant to deposit in excess of the

estimated cost of the separate main, and the applicant shall

not share in any refunds so long as the applicant's deposit

remains less than that of the other depositors on the existing

extension.

2) A utility, when reaching agreement with a group of applicants, shall

consider the group to be governed by the majority as applied to any

specific extension.

c) A utility shall provide the applicant with a free estimate of the cost of the

requested main extension along the expected route for the main extension

designated by the utility. A utility shall also provide a free estimate of the cost of

an alternative route if the applicant requests an alternative route and the utility

expects the cost for the alternative route to not exceed the cost from the expected

route by more than 50%.

d) A utility shall use, as the basis for determining the amount of a deposit, the

distance the applicant is from the nearest available distribution main and a route

that the utility would normally follow in making the extension and over which

right-of-way is available.

e) A utility may petition the Commission for an investigation and determination of

the reasonableness of any main extension if circumstances indicate that the

additional revenues generated as a result of the main extension would be so

meager as to make it unlikely to pay a fair compensation to the utility for its

investment, operation, maintenance and replacement of the extension, or that, for

other substantial reasons, the extension is unwarranted. If after a hearing the

Commission orders a utility to construct an extension that has been challenged on

any of these grounds, the applicant or group of applicants shall reimburse the

utility for the construction costs to the extent necessary to ensure that the utility

earns the Commission-authorized return from the required investment.



17

ILLINOIS GAMING BOARD


1) Heading of the Part: Riverboat Gambling



3000.245 Amendment

3000.1155 Amendment

4) Statutory Authority: Authorized by Section 5(c) of the Riverboat Gambling Act [230

ILCS 10/5 (c)]



7) Does this rulemaking contain an incorporation by reference? No

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

in the principal office and is available for public inspection.

9) Notice of Proposal published in the Illinois Register: 40 Ill. Reg. 12538; September 2,

2016


11) Differences between Proposal and Final Version: The final version deletes new language

contained in the proposed version requiring temporary identification badges and

permanent identification badges to conform to size specifications established by the

Board.


agreement letter issued by JCAR? Yes


14) Are there any rulemakings pending on this part? No

15) Summary and Purpose of Rulemaking: The rulemaking makes the following changes to

the Riverboat Gambling Part:


17



Modified badge requirements. The rulemaking amends Section 3000.245 (Occupational

Licenses) in relation to temporary and permanent badge requirements. It deletes

provisions that no longer conform to Board procedures relating to the issuance of

partially completed temporary and permanent identification badges, as well as the

lamination of temporary identification badges. It also eliminates the specific length and

width requirements for temporary and permanent badges. The size requirements in

Section 3000.245 no longer reflect the actual size of the computer-generated badges

issued by the Board.

Denials of licenses to occupational license applicants: In Section 3000.245, the

rulemaking substitutes correct terminology by providing that the Administrator may

"rescind" (instead of "withdraw") the badge of a temporary badge holder whose

application for an occupational license has been denied. It substitutes the correct term

"notice of denial" in place of the incorrect "recommendation of denial." It clarifies that

an applicant who has been issued a notice of denial has the right to request a hearing on

the denial under Section 3000.405 (Requests for Hearings).

Filing of exceptions: The rulemaking amends Section 3000.1155 (Transmittal of Record

and Recommendation to the Board) by allowing any party in a hearing under Subpart K

(Seizure and Disciplinary Hearings) to file exceptions to the recommendations of the

hearing officer. Exceptions may only be filed within 14 days after receipt of the

recommended decision. Exceptions shall specify each finding of fact and conclusion of

law to which exception is taken. There shall be no oral argument on exceptions. The

Board's review of the record before issuing a final order shall include a review of any

exceptions filed.

An earlier adopted rulemaking (40 Ill. Reg. 12776, effective August 19, 2016) authorized

the filing of exceptions by parties in hearings under Subpart D (Hearings on Notice of

Denial, Restriction of License, Placement on Board Exclusion List or Removal from

Board Exclusion List or Self-Exclusion List).

16) Information and Questions regarding these adopted rules may be addressed to:

Agostino Lorenzini

General Counsel

Illinois Gaming Board

160 North LaSalle Street

Chicago IL 60601


17



fax: 312/814-7253



17



TITLE 86: REVENUE

CHAPTER IV: ILLINOIS GAMING BOARD

PART 3000

RIVERBOAT GAMBLING

SUBPART A: GENERAL PROVISIONS

Section


3000.101 Invalidity

3000.102 Public Inquiries

3000.103 Organization of the Illinois Gaming Board

3000.104 Rulemaking Procedures

3000.105 Board Meetings

3000.110 Disciplinary Actions

3000.115 Records Retention

3000.120 Place to Submit Materials

3000.130 No Opinion or Approval of the Board

3000.140 Duty to Disclose Changes in Information

3000.141 Applicant/Licensee Disclosure of Agents

3000.150 Owner's and Supplier's Duty to Investigate

3000.155 Investigatory Proceedings

3000.160 Duty to Report Misconduct

3000.161 Communication with Other Agencies

3000.165 Participation in Games by Owners, Directors, Officers, Key Persons or Gaming

Employees

3000.170 Fair Market Value of Contracts

3000.180 Weapons on Riverboat

SUBPART B: LICENSES

Section

3000.200 Classification of Licenses

3000.210 Fees and Bonds

3000.220 Applications

3000.221 Other Required Forms

3000.222 Identification and Requirements of Key Persons

3000.223 Disclosure of Ownership and Control


17



3000.224 Economic Disassociation

3000.225 Business Entity and Personal Disclosure Filings

3000.230 Owner's Licenses

3000.231 Distributions

3000.232 Undue Economic Concentration

3000.234 Acquisition of Ownership Interest By Institutional Investors

3000.235 Transferability of Ownership Interest

3000.236 Owner's License Renewal

3000.237 Renewed Owner's Licenses, Term and Restrictions

3000.238 Appointment of Receiver for an Owner's License

3000.240 Supplier's Licenses

3000.241 Renewal of Supplier's License

3000.242 Amendment to Supplier's Product List

3000.243 Bankruptcy or Change in Ownership of Supplier

3000.244 Surrender of Supplier's License

3000.245 Occupational Licenses

3000.250 Transferability of Licenses

3000.260 Waiver of Requirements

3000.270 Certification and Registration of Electronic Gaming Devices

3000.271 Analysis of Questioned Electronic Gaming Devices

3000.272 Certification of Voucher Systems

3000.280 Registration of All Gaming Devices

3000.281 Transfer of Registration (Repealed)

3000.282 Seizure of Gaming Devices (Repealed)

3000.283 Analysis of Questioned Electronic Gaming Devices (Repealed)

3000.284 Disposal of Gaming Devices

3000.285 Certification and Registration of Voucher Validation Terminals

3000.286 Contracting Goals for Owners Licensees

SUBPART C: OWNER'S INTERNAL CONTROL SYSTEM

Section

3000.300 General Requirements – Internal Control System

3000.310 Approval of Internal Control System

3000.320 Minimum Standards for Internal Control Systems

3000.330 Review of Procedures (Repealed)

3000.340 Operating Procedures (Repealed)

3000.350 Modifications (Repealed)


17



SUBPART D: HEARINGS ON NOTICE OF DENIAL,

RESTRICTION OF LICENSE, PLACEMENT ON BOARD EXCLUSION LIST OR

REMOVAL FROM BOARD EXCLUSION LIST OR SELF-EXCLUSION LIST

Section

3000.400 Coverage of Subpart

3000.405 Requests for Hearings

3000.410 Appearances

3000.415 Discovery

3000.420 Motions for Summary Judgment

3000.424 Subpoena of Witnesses

3000.425 Proceedings

3000.430 Evidence

3000.431 Prohibition on Ex Parte Communication

3000.435 Sanctions and Penalties

3000.440 Transmittal of Record and Recommendation to the Board

3000.445 Status of Applicant for Licensure or Transfer Upon Filing Request for Hearing

SUBPART E: CRUISING

Section

3000.500 Riverboat Cruises

3000.510 Cancelled or Disrupted Cruises

SUBPART F: CONDUCT OF GAMING

Section

3000.600 Wagering Only with Electronic Credits, Approved Chips, Tokens and Electronic

Cards

3000.602 Disposition of Unauthorized Winnings

3000.605 Authorized Games

3000.606 Gaming Positions

3000.610 Publication of Rules and Payout Ratio for Live Gaming Devices

3000.614 Tournaments, Enhanced Payouts and Give-aways

3000.615 Payout Percentage for Electronic Gaming Devices

3000.616 Cashing-In

3000.620 Submission of Chips for Review and Approval

3000.625 Chip Specifications

3000.630 Primary, Secondary and Reserve Sets of Gaming Chips

3000.631 Tournament Chips


17



3000.635 Issuance and Use of Tokens for Gaming

3000.636 Distribution of Coupons for Complimentary Chips, Tokens, Vouchers, Cash and

Electronic Credits

3000.640 Exchange of Chips, Tokens, and Vouchers

3000.645 Receipt of Gaming Chips or Tokens from Manufacturer or Distributor

3000.650 Inventory of Chips

3000.655 Destruction of Chips, Tokens, and Vouchers

3000.660 Minimum Standards for Electronic Gaming Devices

3000.661 Minimum Standards for Voucher Systems

3000.665 Integrity of Electronic Gaming Devices

3000.666 Bill Validator Requirements

3000.667 Integrity of Voucher Systems

3000.670 Computer Monitoring Requirements of Electronic Gaming Devices

3000.671 Computer Monitoring Requirements of Voucher Systems

SUBPART G: EXCLUSION OF PERSONS

Section

3000.700 Organization of Subpart

3000.701 Duty to Exclude

3000.705 Voluntary Self-Exclusion Policy (Repealed)

3000.710 Distribution and Availability of Board Exclusion List

3000.720 Criteria for Exclusion or Ejection and Placement on the Board Exclusion List

3000.725 Duty of Licensees

3000.730 Procedure for Entry of Names

3000.740 Petition for Removal from the Board Exclusion List

3000.745 Voluntary Self-Exclusion Policy

3000.750 Establishment of a Self-Exclusion List

3000.751 Locations to Execute Self-Exclusion Forms

3000.755 Information Required for Placement on the Self-Exclusion List

3000.756 Stipulated Sanctions for Failure to Adhere to Voluntary Self-Exclusion

3000.760 Distribution and Availability of Confidential Self-Exclusion List

3000.770 Duties of Licensees

3000.780 Request for Removal from the IGB Self-Exclusion List

3000.782 Required Information, Recommendations, Forms and Interviews

3000.785 Appeal of a Notice of Denial of Removal

3000.786 Duties of Owner Licensees to Persons Removed from the Self-Exclusion List

3000.787 Placement on the Self-Exclusion List Following Removal

3000.790 Duties of the Board


17



SUBPART H: SURVEILLANCE AND SECURITY

Section

3000.800 Required Surveillance Equipment

3000.810 Riverboat and Board Surveillance Room Requirements

3000.820 Segregated Telephone Communication

3000.830 Surveillance Logs

3000.840 Storage and Retrieval

3000.850 Dock Site Board Facility

3000.860 Maintenance and Testing

SUBPART I: LIQUOR LICENSES

Section

3000.900 Liquor Control Commission

3000.910 Liquor Licenses

3000.920 Disciplinary Action

3000.930 Hours of Sale

SUBPART J: OWNERSHIP AND ACCOUNTING RECORDS AND PROCEDURES

Section

3000.1000 Ownership Records

3000.1010 Accounting Records

3000.1020 Standard Financial and Statistical Records

3000.1030 Annual and Special Audits and Other Reporting Requirements

3000.1040 Accounting Controls Within the Cashier's Cage

3000.1050 Procedures for Exchange of Checks Submitted by Gaming Patrons and Granting

Credit

3000.1060 Handling of Cash at Gaming Tables

3000.1070 Tips or Gratuities

3000.1071 Admission Tax and Wagering Tax

3000.1072 Cash Reserve Requirements

SUBPART K: SEIZURE AND DISCIPLINARY HEARINGS

Section

3000.1100 Coverage of Subpart


17



3000.1105 Duty to Maintain Suitability

3000.1110 Board Action Against License or Licensee

3000.1115 Complaint

3000.1120 Appearances

3000.1125 Answer

3000.1126 Appointment of Hearing Officer

3000.1130 Discovery

3000.1135 Motions for Summary Disposition

3000.1139 Subpoena of Witnesses

3000.1140 Proceedings

3000.1145 Evidence

3000.1146 Prohibition of Ex Parte Communication

3000.1150 Sanctions and Penalties

3000.1155 Transmittal of Record and Recommendation to the Board

AUTHORITY: Implementing and authorized by the Riverboat Gambling Act [230 ILCS 10].

SOURCE: Emergency rule adopted at 15 Ill. Reg. 11252, effective August 5, 1991, for a

maximum of 150 days; adopted at 15 Ill. Reg. 18263, effective December 10, 1991; amended at

16 Ill. Reg. 13310, effective August 17, 1992; amended at 17 Ill. Reg. 11510, effective July 9,

1993; amended at 20 Ill. Reg. 5814, effective April 9, 1996; amended at 20 Ill. Reg. 6280,

effective April 22, 1996; emergency amendment at 20 Ill. Reg. 8051, effective June 3, 1996, for

a maximum of 150 days; amended at 20 Ill. Reg. 14765, effective October 31, 1996; amended at

21 Ill. Reg. 4642, effective April 1, 1997; emergency amendment at 21 Ill. Reg. 14566, effective

October 22, 1997, for a maximum of 150 days; emergency amendment at 22 Ill. Reg. 978,

effective December 29, 1997, for a maximum of 150 days; amended at 22 Ill. Reg. 4390,

effective February 20, 1998; amended at 22 Ill. Reg. 10449, effective May 27, 1998; amended at

22 Ill. Reg. 17324, effective September 21, 1998; amended at 22 Ill. Reg. 19541, effective

October 23, 1998; emergency amendment at 23 Ill. Reg. 8191, effective July 2, 1999 for a

maximum of 150 days; emergency expired November 28, 1999; amended at 23 Ill. Reg. 8996,

effective August 2, 1999; amended at 24 Ill. Reg. 1037, effective January 10, 2000; amended at

25 Ill. Reg. 94, effective January 8, 2001; amended at 25 Ill. Reg. 13292, effective October 5,

2001; proposed amended at 26 Ill. Reg. 9307, effective June 14, 2002; emergency amendment

adopted at 26 Ill. Reg. 10984, effective July 1, 2002, for a maximum of 150 days; adopted at 26

Ill. Reg. 15296, effective October 11, 2002; amended at 26 Ill. Reg. 17408, effective November

22, 2002; emergency amendment at 27 Ill. Reg. 10503, effective June 30, 2003, for a maximum

of 150 days; amended at 27 Ill. Reg. 15793, effective September 25, 2003; amended at 27 Ill.

Reg. 18595, effective November 25, 2003; amended at 28 Ill. Reg. 12824, effective August 31,

2004; amended at 31 Ill. Reg. 8098, effective June 14, 2007; amended at 32 Ill. Reg. 2967,


17



effective February 15, 2008; amended at 32 Ill. Reg. 3275, effective February 19, 2008; amended

at 32 Ill. Reg. 7357, effective April 28, 2008; amended at 32 Ill. Reg. 8592, effective May 29,


effective July 22, 2008; amended at 32 Ill. Reg. 17418, effective October 23, 2008; amended at

32 Ill. Reg. 17759, effective October 28, 2008; amended at 32 Ill. Reg. 17946, effective

November 5, 2008; amended at 34 Ill. Reg. 3285, effective February 26, 2010; amended at 34 Ill.


amended at 34 Ill. Reg. 5200, effective March 24, 2010; amended at 34 Ill. Reg. 15386, effective

September 23, 2010; amended at 36 Ill. Reg. 13199, effective July 31, 2012; amended at 37 Ill.

Reg. 12050, effective July 9, 2013; amended at 37 Ill. Reg. 18255, effective November 1, 2013;

amended at 38 Ill. Reg. 2808, effective January 8, 2014; amended at 38 Ill. Reg. 21471, effective

October 29, 2014; amended at 39 Ill. Reg. 4362, effective March 10, 2015; amended at 39 Ill.

Reg. 12312, effective August 18, 2015; amended at 40 Ill. Reg. 12776, effective August 19,

2016; amended at 41 Ill. Reg. 380, effective December 29, 2016.

SUBPART B: LICENSES

Section 3000.245 Occupational Licenses

a) Overview of Licensing Procedures. Applications for Occupational Licenses shall

be subject to the following procedures prior to licensing:

1) Application;

2) Issuance of a temporary identification badge;

3) Investigation of the applicant;

4) Action of the Board; and

5) Different or additional licensing procedures as required of the applicant by

the Board.

b) Temporary Identification Badge Requirements

1) Each occupational applicant shall receive from his employer a partially

completed temporary identification badge. The applicant shall deliver

such badge to a Board agent at applicant's employer's dock site facility for

processing and completion.


17



12) The temporary identification badge shall:

A) Be a white 3½" by 2" card bearing the name and logo of the

Riverboat Gaming Operation;

B) Provide space for a 1" by 1¼" photograph with a minimum size of

1" by 1¼";

C) Display applicant's first name and job title;

D) Provide a space for a 9-digit number;

E) Provide a space for the Administrator's signature;

F) Provide spaces for the dates of issuance and expiration of such

temporary badge; and

G) Provide on the reverse side a line for the employee's last name,

signature, social security number and date of birth.

23) TheUpon presentation of the partially completed badge to a Board agent at

the dock facility, the applicant shall be photographed and fingerprinted by

the agent who shall complete and laminate the badge.

34) A temporary identification badge will not be issued if the Administrator or

his designated agent has reason to believe the applicant is the subject of a

pending investigation or disciplinary action, or is ineligible for licensing

pursuant to Section 9(a)(1) or 9(a)(2) of the Act. If the temporary

identification badge is not issued, the applicant is not permitted to work

for the Riverboat Gaming Operation until and unless the Board issues a

license to the applicant.

45) Temporary identification badges are valid for up to one year from the date

of the application unless extended by the Administrator. A temporary

identification badge is not transferable and upon resignation or termination

of employment, must be returned by the Occupational License applicant to

the holder of an Owner's License or to the Board. If returned to the holder

of an Owner's License, the holder must then return the badge to the Board.


17



56) RecissionWithdrawal of Temporary Identification Badge.

A) The Administrator, upon written notification to the applicant and

the holder of the Owner's License, shall rescindmay withdraw an

applicant's temporary identification badge upon the issuance of a

notice of denialdetermining a recommendation of denial to the

Board.

B) Following rescission ofIf an applicant's temporary identification

badge is withdrawn, the applicant shall not beis not permitted to

work for the Riverboat Gaming Operation until and unless the

Board issues a license to the applicant.

C) Following rescission ofIf an applicant's temporary identification

badge is withdrawn, the applicant remains entitled to request a

hearing on the license denial in accordance with Section

3000.405applicant's application for licensing will proceed to Board

action unless it is withdrawn by the applicant prior to Board action

on licensure.

c) Investigation of the Applicant and Application. An applicant is responsible for

compliance with all requests for information, documents, or other materials

relating to the applicant and his application.

d) Action of the Board

1) In determining whether to grant an occupationalsuch a license, the Board

shall consider the character, associations and reputation of the applicant

and the qualifications of the applicant to perform the duties of the position

to be licensed.

2) If the Board finds the applicant suitable for licensing, it shall direct the

Administrator to issue the applicant a license.

3) If the Board finds the applicant not suitable for licensing, it shall issue the

applicant a Notice of Denial by certified mail or personal delivery.

e) Request for Hearing


17



1) An applicant who is served with a Notice of Denial may request a hearing

in accordance with Section 3000.405.

2) If a hearing is not requested, the Notice of Denial becomes the final order

of the Board denying the applicant's license application.

f) Reapplication for Denied License. If an applicant is denied a license, the

applicant may not reapply for a license within one year from the date on which

the final order of denial was voted upon by the Board, without leave of the Board.

g) Permanent Identification Badge Requirements

1) Upon notification of a finding of suitability by the Board and issuance of

an Occupational License to applicant, applicant shall receive from his

employer a partially completed permanent identification badge. Applicant

shall deliver such badge to a Board agent at applicant's dock site facility

for completion and processing.

12) The permanent identification badge shall:

A) Be of a color selected by the Riverboat Gaming Operation for use

on all permanent identification badges utilized by its occupational

licensees;

B) Be a 3½" by 2" card bearing the name and logo of the Riverboat

Gaming Operation;

C) Provide space for a 1" by 1¼" photograph with a minimum size of

1" by 1¼";

D) Provide a space for a 9-digit number;

E) Display the employee's first name and job title;

F) Provide a space for the Administrator's signature;

G) Provide a space for the dates of issuance and expiration of

applicant's Occupational License;


17



H) Provide on the reverse side of the card a line for the employee's

last name, signature, social security number and date of birth.

23) Permanent identification badges are not transferable and upon resignation

or termination of employment must be returned by the occupational

licensee to the holder of an Owner's License or to the Board. If returned

to the holder of an Owner's License, the holder must then return the badge

to the Board.

h) Display of Identification Badges. Identification badges as required by subsections

(b) and (g) of this Section shall be worn by all employees during work hours,

including those persons employed on the dock site. Identification badges shall be

clearly displayed.

i) A fee of $10.00 shall be paid to the Board for any necessary replacement of

identification badges.


SUBPART K: SEIZURE AND DISCIPLINARY HEARINGS

Section 3000.1155 Transmittal of Record and Recommendation to the Board

a) The record shall consist of the following:

1) The Complaint, the Answer and all motions and rulings thereon;

2) All evidence received;

3) A statement of matters officially noticed;

4) Offers of proof, objections and rulings thereon;

5) The recommendations and any findings of fact and conclusions of law

made by the hearing officer.

b) Oral proceedings or any part thereof involving contested issues shall be recorded

stenographically or by such other means as to adequately insure the preservation


17



of such testimony or oral proceedings and shall be transcribed on request of any

party. Said transcript shall be paid for by the requesting party.

c) Upon conclusion of the hearing, the hearing officer shall issue to the Board and

the licensee written findings of fact and conclusions of law and his

recommendation as to seizure or disciplinary action. Findings of fact shall be

based exclusively on the evidence and on matters officially noticed.

d) Any party to the hearing may file exceptions to the recommendations of the

hearing officer with the Board no later than 14 days after receipt of the

recommended decision. Exceptions shall specify each finding of fact and

conclusion of law to which exception is taken. There shall be no oral argument

on exceptions.

ed) Final Board Order

1) The Board shall review the entire record, including any exceptions filed,

and shall render a written order including the bases for its decision.

2) Copies of the final Board order shall be served on a licensee by personal

delivery, certified mail or overnight express mail.

3) A final Board order shall become effective upon personal delivery to a

party or upon posting by certified mail.



17

DEPARTMENT OF HUMAN SERVICES


1) Heading of the Part: Temporary Assistance for Needy Families



112.78 Amendment

112.110 Amendment

4) Statutory Authority: Implementing Article IV and authorized by Section 12-13 of the

Illinois Public Aid Code [305 ILCS 5/Art. IV and 12-13], PA 99-746 and PA 99-899

5) Effective Date of Rules: January 1, 2017



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

Agency's principal office and is available for public inspection.

9) Notice of Proposal published in the Illinois Register: 40 Ill. Reg. 14311; October 21,

2016


11) Differences between Proposal and Final Version: No substantive changes were made to

the text of the proposed rulemaking.

12) Have all changes agreed upon by the Agency and JCAR been made as indicated in the

agreements issued by JCAR? Yes



15) Summary and Purpose of Rulemaking: This rulemaking revises core activity

requirements for TANF adult clients and increases the child support disregard.

Revise Core Activity Requirements for TANF Adult Clients


17



Currently, a minor parent age 19 or under who has not completed secondary school or

received his or her high school equivalency certificate is required to attend secondary

school or a high school equivalency program. The client must make satisfactory progress

as defined by a passing grade. Grades must be reported upon completion of the academic

term or twice a year if the program is continuous for 12 months. If it is determined that

secondary school is inappropriate or not the best option for an 18 or 19 year old parent,

the 18 or 19 year old parent may be assigned to work activities or training.

As a result of PA 99-746, adults without a high school degree will now be allowed to

attend high school or participate in a high school equivalency program and have it count

towards their core work activity requirement. DHS caseworkers will now be able to

place TANF adult clients in need of a high school degree or a high school equivalency

certificate in a program that will be most helpful to the client. This requirement change is

expected to have a positive impact on TANF adult clients because clients with a high

school equivalency certificate will likely achieve employment earlier and earn a higher

rate of pay than persons without a high school equivalency certificate. Obtaining a high

school equivalency certificate will allow needy families to achieve self-sufficiency in a

more efficient manner.

Increase Child Support Disregard

Currently, a child support payment made to a TANF customer by the Department is

exempted for the first $50 or any lesser amount collected in a month when a

determination of eligibility and level of assistance is made. As a result of PA 99-899,

effective January 1, 2017, the first $100 of child support collected on behalf of a family

in a month for one child and the first $200 of child support collected on behalf of a family

in a month for two or more children will be exempted and passed through to the family

and disregarded in determining the amount of the TANF assistance grant provided to the

family. Any amount of child support that is disregarded in determining the amount of the

TANF assistance grant will also be disregarded in determining eligibility for TANF cash

assistance.

As a result of this rulemaking, TANF families may have an increase in their benefit

amount due to the higher disregard of their child support income, when the calculation of

their benefit amount is made. In addition, clients that previously may not have been

eligible before may now qualify for TANF.

16) Information and questions regarding these adopted rules shall be directed to:

Tracie Drew, Chief


17



Bureau of Administrative Rules and Procedures

Department of Human Services

100 South Grand Avenue East

Harris Building, 3rd Floor


217/785-9772

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


17



TITLE 89: SOCIAL SERVICES

CHAPTER IV: DEPARTMENT OF HUMAN SERVICES

SUBCHAPTER b: ASSISTANCE PROGRAMS

PART 112

TEMPORARY ASSISTANCE FOR NEEDY FAMILIES

SUBPART A: GENERAL PROVISIONS

Section

112.1 Description of the Assistance Program and Time Limit

112.2 Time Limit on Receipt of Benefits for Clients Enrolled in Post-Secondary

Education

112.3 Receipt of Cash Benefits Beyond the 60 Month Lifetime Limit

112.5 Incorporation by Reference

112.6 The Family Violence Option

SUBPART B: NON-FINANCIAL FACTORS OF ELIGIBILITY

Section

112.8 Caretaker Relative

112.9 Client Cooperation

112.10 Citizenship

112.20 Residence

112.30 Age

112.40 Relationship

112.50 Living Arrangement

112.52 Social Security Numbers

112.54 Assignment of Medical Support Rights

112.55 Electronic Benefits Transfer (EBT) Restrictions

112.60 Basis of Eligibility

112.61 Death of a Parent (Repealed)

112.62 Incapacity of a Parent (Repealed)

112.63 Continued Absence of a Parent (Repealed)

112.64 Unemployment of the Parent (Repealed)

112.65 Responsibility and Services Plan

112.66 Alcohol and Substance Abuse Treatment

112.67 Restriction in Payment to Households Headed by a Minor Parent

112.68 School Attendance Initiative


17



112.69 Felons and Violators of Parole or Probation

SUBPART C: TANF EMPLOYMENT AND WORK ACTIVITY REQUIREMENTS

Section

112.70 Employment and Work Activity Requirements

112.71 Individuals Exempt from TANF Employment and Work Activity Requirements

112.72 Participation/Cooperation Requirements

112.73 Adolescent Parent Program (Repealed)

112.74 Responsibility and Services Plan

112.75 Teen Parent Personal Responsibility Plan (Repealed)

112.76 TANF Orientation

112.77 Reconciliation and Fair Hearings

112.78 TANF Employment and Work Activities

112.79 Sanctions

112.80 Good Cause for Failure to Comply with TANF Participation Requirements

112.81 Responsible Relative Eligibility for JOBS (Repealed)

112.82 Supportive Services

112.83 Teen Parent Services

112.84 Employment Retention and Advancement Project

112.85 Four Year College/Vocational Training Demonstration Project (Repealed)

SUBPART E: PROJECT ADVANCE

Section

112.86 Project Advance (Repealed)

112.87 Project Advance Experimental and Control Groups (Repealed)

112.88 Project Advance Participation Requirements of Experimental Group Members

and Adjudicated Fathers (Repealed)

112.89 Project Advance Cooperation Requirements of Experimental Group Members and

Adjudicated Fathers (Repealed)

112.90 Project Advance Sanctions (Repealed)

112.91 Good Cause for Failure to Comply with Project Advance (Repealed)

112.93 Individuals Exempt From Project Advance (Repealed)

112.95 Project Advance Supportive Services (Repealed)

SUBPART F: EXCHANGE PROGRAM

Section


17



112.98 Exchange Program (Repealed)

SUBPART G: FINANCIAL FACTORS OF ELIGIBILITY

Section

112.100 Unearned Income

112.101 Unearned Income of Parent

112.105 Budgeting Unearned Income

112.106 Budgeting Unearned Income of Applicants

112.107 Initial Receipt of Unearned Income

112.108 Termination of Unearned Income

112.110 Exempt Unearned Income

112.115 Education Benefits

112.120 Incentive Allowances

112.125 Unearned Income In-Kind

112.126 Earmarked Income

112.127 Lump-Sum Payments

112.128 Protected Income (Repealed)

112.130 Earned Income

112.131 Earned Income Tax Credit

112.132 Budgeting Earned Income

112.133 Budgeting Earned Income of Employed Applicants

112.134 Initial Employment

112.135 Budgeting Earned Income For Contractual Employees

112.136 Budgeting Earned Income For Non-contractual School Employees

112.137 Termination of Employment

112.138 Transitional Payments (Repealed)

112.140 Exempt Earned Income

112.141 Earned Income Exemption

112.142 Exclusion from Earned Income Exemption

112.143 Recognized Employment Expenses

112.144 Income from Work-Study and Training Programs

112.145 Earned Income From Self-Employment

112.146 Earned Income From Roomer and Boarder

112.147 Income From Rental Property

112.148 Payments from the Illinois Department of Children and Family Services

112.149 Earned Income In-Kind

112.150 Assets

112.151 Exempt Assets (Repealed)


17



112.152 Asset Disregards (Repealed)

112.153 Deferral of Consideration of Assets (Repealed)

112.154 Property Transfers (Repealed)

112.155 Income Limit

112.156 Assets for Independence Program

SUBPART H: PAYMENT AMOUNTS

Section

112.250 Grant Levels

112.251 Payment Levels

112.252 Payment Levels in Group I Counties

112.253 Payment Levels in Group II Counties

112.254 Payment Levels in Group III Counties

112.255 Limitation on Amount of TANF Assistance to Recipients from Other States

(Repealed)

SUBPART I: OTHER PROVISIONS

Section

112.300 Persons Who May Be Included in the Assistance Unit

112.301 Presumptive Eligibility

112.302 Reporting Requirements for Clients with Earnings

112.303 Budgeting

112.304 Budgeting Schedule

112.305 Strikers

112.306 Foster Care Program

112.307 Responsibility of Sponsors of Non-Citizens Entering the Country Prior to 8/22/96

112.308 Responsibility of Sponsors of Non-Citizens Entering the Country On or After

8/22/96

112.309 Institutional Status

112.310 Child Care for Representative Payees

112.315 Young Parents Program (Renumbered)

112.320 Redetermination of Eligibility

112.330 Extension of Medical Assistance Due to Increased Income from Employment

112.331 Four Month Extension of Medical Assistance Due to Child Support Collections

112.332 Extension of Medical Assistance Due to Loss of Earned Income Disregard

(Repealed)

112.340 New Start Payments to Individuals Released from Department of Corrections


17



Facilities (Repealed)

SUBPART J: CHILD CARE

Section

112.350 Child Care (Repealed)

112.352 Child Care Eligibility (Repealed)

112.354 Qualified Provider (Repealed)

112.356 Notification of Available Services (Repealed)

112.358 Participant Rights and Responsibilities (Repealed)

112.362 Additional Service to Secure or Maintain Child Care Arrangements (Repealed)

112.364 Rates of Payment for Child Care (Repealed)

112.366 Method of Providing Child Care (Repealed)

112.370 Non-JOBS Education and Training Program (Repealed)

SUBPART K: TRANSITIONAL CHILD CARE

Section

112.400 Transitional Child Care Eligibility (Repealed)

112.404 Duration of Eligibility for Transitional Child Care (Repealed)

112.406 Loss of Eligibility for Transitional Child Care (Repealed)

112.408 Qualified Child Care Providers (Repealed)

112.410 Notification of Available Services (Repealed)

112.412 Participant Rights and Responsibilities (Repealed)

112.414 Child Care Overpayments and Recoveries (Repealed)

112.416 Fees for Service for Transitional Child Care (Repealed)

112.418 Rates of Payment for Transitional Child Care (Repealed)

AUTHORITY: Implementing Article IV and authorized by Section 12-13 of the Illinois Public

Aid Code [305 ILCS 5/Art. IV and 12-13].

SOURCE: Filed effective December 30, 1977; peremptory amendment at 2 Ill. Reg. 17, p. 117,

effective February 1, 1978; amended at 2 Ill. Reg. 31, p. 134, effective August 5, 1978;

emergency amendment at 2 Ill. Reg. 37, p. 4, effective August 30, 1978, for a maximum of 150

days; peremptory amendment at 2 Ill. Reg. 46, p. 44, effective November 1, 1978; peremptory

amendment at 2 Ill. Reg. 46, p. 56, effective November 1, 1978; emergency amendment at 3 Ill.

Reg. 16, p. 41, effective April 9, 1979, for a maximum of 150 days; emergency amendment at 3

Ill. Reg. 28, p. 182, effective July 1, 1979, for a maximum of 150 days; amended at 3 Ill. Reg.

33, p. 399, effective August 18, 1979; amendment at 3 Ill. Reg. 33, p. 415, effective August 18,


17



1979; amended at 3 Ill. Reg. 38, p. 243, effective September 21, 1979; peremptory amendment at

3 Ill. Reg. 38, p. 321, effective September 7, 1979; amended at 3 Ill. Reg. 40, p. 140, effective

October 6, 1979; amended at 3 Ill. Reg. 46, p. 36, effective November 2, 1979; amended at 3 Ill.

Reg. 47, p. 96, effective November 13, 1979; amended at 3 Ill. Reg. 48, p. 1, effective November

15, 1979; peremptory amendment at 4 Ill. Reg. 9, p. 259, effective February 22, 1980; amended

at 4 Ill. Reg. 10, p. 258, effective February 25, 1980; amended at 4 Ill. Reg. 12, p. 551, effective

March 10, 1980; amended at 4 Ill. Reg. 27, p. 387, effective June 24, 1980; emergency

amendment at 4 Ill. Reg. 29, p. 294, effective July 8, 1980, for a maximum of 150 days;

amended at 4 Ill. Reg. 37, p. 797, effective September 2, 1980; amended at 4 Ill. Reg. 37, p. 800,

effective September 2, 1980; amended at 4 Ill. Reg. 45, p. 134, effective October 27, 1980;


January 26, 1981; peremptory amendment at 5 Ill. Reg. 5722, effective June 1, 1981; amended at

5 Ill. Reg. 7071, effective June 23, 1981; amended at 5 Ill. Reg. 7104, effective June 23, 1981;

amended at 5 Ill. Reg. 8041, effective July 27, 1981; amended at 5 Ill. Reg. 8052, effective July

24, 1981; peremptory amendment at 5 Ill. Reg. 8106, effective August 1, 1981; peremptory

amendment at 5 Ill. Reg. 10062, effective October 1, 1981; peremptory amendment at 5 Ill. Reg.

10079, effective October 1, 1981; peremptory amendment at 5 Ill. Reg. 10095, effective October

1, 1981; peremptory amendment at 5 Ill. Reg. 10113, effective October 1, 1981; peremptory

amendment at 5 Ill. Reg. 10124, effective October 1, 1981; peremptory amendment at 5 Ill. Reg.

10131, effective October 1, 1981; amended at 5 Ill. Reg. 10730, effective October 1, 1981;

amended at 5 Ill. Reg. 10733, effective October 1, 1981; amended at 5 Ill. Reg. 10760, effective

October 1, 1981; amended at 5 Ill. Reg. 10767, effective October 1, 1981; peremptory

amendment at 5 Ill. Reg. 11647, effective October 16, 1981; peremptory amendment at 6 Ill.

Reg. 611, effective January 1, 1982; amended at 6 Ill. Reg. 1216, effective January 14, 1982;

emergency amendment at 6 Ill. Reg. 2447, effective March 1, 1982, for a maximum of 150 days;

peremptory amendment at 6 Ill. Reg. 2452, effective February 11, 1982; peremptory amendment

at 6 Ill. Reg. 6475, effective May 18, 1982; peremptory amendment at 6 Ill. Reg. 6912, effective

May 20, 1982; emergency amendment at 6 Ill. Reg. 7299, effective June 2, 1982, for a maximum

of 150 days; amended at 6 Ill. Reg. 8115, effective July 1, 1982; amended at 6 Ill. Reg. 8142,

effective July 1, 1982; amended at 6 Ill. Reg. 8159, effective July 1, 1982; amended at 6 Ill. Reg.

10970, effective August 26, 1982; amended at 6 Ill. Reg. 11921, effective September 21, 1982;


October 1, 1982; amended at 6 Ill. Reg. 13754, effective November 1, 1982; rules repealed, new

rules adopted and codified at 7 Ill. Reg. 907, effective January 11, 1983; rules repealed and new

rules adopted and codified at 7 Ill. Reg. 2720, effective February 28, 1983; amended (by adding

Sections being codified with no substantive change) at 7 Ill. Reg. 5195; amended at 7 Ill. Reg.

11284, effective August 26, 1983; amended at 7 Ill. Reg. 13920, effective October 7, 1983;

amended at 7 Ill. Reg. 15690, effective November 9, 1983; amended (by adding Sections being

codified with no substantive change) at 7 Ill. Reg. 16105; amended at 7 Ill. Reg. 17344, effective


17



December 21, 1983; amended at 8 Ill. Reg. 213, effective December 27, 1983; emergency

amendment at 8 Ill. Reg. 569, effective January 1, 1984, for a maximum of 150 days; amended at

8 Ill. Reg. 4176, effective March 19, 1984; amended at 8 Ill. Reg. 5207, effective April 9, 1984;

amended at 8 Ill. Reg. 7226, effective May 16, 1984; amended at 8 Ill. Reg. 11391, effective

June 27, 1984; amended at 8 Ill. Reg. 12333, effective June 29, 1984; amended (by adding

Sections being codified with no substantive change) at 8 Ill. Reg. 17894; peremptory amendment

at 8 Ill. Reg. 18127, effective October 1, 1984; peremptory amendment at 8 Ill. Reg. 19889,

effective October 1, 1984; amended at 8 Ill. Reg. 19983, effective October 3, 1984; emergency

amendment at 8 Ill. Reg. 21666, effective October 19, 1984, for a maximum of 150 days;


December 19, 1984; amended at 9 Ill. Reg. 282, effective January 1, 1985; amended at 9 Ill. Reg.

4062, effective March 15, 1985; amended at 9 Ill. Reg. 8155, effective May 17, 1985; emergency

amendment at 9 Ill. Reg. 10094, effective June 19, 1985, for a maximum of 150 days; amended

at 9 Ill. Reg. 11317, effective July 5, 1985; amended at 9 Ill. Reg. 12795, effective August 9,

1985; amended at 9 Ill. Reg. 15887, effective October 4, 1985; amended at 9 Ill. Reg. 16277,

effective October 11, 1985; amended at 9 Ill. Reg. 17827, effective November 18, 1985;


days; amended at 10 Ill. Reg. 1172, effective January 10, 1986; amended at 10 Ill. Reg. 3641,

effective January 30, 1986; amended at 10 Ill. Reg. 4885, effective March 7, 1986; amended at

10 Ill. Reg. 8118, effective May 1, 1986; amended at 10 Ill. Reg. 10628, effective June 1, 1986;

amended at 10 Ill. Reg. 11017, effective June 6, 1986; Sections 112.78 through 112.86 and

112.88 recodified to 89 Ill. Adm. Code 160 at 10 Ill. Reg. 11928; emergency amendment at 10

Ill. Reg. 12107, effective July 1, 1986, for a maximum of 150 days; amended at 10 Ill. Reg.

12650, effective July 14, 1986; amended at 10 Ill. Reg. 14681, effective August 29, 1986;

amended at 10 Ill. Reg. 15101, effective September 5, 1986; amended at 10 Ill. Reg. 15621,

effective September 19, 1986; amended at 10 Ill. Reg. 21860, effective December 12, 1986;


January 30, 1987; amended at 11 Ill. Reg. 4682, effective March 6, 1987; amended at 11 Ill. Reg.

5223, effective March 11, 1987; amended at 11 Ill. Reg. 6228, effective March 20, 1987;


November 1, 1987; emergency amendment at 11 Ill. Reg. 12432, effective July 10, 1987, for a

maximum of 150 days; amended at 11 Ill. Reg. 12908, effective July 30, 1987; emergency



effective August 26, 1987; amended at 11 Ill. Reg. 18679, effective November 1, 1987;

emergency amendment at 11 Ill. Reg. 18781, effective November 1, 1987, for a maximum of 150

days; amended at 11 Ill. Reg. 20114, effective December 4, 1987; Sections 112.90 and 112.95

recodified to Sections 112.52 and 112.54 at 11 Ill. Reg. 20610; amended at 11 Ill. Reg. 20889,

effective December 14, 1987; amended at 12 Ill. Reg. 844, effective January 1, 1988; emergency


17



amendment at 12 Ill. Reg. 1929, effective January 1, 1988, for a maximum of 150 days; amended

at 12 Ill. Reg. 2126, effective January 12, 1988; SUBPARTS C, D and E recodified to

SUBPARTS G, H and I at 12 Ill. Reg. 2136; amended at 12 Ill. Reg. 3487, effective January 22,

1988; amended at 12 Ill. Reg. 6159, effective March 18, 1988; amended at 12 Ill. Reg. 6694,

effective March 22, 1988; amended at 12 Ill. Reg. 7336, effective May 1, 1988; amended at 12

Ill. Reg. 7673, effective April 20, 1988; amended at 12 Ill. Reg. 9032, effective May 20, 1988;


August 30, 1988; amended at 12 Ill. Reg. 14669, effective September 16, 1988; amended at 13

Ill. Reg. 70, effective January 1, 1989; amended at 13 Ill. Reg. 6017, effective April 14, 1989;


October 6, 1989; emergency amendment at 13 Ill. Reg. 16142, effective October 2, 1989, for a

maximum of 150 days; emergency expired March 1, 1990; amended at 14 Ill. Reg. 705, effective

January 1, 1990; amended at 14 Ill. Reg. 3170, effective February 13, 1990; amended at 14 Ill.

Reg. 3575, effective February 23, 1990; amended at 14 Ill. Reg. 6306, effective April 16, 1990;


August 10, 1990; amended at 14 Ill. Reg. 14140, effective August 17, 1990; amended at 14 Ill.

Reg. 16937, effective September 30, 1990; emergency amendment at 15 Ill. Reg. 338, effective

January 1, 1991, for a maximum of 150 days; emergency amendment at 15 Ill. Reg. 2862,

effective February 4, 1991, for a maximum of 150 days; emergency expired July 4, 1991;

amended at 15 Ill. Reg. 5275, effective April 1, 1991; amended at 15 Ill. Reg. 5684, effective

April 10, 1991; amended at 15 Ill. Reg. 11127, effective July 19, 1991; amended at 15 Ill. Reg.

11447, effective July 25, 1991; amended at 15 Ill. Reg. 14227, effective September 30, 1991;


effective June 15, 1992; amended at 16 Ill. Reg. 11550, effective July 15, 1992; emergency

amendment at 16 Ill. Reg. 11652, effective July 1, 1992, for a maximum of 150 days; emergency

amendment at 16 Ill. Reg. 13629, effective September 1, 1992, for a maximum of 150 days;


effective December 14, 1992; amended at 17 Ill. Reg. 357, effective December 24, 1992;


February 15, 1993; amended at 17 Ill. Reg. 4312, effective March 25, 1993; emergency

amendment at 17 Ill. Reg. 6325, effective April 9, 1993, for a maximum of 150 days; amended at

17 Ill. Reg. 6792, effective April 21, 1993; amended at 17 Ill. Reg. 15017, effective September 3,

1993; amended at 17 Ill. Reg. 19156, effective October 25, 1993; emergency amendment at 17

Ill. Reg. 19696, effective November 1, 1993, for a maximum of 150 days; amended at 18 Ill.

Reg. 5909, effective March 31, 1994; amended at 18 Ill. Reg. 6994, effective April 27, 1994;


June 27, 1994; amended at 18 Ill. Reg. 12805, effective August 5, 1994; amended at 18 Ill. Reg.

15774, effective October 17, 1994; expedited correction at 19 Ill. Reg. 998, effective October 17,

1994; amended at 19 Ill. Reg. 2845, effective February 24, 1995; amended at 19 Ill. Reg. 5609,


17



effective March 31, 1995; amended at 19 Ill. Reg. 7883, effective June 5, 1995; emergency

amendment at 19 Ill. Reg. 10206, effective July 1, 1995, for a maximum of 150 days; emergency


amended at 19 Ill. Reg. 12664, effective September 1, 1995; emergency amendment at 19 Ill.

Reg. 15244, effective November 1, 1995, for a maximum of 150 days; amended at 19 Ill. Reg.

15661, effective November 3, 1995; emergency amendment at 19 Ill. Reg. 15839, effective

November 15, 1995, for a maximum of 150 days; emergency amendment at 19 Ill. Reg. 16295,

effective December 1, 1995, for a maximum of 150 days; amended at 20 Ill. Reg. 845, effective

January 1, 1996; amended at 20 Ill. Reg. 3538, effective February 15, 1996; amended at 20 Ill.

Reg. 5648, effective March 30, 1996; amended at 20 Ill. Reg. 6018, effective April 12, 1996;


June 1, 1996; emergency amendment at 20 Ill. Reg. 12499, effective September 1, 1996, for a

maximum of 150 days; amended at 20 Ill. Reg. 14820, effective November 1, 1996; amendment

at 20 Ill. Reg. 15983, effective December 9, 1996; emergency amendment at 21 Ill. Reg. 662,


January 7, 1997; amended at 21 Ill. Reg. 1366, effective January 15, 1997; amended at 21 Ill.

Reg. 2655, effective February 7, 1997; amended at 21 Ill. Reg. 7391, effective May 31, 1997;


recodified from the Department of Public Aid to the Department of Human Services at 21 Ill.

Reg. 9322; amended at 21 Ill. Reg. 15597, effective November 26, 1997; emergency amendment

at 22 Ill. Reg. 4466, effective February 24, 1998, for a maximum of 150 days; emergency


22 Ill. Reg. 14420, effective July 24, 1998; amended at 22 Ill. Reg. 14744, effective August 1,

1998; amended at 22 Ill. Reg. 16256, effective September 1, 1998; emergency amendment at 22

Ill. Reg. 16365, effective September 1, 1998, for a maximum of 150 days; emergency

amendment at 22 Ill. Reg. 18082, effective October 1, 1998, for a maximum of 150 days;

amended at 22 Ill. Reg. 19840, effective November 1, 1998; emergency amendment at 23 Ill.

Reg. 598, effective January 1, 1999, for a maximum of 150 days; amended at 23 Ill. Reg. 942,

effective January 6, 1999; emergency amendment at 23 Ill. Reg. 1133, effective January 7, 1999,

for a maximum of 150 days; amended at 23 Ill. Reg. 1682, effective January 20, 1999;

emergency amendment at 23 Ill. Reg. 5881, effective May 1, 1999, for a maximum of 150 days;


June 4, 1999; amended at 23 Ill. Reg. 7896, effective July 1, 1999; emergency amendment at 23

Ill. Reg. 8672, effective July 13, 1999, for a maximum of 150 days; emergency amendment at 23

Ill. Reg. 10530, effective August 1, 1999, for a maximum of 150 days; amended at 23 Ill. Reg.

12648, effective September 27, 1999; amended at 23 Ill. Reg. 13898, effective November 19,

1999; amended at 24 Ill. Reg. 289, effective December 28, 1999; amended at 24 Ill. Reg. 2348,

effective February 1, 2000; amended at 25 Ill. Reg. 10336, effective August 3, 2001; emergency



17




effective January 1, 2002; amended at 26 Ill. Reg. 924, effective January 15, 2002; emergency

amendment at 26 Ill. Reg. 3329, effective February 19, 2002, for a maximum of 150 days;


July 1, 2002; emergency amendment at 26 Ill. Reg. 10994, effective July 1, 2002, for a

maximum of 150 days; amended at 26 Ill. Reg. 17182, effective November 15, 2002; amended at

27 Ill. Reg. 4545, effective February 28, 2003; amended at 27 Ill. Reg. 7240, effective April 7,

2003; amended at 27 Ill. Reg. 18417, effective November 20, 2003; amended at 28 Ill. Reg.

1090, effective December 31, 2003; amended at 28 Ill. Reg. 5655, effective March 22, 2004;


May 18, 2005; emergency amendment at 29 Ill. Reg. 16008, effective October 4, 2005, for a

maximum of 150 days; emergency expired March 2, 2006; amended at 30 Ill. Reg. 9331,

effective May 8, 2006; amended at 30 Ill. Reg. 11202, effective June 12, 2006; amended at 31

Ill. Reg. 6968, effective April 30, 2007; amended at 31 Ill. Reg. 10462, effective July 6, 2007;


effective February 7, 2008; emergency amendment at 32 Ill. Reg. 10607, effective July 1, 2008,

for a maximum of 150 days; emergency expired November 27, 2008; amended at 32 Ill. Reg.

17167, effective October 20, 2008; peremptory amendment at 32 Ill. Reg. 18051, effective

November 15, 2008; emergency amendment at 33 Ill. Reg. 4977, effective March 19, 2009, for a

maximum of 150 days; emergency expired August 15, 2009; emergency amendment at 33 Ill.

Reg. 7320, effective May 21, 2009, for a maximum of 150 days; emergency expired October 17,

2009; amended at 33 Ill. Reg. 12763, effective September 8, 2009; amended at 33 Ill. Reg.

13831, effective September 17, 2009; amended at 33 Ill. Reg. 16828, effective November 30,

2009; emergency amendment at 34 Ill. Reg. 6930, effective May 1, 2010, for a maximum of 150

days; emergency expired September 27, 2010; amended at 34 Ill. Reg. 10085, effective July 1,

2010; amended at 35 Ill. Reg. 998, effective December 28, 2010; emergency amendment at 35

Ill. Reg. 6933, effective April 6, 2011, for a maximum of 150 days; emergency expired

September 2, 2011; amended at 35 Ill. Reg. 17082, effective October 5, 2011; amended at 35 Ill.

Reg. 18739, effective October 28, 2011; amended at 36 Ill. Reg. 15120, effective September 28,

2012; emergency amendment at 37 Ill. Reg. 15388, effective September 9, 2013, for a maximum

of 150 days; amended at 38 Ill. Reg. 4441, effective January 29, 2014; amended at 38 Ill. Reg.

17603, effective August 8, 2014; amended at 38 Ill. Reg. 18646, effective August 29, 2014;

amended at 39 Ill. Reg. 15563, effective December 1, 2015; amended at 41 Ill. Reg. 395,

effective January 1, 2017.

SUBPART C: TANF EMPLOYMENT AND WORK ACTIVITY REQUIREMENTS

Section 112.78 TANF Employment and Work Activities


17



a) Education Directly Related to Employment

Adult clients who have not received a high school diploma or GED and need

further education to obtain a specific occupation, job, or job offer are placed in

this program. It consists of Adult Basic Education (ABE), General Equivalency

Diploma (GED), and English-as-a-Second-Language (ESL) programs. Clients

may be required, in coordination with the education schedule, to participate in Job

Readiness activities, job skills training, Job Search, and/or Work Experience at

the same time they are attending the education/training program to the extent

resources will allow.

1) Assignment to Education Directly Related to Employment

A) Individuals to be assigned to Education may include but are not

limited to individuals:

i) who do not have a high school degree or equivalent;

ii) who have limited English proficiency; and

ii)iii) who do not read at or above a 9.0 grade level.

B) Educational activities may be combined with other activities if it is

determined appropriate.

2) Approval Criteria for Education Directly Related to Employment

A) The program selected by the individual must be accredited under

State law.

B) The individual's program must be needed for the participant to

complete his or her Responsibility and Services Plan.

C) The individual must be enrolled full-time as defined by the

institution or part-time if a full-time program is not available or

appropriate.

D) When programs of comparable quality are available in more than

one geographical area, the program selected will be the least costly

in supportive service costs to the Department. When programs of


17



comparable quality are available in the same geographical area, the

individual may select a preferred program.

3) Participation Requirements

A) Participation must be full-time unless a full-time program is not

readily available or a part-time program is most appropriate based

on the individual's or family's circumstances.

B) Clients attending a program administered by the Illinois State

Board of Education (ISBE) must maintain satisfactory progress as

determined by the following:

i) active participation and pursuit of educational objectives;

ii) teacher's written remarks;

iii) grades;

iv) demonstrated competencies;

v) classroom exercises; and

vi) periodic test/retest results.

C) ISBE educational providers determine satisfactory progress based

on a combination of the indicators listed above and test/retest

results. The determination of satisfactory progress including

test/retest results must be reported upon completion of the

academic term or twice a year if the program is continuous for 12

months.

D) Clients attending a program not administered by ISBE must

maintain satisfactory progress as determined by the written policy

of the institution. The determination of satisfactory progress

including test/retest results must be reported upon completion of

the academic term or twice a year if the program is continuous for

12 months.


17



E) Curriculum changes must be made with the prior approval of

TANF staff and will be approved when the change is consistent

with the Responsibility and Services Plan.

F) Participation in Education Directly Related to Employment is a

secondary activity that can be counted for a maximum of 10 hours

per week when the client is also engaged in work or a countable

work or training activity for 20 hours per week.

b) Vocational Training

Vocational Training is designed to increase the individual's ability to obtain and

maintain employment. Vocational Training activities will include vocational skill

classes designed to increase a participant's ability to obtain and maintain

employment. Vocational Training may include certificate programs. Participants

who are not working are limited to short-term Vocational Training programs

lasting less than 12 months and may be required, in coordination with the

education/training schedule, to participate in Job Readiness activities, job skills

training, Job Search, and/or Work Experience at the same time they are attending

the education/training program to the extent resources will allow.

1) Approval Criteria For Vocational Training

A) The individual's program must be accredited under requirements of

State law.

B) The individual must be underemployed or unemployed and in need

of additional training and the training will better prepare the

participant to enter the labor force.

C) Co-enrollment in Education Directly Related to Employment and

Vocational Training is encouraged if the individual does not have a

high school diploma or GED.

D) The individual must apply for all available educational benefits

such as the Pell Grant and scholarships from the Illinois Student

Assistance Commission as well as any scholarship or grants

identified by the education or training facility for which the

participant may be eligible.


17



E) The individual must be enrolled full-time as defined by the

institution or part-time if full-time is not available or appropriate.

F) Clients who are working at least 20 hours per week (10 hours per

week if their youngest child is under age six) and whose combined

work plus credit hours or class hours, as appropriate, equal at least

30 hours (20 hours if their youngest child is under age six) each

week may be approved for vocational training after the 12-month

limitation.

G) The individual must be in a program needed for the individual to

obtain employment in a recognized occupation.

H) Jobs must be available in the chosen field in a specific

geographical area where the individual intends to work consistent

with the individual's Responsibility and Services Plan upon

completion.

I) When programs of comparable quality are available in more than





J) Vocational Training may be combined with other activities if it is


K) The individual must possess the aptitude, ability and interest

necessary for success in the selected program as determined by

such factors as test results and educational/training background.





B) The individual must maintain a "C" average if this measurement is

used by the institution to determine satisfactory progress. The


17



individual will be allowed one semester below a "C" average to

bring the grades up to a "C" average. When grades are not used,

progress will be determined by the written policy of the institution

to establish a comparable grade level upon completion of the

academic term.

C) The individual must participate the assigned number of hours each

week.

D) The client must complete all scheduled program enrollment hours

each academic term to maintain satisfactory progress, except in the

following situation. If the client withdraws from one or more

scheduled courses during an academic term, the client must

complete all scheduled enrollment hours during the following

academic term. The client may withdraw from one or more

scheduled classes in more than one academic term, but must

complete all scheduled enrollment hours the following academic

term to maintain satisfactory progress.

E) Curriculum changes must be made with the prior approval of

TANF and will be approved when the change is consistent with the

Responsibility and Services Plan.

c) Education at Secondary School

1) A minor parent age 19 or under who has not completed secondary school

or received his or her GED is placed in this program. Regular attendance

at a secondary school or in a course of study leading to a GED is required.

The client must make satisfactory progress as defined by a passing grade.

Grades must be reported upon completion of the academic term or twice a

year if the program is continuous for 12 months. If it is determined that

secondary school is inappropriate or not the best option for an 18 or 19

year old parent, the 18 or 19 year old parent may be assigned to work

activities or training.

2) Adult Client

The Department shall approve participation in high school or a high

school equivalency program upon written or oral request of the adult client

if he or she has not already earned a high school diploma or a high school


17



equivalency certificate. However, participation may be delayed as part of

an applicant's or recipient's personal plan for achieving employment and

self-sufficiency if it is determined that the benefit from participating in

another activity would be greater to the client than participation in high

school or a high school equivalency program. The availability of high

school or high school equivalency programs may also delay enrollment in

these programs. The Department shall treat these activities as a core

activity as long as satisfactory progress is made, as determined by the high

school or high school equivalency program. (See subsections (a)(3)(B)

through (E) for criteria to determine satisfactory progress.) Proof of

satisfactory progress shall be provided by the client or the school at the

end of each academic term. The Department shall treat participation in

high school or a high school equivalency program as a core activity and

shall count participation in high school or a high school equivalency

program toward the first 20 hours per week of participation.

d) Job Skills Training Directly Related to Employment

1) Description of Job Skills Training

Job skills training directly related to employment is training and education

for job skills required by an employer to provide an individual with the

ability to obtain employment or to advance or adapt to the changing

demands of the workplace. This can include literacy instruction or

language instruction when thesuch instruction is explicitly focused on

skills needed for employment.

2) Assignment to Job Skills Training

A client may be assigned to Job Skills Training when:

A) The client is working or in another countable work or training core

activity at least 20 hours per week.

B) The client needs additional training to qualify for or to retain

employment in a recognized occupation that will make the family

self-supporting.

C) The client has a GED or high school diploma, if it is required for

training or employment in the chosen field.


17



D) The client has the ability and interest needed for success in the

training. This is determined by test results, educational/training

background, and talking to the client.

E) Jobs are available in the chosen field in which the client intends to

work.

e) Job Readiness

1) The Job Readiness activities are designed to enhance the quality of the

individual's level of participation in the world of work while learning the

necessary essentials to obtain and maintain employment. These activities

help individuals gain the necessary job finding skills to help them find and

retain employment that will lead to economic independence.

2) Assignment to Job Readiness

Job Readiness activities may be combined with other activities if it is


3) Participation requirements




B) The individual must attend all scheduled classes or sessions. The

individual must be making satisfactory progress as defined by the

written policy of the job readiness provider and approved by the

Department.

C) The individual must participate the number of assigned hours each

week.

D) The individual must respond to a job referral, accept employment

and respond to mail-in contact.

f) Job Search

1) Description of Job Search


17



Job Search may be conducted individually or in groups. Job Search may

include the provision of counseling, job seeking skills, training and

information dissemination. Group Job Search may include training in a

group session.

2) Assignment to Job Search

A) If assessed as job ready, participants will be assigned to Job

Search. If job ready clients are unable to find employment on their

own, they will be reassessed and may be placed in a more

appropriate activity within six months.

B) Individuals completing education or vocational training or Job

Readiness training may be assigned to Job Search.

C) Job Search may be combined with other activities if it is



A) Participants must attend all scheduled classes or sessions.

Participants will be notified in writing of all meetings.

B) Individuals must contact employers in an effort to secure

employment.

C) Acceptable employer contacts may include but are not limited to:

i) a face-to-face contact with an employer or the employer's

representative;

ii) the completion and return of an application to an employer,

including an online application;

iii) the completion of a civil service test required for

employment with State, local, or the federal government or

the completion of a Department of Employment Security

(DES) screening test;


17



iv) the completion and mailing of a resume with a cover letter

to a recognized employer;

v) reporting to the union hall for union members verified to be

in good standing; or

vi) registration with DES/Illinois Employment and Training

Center (IETC).

g) Community Work Experience

TANF participants who have not found employment and who need orientation to

work, work experience or training are placed on a supervised work assignment to

improve their employment skills through actual Work Experience at private or

not-for-profit employers, organizations and governmental agencies. Participants

are referred to work assignments as vacancies are available. Participants in Work

Experience may perform work in the public interest (which otherwise meets the

requirements of this Section) such as enrollment as a full-time AmeriCorps

VISTA volunteer or Job Corps participant under Title I of the 1973 Domestic

Volunteer Services Act (42 USC 4951 et seq.) for a Federal office or agency with

its consent, and, notwithstanding 31 USC 1342 or any other provision of law,

such agency may accept such services but such participants shall not be

considered to be federal employees for any purpose.

1) Assignment to Community Work Experience

A) Community Work Experience is for:

i) participants who will benefit from working for an employer

who provides a subsidized employment assignment to

improve the individual's opportunity to attain self-

sufficiency; or

ii) participants who need experience to prevent deterioration

of, or to enhance, existing skills (for example, typing).

B) Entry into Community Work Experience

Participants are determined to be appropriate for Community Work

Experience activity based on an assessment of their education,

training and employment history. Procedures used in the


17



assessment are a face-to-face meeting with the participant and a

review of all available information on the participant (including,

but not limited to, the individual's case record and Responsibility

and Services Plan).

C) Community Work Experience Positions

Participants shall be assigned to a Community Work Experience

position to increase the potential for attaining employment. The

date participants are scheduled to begin the work assignment

marks the beginning of participation in Community Work

Experience. Community Work Experience activities may be

combined with other activities if it is determined appropriate.

D) Enrollment as a full-time Americorps VISTA volunteer or Job

Corps participant under Title I of the 1973 Domestic Volunteer

Services Act (42 USC 4951 et seq.) is an allowable work activity.

Paid work study and some paid Workforce Investment Act (WIA)

programs are also allowable.


A) The hours of the work assignment for a calendar month shall not

exceed the family's monthly TANF grant and food stamp allotment

divided by the higher of the State or federal minimum wage.

When this calculation results in less than 20 hours, the 20 hour

TANF work requirement will be deemed met when the individual

is working the maximum number of hours permitted under this

calculation.

B) During work assignment, participants shall be required to perform

Job Search activities unless a participant is in an education and

training program. Participants are required to accept bona fide

offers of employment pursuant to Section 112.72.

C) Participants are also required to report as scheduled and on time to

their Work Assignment Sponsor when notified of an assignment.

When they cannot report to their work assignment or if they will be

late, they are to immediately notify their Work Assignment

Sponsor.


17



D) Participants must participate the number of assigned hours each

week.

3) Review

Every six months, the participant's Responsibility and Services Plan will

be reviewed. If continuing the work assignment will benefit participants

in terms of furthering work skills (see subsections (g)(1)(A) and (B)),

participants shall be reassigned to the same or another work assignment.

In addition, participants will be assessed for assignment to another TANF

activity.

4) Length of Assignment

Participants must participate in Work Experience for as long as the

Responsibility and Services Plan reflects the need for this activity.

5) Anti-Displacement

Community Work Experience is subject to the provisions of Section

112.78(q).

h) On the Job Training (OJT)

In OJT, a participant is hired by a private or public employer and while engaged

in productive work receives training that provides knowledge or skills essential to

full and adequate performance of the job.

1) Assignment to OJT

A) Job ready individuals may be assigned to OJT.

B) OJT participants shall be compensated at the same rate and with

the same benefits as other employees.

C) Wages to participants in OJT shall not be less than the higher of

the State or federal minimum wage.

D) Wages to participants in OJT are considered earned income.

E) OJT may be combined with other component activities if it is



17




The individual must participate the assigned number of hours each week.

3) Supportive Services

Participants in OJT receive child care and Medicaid benefits.

i) Work Supplementation Program

1) The Work Supplementation Program develops employment opportunities

for TANF recipients by paying wage subsidies to employers who hire

program participants. The program is funded by diverting the cash grant

an individual would receive if not employed and using the diverted grant

to pay a wage subsidy to the employer who hires the recipient. The goal

of the Work Supplementation Program is to obtain jobs for TANF

recipients, who might not be hired without a subsidy, with sufficient pay

to take them off TANF.

2) Eligible Participants

A) TANF participants who meet the selection criteria listed in

subsection (i)(2)(B) of this Section are eligible to participate in the

Work Supplementation Program. Participation in the program is

voluntary. A TANF recipient who wants to participate in the Work

Supplementation Program must agree to all provisions in this

Section during the time of participation in the program.

B) In order to place special emphasis on people who would not be

likely to obtain a job without work supplementation, TANF

recipients must meet the following criteria for selection to

participate in the Work Supplementation Program:

i) the recipient must be the parent of at least one of the

children in the TANF unit;

ii) the recipient must have completed the Job Search work

activity; and

iii) the recipient must have no income other than TANF


17



benefits.

C) Recipients identified for employment must be determined eligible

for participation by their worker. The worker will recommend for

participation in the Work Supplementation Program those

participants who are likely to encounter difficulty in obtaining

employment (for example, lack of skills for which jobs are

available in the area, lack of work history).

D) Nothing in this Section should be construed as providing any

recipient the right to participate in the program.

3) Benefits and Reporting Requirements While Participating in the Work

Supplementation Program

A) Participants in the Work Supplementation Program are considered

to be TANF recipients and remain eligible for Medical Assistance

for the duration of their Work Supplementation Program

participation. Child care, for cases that are eligible for a cash

grant, will be regarded as employment child care.

B) The participant must agree to accept wages from employment,

which will be at least an amount which would be earned by

working full time (30 hours minimum) at the prevailing minimum

wage, less applicable payroll taxes.

C) Participants are required to file reports every six months as a

requirement for continuing eligibility.

D) Wages paid under a Work Supplementation Program shall be

considered to be earned income for purposes of any provision of

law (42 USC 1614(e)(3)).

4) Duration of Program Participation

A) Participants may not exceed a total of six months in the Work

Supplementation Program subsidized placements regardless of the

number of times an individual becomes a TANF recipient. The

period of a single assignment is dependent upon the terms of the


17



Work Supplementation Program contract that has been developed

with the employer. Recipients will be informed of the length of

the Work Supplementation Program subsidy period prior to

placement.

B) Participants who leave a supported work position without good

cause (as defined in Section 112.80) are removed from the Work

Supplementation Program and are subject to sanction.

5) Contracts with Employers

A) Employers that participate in the Work Supplementation Program

must enter into a written contract with the Department prior to

receiving referrals.

B) Employers must be in good standing (that is, in compliance with

all applicable federal, State, county and local laws, regulations and

ordinances) with the Illinois Department of Revenue, the Secretary

of State and any and all regulatory agencies that have jurisdiction

over their activities.

C) Employers agree to screen clients to hire on their own payroll after

six months. Failure to do so will result in the employer being

terminated from the program.

6) Calculation of the Diverted Grants

A) The level of grant to be diverted is determined on a prospective

basis when a work assignment under the Work Supplementation

Program is made. The effective date of the diverted grant is the

first day of the first full month of Work Supplementation Program

wages.

B) Work Supplementation Program participants are eligible only for

the earned income budgeting disregards provided in Sections

112.141 and 112.143. The difference between the flat grant

amount and revised amount is diverted to the wage pool.

C) The difference between the payment level and the grant the


17



participant receives is diverted and used in whole or in part to pay

a wage subsidy to the employer.

7) Program Completion

If the participant is no longer eligible for TANF benefits after the Work

Supplementation Program period, a determination of continued medical

eligibility shall be made in accordance with Section 112.330.

8) Anti-Displacement

The Work Supplementation Program is subject to the provisions of

Section 112.78(q).

j) Bachelor Degree Program

A Bachelor Degree Program must be administered by an educational institution

accredited under requirements of State law including, but not limited to, the

Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

[225 ILCS 410], the Real Estate License Act of 2000 [225 ILCS 454], the Public

Community College Act [110 ILCS 805], the University of Illinois Act [110 ILCS

305], the Chicago State Universities Law [110 ILCS 660], the Eastern Illinois

University Law [110 ILCS 665], the Governors State University Law [110 ILCS

670], the Illinois State University Law [110 ILCS 675], the Northeastern Illinois

University Law [110 ILCS 680], the Northern Illinois University Law [110 ILCS

685], the Western Illinois University Law [110 ILCS 690] and the Southern

Illinois University Management Act [110 ILCS 520]Name Change Act [110 ILCS

505].

1) Approval Criteria For a Bachelor Degree Program

A) The individual must have a high school diploma or a GED.

B) Approval of a Bachelor Degree program is part of the process of

developing the Responsibility and Services Plan (RSP) with the

client. Factors to consider when determining whether a Bachelor

Degree program is appropriate include, but are not limited to, the

client's educational and work history, the client's aptitude for

further education, the client's career goal, the client's ability to

finance tuition and other expenses not provided by the Department,

and the client's ability to arrange transportation, child care and

other family obligations.


17



C) The individual must be enrolled full-time as defined by the

institution or part-time if a full-time program is not available or

appropriate to upgrade skills for current employment.

D) The individual must be in a program needed for the individual to

obtain employment in a recognized occupation or upgrade skills

for current employment.

E) The individual does not already possess a baccalaureate degree or

an associate degree if the Responsibility and Services Plan goal is

an associate degree.

F) If the participant possesses a baccalaureate degree, no additional

education may be approved.

G) The individual's program must be accredited under requirements of

State law.

H) If needed, the individual must apply for all available educational

benefits, such as the Pell Grant and scholarships from the Illinois

Student Assistance Commission, as well as any scholarship or

grants identified by the education or training facility for which the

participant may be eligible.

I) Jobs, consistent with the individual's Responsibility and Services

Plan, must be available in the chosen field in a specific

geographical area where the individual intends to work upon

program completion.

J) When programs of comparable quality are available in more than





K) The program selected may be no more than a program that will

result in the receipt of a baccalaureate degree consistent with the

Responsibility and Services Plan.


17



L) For category 04 (one parent) cases, the individual, unless exempted

under subsection (i)(1)(N) of this Section, must also be employed

in unsubsidized work for at least 20 hours each week or be

participating for at least 20 hours per week in one or more of the

paid or unpaid work activities listed in this subsection (j)(1)(L). In

addition, the combined work or work activities plus credit hours or

class hours, as appropriate, must equal at least 30 hours per week.

i) Work study;

ii) Practicums, clinicals, or vocational internships such as

student teaching, if required by the institution to complete

the educational program;

iii) Apprenticeships;

iv) Self-employment; or

v) Enrollment as a full-time Americorps VISTA volunteer or

Job Corps participant under Title I of the 1973 Domestic

Volunteer Services Act (41 USC 4951 et seq.).

M) For category 06 (two parent) cases, the parents in the case must be

working or involved in approved work activities for a total of 35

hours per week, individually or combined.

N) Clients in a category 04 case with an approved RSP for full-time

Bachelor Degree program and a cumulative 2.5 or better grade

point average (on a 4.0 scale) may not be subject to the minimum

work requirement, described in subsection (i)(1)(L) of this Section,

as follows:

i) For the first semester, while the client is establishing a

grade point average, the client will not be subject to the

minimum work requirement. If a 2.5 grade point average is

not achieved in the first semester, the client will be subject

to the minimum work requirement in the second semester.


17



ii) As long as the client's cumulative GPA remains at least 2.5,

the client will not be subject to the minimum work

requirement.

iii) If the client's cumulative GPA falls below 2.5 at any time,

the client may continue to go to school full-time for another

semester without being subject to the minimum work

requirement.

iv) If the cumulative GPA is below 2.5 two semesters in a row,

the client will be subject to the minimum work

requirement.

O) Individuals who lose employment, unless due to a temporary

scheduled employer shutdown, can continue in a Bachelor Degree

program and receive supportive services, if eligible, during the

current semester while they seek employment. If the individual

has not reentered employment by the end of the current semester,

the individual will not continue in post-secondary education and

receive supportive services, but will be reassigned to another

appropriate activity.


A) The individual must maintain a "C" average if this measurement is

used by the institution to determine satisfactory progress. The

individual would be allowed one semester below a "C" average to

bring the grades up to a "C" average. When grades are not used,

satisfactory progress will be determined by the written policy of

the institution to establish a comparable grade level upon

completion of the academic term.

B) The client must complete all scheduled program enrollment hours

each academic term to maintain satisfactory progress, except in the

following situation. If the client withdraws from one or more

scheduled courses during an academic term, the client must

complete all scheduled enrollment hours during the following

academic term. The client may withdraw from one or more

scheduled classes in more than one academic term but must


17



complete all scheduled enrollment hours the following academic

term to maintain satisfactory progress.

C) Curriculum changes must be made with the approval of the TANF

worker and will be approved when the change is consistent with

the Responsibility and Services Plan.

k) Job Development and Placement (JDP)

1) TANF staff shall develop through contacts with public and private

employers unsubsidized job openings for participants. Job interviews will

be secured for clients by the marketing of participants for specific job

openings.

2) Assignment to JDP

Job ready individuals may be assigned to JDP.

l) Job Retention

Job Retention is designed to assist participants in retaining employment. Job

Retention expenses are provided. The individual's supportive service needs are

assessed and the individual receives counseling regarding Job Retention skills.

Counseling or job coaching may continue after employment begins as long as the

individual continues to receive TANF.

m) Community Service

Community Service is a structured program of activities in which the client

performs work for the direct benefit of the community. Community Service

programs serve a useful community purpose in fields such as health, social

service, environmental protection, education, urban and rural redevelopment,

welfare, recreation, public facilities, public safety, and childcare. Community

service can occur at locations such as libraries, area schools, soup kitchens, food

pantries, senior citizen centers, nursing homes, hospitals, social service agencies

and homeless shelters.

1) Community Service Positions

Clients shall be assigned to a Community Service position to increase the

potential for attaining employment. Each Community Service position

will have a position description that describes the duties and the

expectations of clients assigned to Community Service. The date a client


17



is scheduled to begin the Community Service assignment marks the

beginning of participation in Community Service. Community Service

activities may be combined with other activities if it is determined

appropriate.


A) The hours of the Community Service assignment for a calendar

month shall not exceed the family's monthly TANF grant and food

stamp allotment divided by the higher of the State or federal

minimum wage. When this calculation provides less than 20

hours, the 20 hours will be deemed met when the individual is

participating in the maximum number of hours permitted under the

minimum wage provision.

B) During Community Service assignment, participants shall be

required to perform Job Search activities unless a participant is in

an education and training program or is not job ready. Participants

are required to accept bona fide offers of employment pursuant to

Section 112.72.


their Community Service sponsor when notified of an assignment.

When they cannot report to their work assignment or if they will be


Sponsor.

D) Participants must participate in the number of assigned hours each

week.

3) Review

At the reassessment the participant is assigned to the more structured

Work Experience activity or Work First when the participant becomes

more job ready.

n) Work First/Pay After Performance

1) Work First is a Work Experience pay-after-performance program.


17




A) The hours of the work assignment for a calendar month shall not

exceed the family's monthly TANF grant and food stamp allotment

divided by the higher of the State or federal minimum wage.

When this calculation provides less than 20 hours, the 20 hours

will be deemed met when the individual is working the maximum

number of hours permitted under the minimum wage provision.

B) Participants shall be required to perform Job Search activities.

Participants are required to accept bona fide offers of employment

pursuant to Section 112.72.


their Work Assignment Sponsor when notified of an assignment.

When they cannot report to their work assignment of if they will be


Sponsor.

D) Participants must participate in the number of assigned hours each

week.

3) Participants will be assigned to Work First/Pay After Performance until

they find unsubsidized employment. An assessment will be conducted

every six months to determine appropriateness of assignment, if work

skills are being gained and if the opportunity for placement exists.

4) The Department will develop Work First/Pay After Performance positions

with private employers or not-for-profit or public agencies. The

Department shall provide workers' compensation coverage for

participants. The Department will ensure all applicable employer safety

laws are met for Work First/Pay After Performance assignments. Failure

of an employer to do so will result in termination of the contract.

5) Work First/Pay After Performance is subject to the provisions of

subsection (q) of this Section.

6) Individuals who fail to participate, without good cause, are determined to

have not availed themselves of the Work First opportunity. If good cause


17



is not determined, the entire case is ineligible for TANF assistance. Upon

reapplication for TANF, the individual may be reassigned to a Work First

position.

7) Failure to participate is determined to have occurred:

A) if the participant does not report to the provider or employer.

Participants are deemed to have failed to report if they have not

contacted the provider or employer in person, by telephone or

mail, or by a third party; or

B) if the participant has engaged in misconduct connected with the

Work First assignment. The term "misconduct" means deliberate

and willful violation of a reasonable rule or policy of the

employer governing the individual's behavior in performance of

work, provided such violation has harmed the employer or other

employees or has been repeated by the individual despite a

warning or the explicit instruction from the employer.

o) Substance Abuse

1) Selection of Participants

If alcohol or substance abuse is suspected as a barrier to employment

during the family assessment process or at an intake interview, the client

will be referred for a clinical assessment by an alcohol/substance abuse

counselor. If treatment is indicated, the client will be required to follow-

up as a condition of eligibility, unless the client is employed more than 30

hours per week or if treatment resources are not available.

2) Barrier Reduction Activity

Clients participating in alcohol/substance abuse treatment in accordance

with their Responsibility and Services Plan are participating in a barrier

reduction activity.


Supportive services, i.e., child care and transportation, will be provided to

enable clients' participation in treatment, to the extent resources are

available.


17



4) Sanctions

A) Reconciliation will be attempted with clients who fail to cooperate

with their treatment plan. Cooperation with the treatment plan will

be defined by the alcohol/substance abuse provider, based on

uniform guidelines.

B) When reconciliation is unsuccessful, the TANF sanctions will

apply.

p) Domestic or Sexual Violence

1) Selection of Participants

All clients receiving TANF will have a family assessment completed. If

domestic or sexual violence is a barrier to employment, the client will be

referred to a domestic or sexual violence service provider.

2) Barrier Reduction Activity

Clients participating in domestic violence abuse treatment in accordance

with their Responsibility and Services Plan are participating in a barrier

reduction activity.


Supportive Services, i.e., child care and transportation, will be provided to

enable clients' participation in treatment, to the extent resources are

available.

4) Sanctions

If the individual does not comply with the Responsibility and Services

Plan relating to domestic or sexual violence, a sanction will not be

imposed. The Responsibility and Services Plan will be reviewed, and

other work related activities will be developed. Compliance will be

required for the new activities.

q) Anti-Displacement and Grievance Procedure

1) An employer may not utilize a work activity participant if such utilization

would result in:


17



A) the displacement or partial displacement of current employees,

including but not limited to a reduction in hours of non-overtime or

overtime work, wages, or employment benefits; or

B) the filling of a position that would otherwise be a promotional

opportunity for current employees; or

C) the filling of a position created by or causing termination, layoff, a

hiring freeze, or a reduction in the workforce; or

D) the placement of a participant in any established unfilled vacancy;

or

E) the performance of work by a participant if there is a strike,

lockout, or other labor dispute in which the employer is engaged.

2) An employer who wishes to utilize work activity participants shall notify

the appropriate labor organization in accordance with Section 9A-13 of the

Public Aid Code.

3) Participants, other employees at the work site or their representative, may

file a grievance with the Department if they believe the participant's work

assignments are causing displacement. In order for the Department to

consider a grievance, it must be in writing and contain the following

information:

A) the name and address of the participant or other employee at the

work site (the grievant);

B) the participant's case number (if grievant is participant);

C) the grievant's Social Security number;

D) Work Experience (work site); and

E) a statement as to why the grievant believes the participant is

causing displacement.

4) Within ten days after receipt of a written grievance, the Department shall


17



arrange an in-person conference with:

A) the grievant;

B) the grievant's representative, if any;

C) the Work Experience Sponsor;

D) the Work Experience Sponsor's representative, if any; and

E) the Department's representative.

5) At the in-person conference, the Department shall solicit and receive from

the grievant and the Work Experience Sponsor any documents and

statements relevant to the matters alleged in the grievance. The Work

Experience Sponsor shall provide whatever documents or other

information is requested by the grievant and/or the Department.

6) Within 15 days after the in-person conference, the Department shall advise

the participant or other employee at the work site and the Work

Experience Sponsor in writing of the information obtained in the

investigation and of the findings and conclusions as to the matters alleged

in the grievance.

7) If the Department concludes that displacement occurred (as described in

subsection (q)(1) of this Section), the Department shall terminate the

participant's assignment to that Work Experience Sponsor. If the

Department concludes, as a result of the evidence presented at the

conference, that the Work Experience Sponsor has caused displacement by

use of TANF participants in addition to the participants involved in the

grievance, the Department shall terminate those TANF participants'

assignment to that Work Experience Sponsor.

8) The Department, its employees or the Work Experience Sponsor shall not

retaliate for filing a grievance or otherwise proceeding under this policy.

Retaliation will result in the termination of the Work Experience Sponsor

contract.

(Source: Amended at 41 Ill. Reg. 395, effective January 1, 2017)


17



SUBPART G: FINANCIAL FACTORS OF ELIGIBILITY

Section 112.110 Exempt Unearned Income

The following unearned income shall be exempt from consideration in determining eligibility

and the level of assistance payment:

a) The value of the benefit allotment under the Food and Nutrition Act of 2008 (7

USC 2017(b));

b) The value of the U.S. Department of Agriculture donated foods (surplus

commodities);

c) Any payment received under the Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970 (42 USC 4636);

d) Any funds distributed per capita to or held in trust for members of any Indian

Tribe under P.L. 92-254, P.L. 93-134, P.L. 94-114 or P.L. 94-540;

e) Any benefits received under Title VII, Nutrition Program for the Elderly, of the

Older Americans Act of 1965, as amended (42 USC 3045 et seq.);

f) Any compensation provided to individual volunteers under the Volunteers in

Service to America (VISTA) Program (known as AmeriCorps VISTA).

Payments made under Americorps State/National programs, funded under the

National and Community Service Act of 1993, are not exempt. Stipends or living

allowance payments made under this program are considered nonexempt earned

income. These payments are subject to the general rules concerning the

budgeting of earned income;

g) Income received under the provisions of Section 4(c) of the Senior Citizens and

Disabled Persons Property Tax Relief and Pharmaceutical Assistance Act [320

ILCS 25/4]. This includes both the benefits commonly known as the circuit

breaker and additional grants;

h) Payments for supporting services or reimbursement for out-of-pocket expenses

made to volunteers serving as senior health aides, senior companions, foster

grandparents, and persons serving in the Service Corps of Retired Executives


17



(SCORE) and Active Corps of Executives (ACE) and any other programs under

Titles II and III, pursuant to Section 418 of P.L. 93-113;

i) Unearned income such as need based payments, cash assistance, compensation in

lieu of wages and allowances received through the Workforce Investment Act

(WIA);

j) Social Security death benefit expended on a funeral and/or burial;

k) The value of supplemental food assistance received under the Child Nutrition Act

of 1966, as amended (42 USC 1780(b)) and the special food service program for

children under the Richard B. Russell National School Lunch Act, as amended

(42 USC 1760);

l) Tax exempt portions of payments made pursuant to the Alaska Native Claims

Settlement Act (43 USC 1626);

m) Payments received under Title I of P.L. 100-383 of the Civil Liberties Act of 1988

(50 USC 1989b through 1989b-8);

n) Payments received under Title II of P.L. 100-383 of the Aleutian and Pribilof

Islands Restitution Act (50 USC 1989c through 1989c-8);

o) Payments made to veterans who receive an annual disability payment or to the

survivors of deceased veterans who receive a one-time lump-sum payment from

the Agent Orange Settlement Fund or any other fund referencing Agent Orange

product liability under P.L. 101-201;

p) Payments received under the federal Radiation Exposure Compensation Act (42

USC 2210 nt);

q) Federal subsidized housing payments under section 8 of the Housing and

Community Development Act (42 USC 1437f);

r) Any adoption subsidy payment or foster care payment received from DCFS or

from a state welfare agency of another state are exempt for MAG and MANG.

Independent Living Arrangement Payments are not exempt for MAG and MANG;

s) Supportive Service payments (Section 112.82);


17



t) Benefits paid to eligible households under the Low Income Home Energy

Assistance Act of 1981 pursuant to Section 2605(f) of P.L. 97-35;

u) Disaster relief payments provided by federal, state or local government or a

disaster assistance organization;

v) Any payment provided by the Department of Human Services under the Family

Assistance Program for Mentally Disabled Children with Mental Disabilities [405

ILCS 80/Art. III]under P.A. 86-921;

w) GA Emergency Financial Assistance issued through vendor payment. These

payments can only be issued once in a 12-month period to persons who do not

currently receive TANF cash assistance;

wx) A nonrecurring lump-sum SSI or SSA payment made to an individual in a TANF

assistance unit. The nonrecurring SSA lump sum is exempt if it is based on

disability. The monthly amount, up to the monthly SSI level for one, is exempt.

For those individuals not in a TANF assistance unit whose income is used to

determine TANF eligibility for others (for example, the parent of a person under

age 18 who is receiving assistance as a parent), the lump-sum payment is

nonexempt income for the month received;

xy) Payments made to individuals because of their status as victims of Nazi

persecution pursuant to P.L. 103-286;

yz) Payments to a member of the Passamquoddy Indian Tribe, the Penobscot Nation

of the Houlton Band of the Maliseet Indians pursuant to the Maine Indian Claims

Settlement Act of 1980;

zaa) Up to $2000 per year of income received by individual Indians, which is derived

from leases or other uses of individually-owned trust or restricted lands pursuant

to Section 13736 of P.L. 103-66;

aabb) Payments based on disability status are disregarded in an amount up to the

Supplemental Security Income (SSI) payment level for one person with no

income. This disregard applies to disability benefits from Social Security

(including SSI), Railroad Retirement Disability, Department of Veterans' Affairs

(100% disability only) and Black Lung;


17



bbcc) Payments made under the federal Crime Act of 1984 (as amended by P.L. 104-

132, Section 234, Crime Victims Fund);

ccdd) Inconsequential income, which is defined as gifts, prizes or other unearned

income (excluding that which is otherwise exempted in this Section) of up to $50

per person per quarter;

ddee) The value of home produce that is used for personal consumption;

eeff) Child support payments made to an assistance unit by the Department or non-

custodial parent that represent the first $100$50 or any lesser amount of support

collected in a month for a family with one child, or $200 or any lesser amount of

support collected in a month for a family with two or more children;

ffgg) ThreeTwo dollars of every $4$3 of excess child support distributed by the child

support agency to a family with earnings budgeted. This includes the wage

supplementation programs of on-the-job training, Job Corps, AmeriCorps VISTA,

and work study;

gghh) Payments from the principal or trust of a trust fund made to or on behalf of a

dependent child when the court orders the money released for a specific purpose

other than the income maintenance needs of the child;

hhii) Earmarked child support payments received by the client for the support of a child

not included in the assistance unit;

iijj) Cash that is exchanged for purposes of satisfying payment of shelter-related

obligations in situations in which the assistance unit shares a dwelling unit with

another family, individual or individuals. The money is not available to meet the

needs of the party who received and disburses the shelter-related payment;

jjkk) Employment-related reimbursements for past or future expenses to the extent that

they do not exceed actual expenses incurred and do not represent a gain or benefit

to the client;

kkll) All educational loans, grants, scholarships, fellowships, veteran's educational

benefits, and federal and State work study programs;


17



mm) The $25 per week increase in Unemployment Compensation Benefits authorized

under the American Recovery and Reinvestment Act of 2009 (Div. B, Title II,

Sec. 2002 of P.L. 111-5);

nn) The Economic Recovery Payment to recipients of Social Security, Supplemental

Security Income (SSI), Railroad Retirement Benefits, and Veterans Disability

Compensation or Pension Benefits authorized under the American Recovery and

Reinvestment Act of 2009 (Div. B, Title II, Sec. 2201 of P.L. 111-5);

oo) Payments to eligible persons who served in the United States Armed Forces in the

Far East during World War II authorized under the American Recovery and

Reinvestment Act of 2009 (Div. A, Title X, Sec. 1002 of P.L. 111-5).

(Source: Amended at 41 Ill. Reg. 395, effective January 1, 2017)


17

SECRETARY OF STATE

NOTICE OF ADOPTED AMENDMENT

1) Heading of the Part: Issuance of Licenses


3) Section Number: Adopted Action:

1030.92 Amendment

4) Statutory Authority: 625 ILCS 5/6-507(c)

5) Effective Date of Rule: December 29, 2016



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

the Department's Division of Driver's Services, and is available for public inspection.

9) Notices of Proposed published in the Illinois Register: 40 Ill. Reg. 11246, August 26,

2016

10) Has JCAR issued a Statement of Objection to this rulemaking: No

11) Difference between Proposal and Final Version: None




14) Are there any rulemakings pending on this Part? Yes

Section Numbers: Proposed Actions: Illinois Register Citations:

1030.7 Amendment 40 Ill. Reg. 16061; December 9, 2016



1030.Appendix B Amendment 40 Ill. Reg. 16061; December 9, 2016

1030.Appendix C Amendment 40 Ill. Reg. 16061; December 9, 2016


17

SECRETARY OF STATE


15) Summary and Purpose of Rulemaking: This rulemaking will implement PA 99-607

regarding changes to farm vehicle drivers and drivers of covered farm vehicles.

1030.92 (i) (17) clarifies that the J50 restriction refers to "Farm Vehicle Driver-FVD" and

"truck/tractor, semi-trailer combination vehicles." This rulemaking also updates

terminology by changing the term "road test" to "skills test" and requires the vehicle to

have Illinois farm plates."

A new restriction of J51 is being added to address drivers of covered farm vehicles as

follows:

Farm Waived Non-CDL Covered Farm Vehicle Driver-CFV (Class A truck/tractor, semi-

trailer combination vehicles only) – Allows farmers or a member of the farmer's family

who is 18 years of age or older driving interstate and has completed all of the applicable

exams (core, combination, air brake and all three parts of the skills test) to drive a farm

waived non-CDL (Class A truck/tractor, semi-trailer combination vehicles only) covered

farm vehicle. Those eligible may operate the truck/tractor, semi-trailer to transport farm

products, equipment or supplies to or from a farm, if used within this state or interstate

within 150 air miles of the farm, and not used in the operations of a common or contract

carrier. The vehicle must be a covered farm vehicle as defined by law with Illinois Farm

plates.

Jennifer Egizii

Office of the Secretary of State

Driver Services Department

701 South Dirksen Parkway


217/557-4462

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


17

SECRETARY OF STATE


TITLE 92: TRANSPORTATION

CHAPTER II: SECRETARY OF STATE

PART 1030

ISSUANCE OF LICENSES

Section

1030.1 Definitions

1030.5 Procedure for Obtaining a Driver's License

1030.6 Procedure for Obtaining a Visa Status Temporary Visitor's Driver's License

Pursuant to IVC Section 6-105.1(a)

1030.7 Procedure for Obtaining a Non-Visa Status Temporary Visitor's Driver's License

Pursuant to IVC Section 6-105.1(a-5)

1030.10 What Persons Shall Not be Licensed or Granted Permits

1030.11 Procedure for Obtaining a Driver's License/Temporary Visitor's Driver's License

(Renumbered)

1030.12 Identification Cards for the Homeless

1030.13 Denial of License or Permit

1030.14 Emergency Contact Database

1030.15 Cite for Re-testing

1030.16 Physical and Mental Evaluation

1030.17 Errors in Issuance of Driver's License/Cancellation

1030.18 Medical Criteria Affecting Driver Performance

1030.20 Classification of Drivers – References (Repealed)

1030.22 Medical Examiner's Certificate − CLP or CDL Holders

1030.25 Safe Driver License Renewals

1030.30 Classification Standards

1030.40 Fifth Wheel Equipped Trucks

1030.50 Bus Driver's Authority, Religious Organization and Senior Citizen Transportation

1030.55 Commuter Van Driver Operating a For-Profit Ridesharing Arrangement

1030.60 Third-Party Certification Program

1030.63 Religious Exemption for Social Security Numbers (Repealed)

1030.65 Instruction Permits

1030.66 Adult Driver Education

1030.70 Driver's License Testing/Vision Screening

1030.75 Driver's License Testing/Vision Screening With Vision Aid Arrangements Other

Than Standard Eye Glasses or Contact Lenses

1030.80 Driver's License Testing/Written Test

1030.81 Endorsements


17

SECRETARY OF STATE


1030.82 Charter Bus Driver Endorsement Requirements

1030.83 Hazardous Material Endorsement

1030.84 Vehicle Inspection

1030.85 Driver's License Testing/Road Test

1030.86 Multiple Attempts − Written and/or Road Tests

1030.88 Exemption of Facility Administered Road Test

1030.89 Temporary Driver's Licenses and Temporary Instruction Permits

1030.90 Requirement for Photograph and Signature of Licensee on Driver's License

1030.91 Person with a Disability Identification Card

1030.92 Restrictions

1030.93 Restricted Local Licenses

1030.94 Duplicate or Corrected Driver's License or Instruction Permit

1030.95 Consular Licenses (Repealed)

1030.96 Seasonal Restricted Commercial Driver's License

1030.97 Invalidation of a Driver's License, Permit and/or Driving Privilege

1030.98 School Bus Endorsement or Learner's Permit

1030.100 Anatomical Gift Donor (Repealed)

1030.110 Emergency Medical Information Card

1030.115 Change-of-Address

1030.120 Issuance of a Probationary License

1030.130 Grounds for Cancellation of a Probationary License

1030.140 Use of Captured Images

1030.150 Veteran Designation on Driver's License or Identification Card

1030.APPENDIX A Questions Asked of a Driver's License Applicant

1030.APPENDIX B Acceptable Identification Documents – Applicants for a Driver's

License, Instruction Permit, Visa Status Temporary Visitor's Driver's

License Pursuant to IVC Section 6-105.1(a) or Visa Status Temporary

Visitor's Instruction Permit

1030.APPENDIX C Acceptable Identification Documents – Applicants for a Non-Visa

Status Temporary Visitor's Driver's License or Non-Visa Status

Temporary Visitor's Instruction Permit Pursuant to IVC Section 6-

105.1(a-5)

AUTHORITY: Implementing Article I of the Illinois Driver Licensing Law of the Illinois

Vehicle Code [625 ILCS 5/Ch. 6, Art. I] and authorized by Section 2-104(b) of the Illinois

Vehicle Title and Registration Law of the Illinois Vehicle Code [625 ILCS 5/2-104(b)].


17

SECRETARY OF STATE


SOURCE: Filed March 30, 1971; amended at 3 Ill. Reg. 7, p. 13, effective April 2, 1979;

amended at 4 Ill. Reg. 27, p. 422, effective June 23, 1980; amended at 6 Ill. Reg. 2400, effective

February 10, 1982; codified at 6 Ill. Reg. 12674; amended at 9 Ill. Reg. 2716, effective February

20, 1985; amended at 10 Ill. Reg. 303, effective December 24, 1985; amended at 10 Ill. Reg.

15130, effective September 2, 1986; amended at 10 Ill. Reg. 18182, effective October 14, 1986;


October 23, 1987; amended at 12 Ill. Reg. 3027, effective January 14, 1988; amended at 12 Ill.

Reg. 13221, effective August 1, 1988; amended at 12 Ill. Reg. 16915, effective October 1, 1988;


effective April 1, 1989; amended at 13 Ill. Reg. 7808, effective June 1, 1989; amended at 13 Ill.

Reg. 12880, effective July 19, 1989; amended at 13 Ill. Reg. 12978, effective July 19, 1989;


effective September 8, 1989; amended at 13 Ill. Reg. 17095, effective October 18, 1989;


March 9, 1990; amended at 14 Ill. Reg. 5183, effective March 21, 1990; amended at 14 Ill. Reg.

8707, effective May 16, 1990; amended at 14 Ill. Reg. 9246, effective May 16, 1990; amended at

14 Ill. Reg. 9498, effective May 17, 1990; amended at 14 Ill. Reg. 10111, effective June 11,


effective July 5, 1990; amended at 14 Ill. Reg. 15487, effective September 10, 1990; amended at

15 Ill. Reg. 15783, effective October 18, 1991; amended at 16 Ill. Reg. 2182, effective January

24, 1992; emergency amendment at 16 Ill. Reg. 12228, effective July 16, 1992, for a maximum

of 150 days; emergency expired on December 13, 1992; amended at 16 Ill. Reg. 18087, effective

November 17, 1992; emergency amendment at 17 Ill. Reg. 1219, effective January 13, 1993, for

a maximum of 150 days; amended at 17 Ill. Reg. 2025, effective February 1, 1993; amended at

17 Ill. Reg. 7065, effective May 3, 1993; amended at 17 Ill. Reg. 8275, effective May 24, 1993;



Reg. 7478, effective May 2, 1994; amended at 18 Ill. Reg. 16457, effective October 24, 1994;


February 14, 1996; emergency amendment at 20 Ill. Reg. 8358, effective June 4, 1996, for a

maximum of 150 days; emergency amendment repealed in response to an objection of the Joint

Committee on Administrative Rules at 20 Ill. Reg. 14279; amended at 21 Ill. Reg. 6588,

effective May 19, 1997; amended at 21 Ill. Reg. 10992, effective July 29, 1997; amended at 22

Ill. Reg. 1466, effective January 1, 1998; emergency amendment at 23 Ill. Reg. 9552, effective

August 1, 1999, for a maximum of 150 days; amended at 23 Ill. Reg. 13947, effective November

8, 1999; amended at 24 Ill. Reg. 1259, effective January 7, 2000; emergency amendment at 24

Ill. Reg. 1686, effective January 13, 2000, for a maximum of 150 days; amended at 24 Ill. Reg.

6955, effective April 24, 2000; emergency amendment at 24 Ill. Reg. 13044, effective August

10, 2000, for a maximum of 150 days; amended at 24 Ill. Reg. 18400, effective December 4,


17

SECRETARY OF STATE


2000; amended at 25 Ill. Reg. 959, effective January 5, 2001; amended at 25 Ill. Reg. 7742,

effective June 5, 2001; amended at 25 Ill. Reg. 12646, effective September 24, 2001; emergency


emergency expired February 20, 2002; amended at 26 Ill. Reg. 9961, effective June 24, 2002;

amended at 27 Ill. Reg. 855, effective January 3, 2003; emergency amendment at 27 Ill. Reg.

7340, effective April 14, 2003, for a maximum of 150 days; emergency expired September 10,

2003; emergency amendment at 27 Ill. Reg. 16968, effective October 17, 2003, for a maximum

of 150 days; emergency expired March 14, 2004; emergency amendment at 28 Ill. Reg. 384,

effective January 1, 2004, for a maximum of 150 days; emergency expired May 29, 2004;


July 13, 2004; amended at 29 Ill. Reg. 920, effective January 1, 2005; emergency amendment at

29 Ill. Reg. 2469, effective January 31, 2005, for a maximum of 150 days; emergency expired

June 29, 2005; amended at 29 Ill. Reg. 9488, effective June 17, 2005; amended at 29 Ill. Reg.

12519, effective July 28, 2005; amended at 29 Ill. Reg. 13237, effective August 11, 2005;

amended at 29 Ill. Reg. 13580, effective August 16, 2005; amended at 30 Ill. Reg. 910, effective

January 6, 2006; amended at 30 Ill. Reg. 5621, effective March 7, 2006; amended at 30 Ill. Reg.

11365, effective June 15, 2006; emergency amendment at 30 Ill. Reg. 11409, effective June 19,

2006, for a maximum of 150 days; emergency expired November 15, 2006; amended at 31 Ill.



April 12, 2007; amended at 31 Ill. Reg. 7643, effective May 16, 2007; amended at 31 Ill. Reg.

11342, effective July 18, 2007; amended at 31 Ill. Reg. 14547, effective October 9, 2007;


effective November 27, 2007; amended at 31 Ill. Reg. 16843, effective January 1, 2008;


days; amended at 32 Ill. Reg. 6544, effective April 4, 2008; amended at 33 Ill. Reg. 2391,

effective January 21, 2009; amended at 33 Ill. Reg. 8489, effective June 5, 2009; amended at 33

Ill. Reg. 9794, effective June 29, 2009; amended at 33 Ill. Reg. 11620, effective July 22, 2009;

amended at 33 Ill. Reg. 14185, effective September 28, 2009; amended at 34 Ill. Reg. 563,

effective December 22, 2009; amended at 34 Ill. Reg. 9457, effective June 23, 2010; amended at

34 Ill. Reg. 15418, effective September 22, 2010; amended at 34 Ill. Reg. 19071, effective

November 22, 2010; amended at 35 Ill. Reg. 2197, effective January 21, 2011; amended at 35 Ill.

Reg. 4692, effective March 3, 2011; amended at 35 Ill. Reg. 19664, effective November 23,

2011; amended at 36 Ill. Reg. 3924, effective February 27, 2012; amended at 36 Ill. Reg. 7255,

effective April 26, 2012; amended at 36 Ill. Reg. 14755, effective September 18, 2012; amended

at 37 Ill. Reg. 7776, effective May 22, 2013; amended at 37 Ill. Reg. 14176, effective September

1, 2013; amended at 37 Ill. Reg. 19342, effective November 28, 2013; amended at 38 Ill. Reg.

7946, effective March 28, 2014; emergency amendment at 38 Ill. Reg. 8429, effective April 4,

2014, for a maximum of 150 days; amended at 38 Ill. Reg. 12515, effective July 1, 2014;


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SECRETARY OF STATE


amended at 38 Ill. Reg. 16366, effective July 21, 2014; amended at 38 Ill. Reg. 20039, effective


Reg. 5083, effective March 23, 2015; amended at 39 Ill. Reg. 8028, effective May 21, 2015;



Reg. 7330, effective May 2, 2016; amended at 40 Ill. Reg. 13637, effective September 19, 2016;


December 29, 2016.

Section 1030.92 Restrictions

a) A driver services facility representative shall have the authority to determine

license restrictions. No restriction shall be added until the driving test, if required,

is given unless the restriction is due to a vision or hearing defect.

b) If a change in a person's physical and/or visual condition is discovered by a

facility representative, the representative has the authority to add, delete or change

the restrictions.

c) A Type B restriction requires corrective eye lenses. This restriction is added

when a person needs corrective eye lenses to meet visual acuity standards as

provided in Section 1030.70. This restriction includes eye glasses and contact

lenses in one or both eyes, pursuant to Section 1030.75.

d) A Type C restriction requires the driver to use one or more mechanical aids (e.g.,

hand operated brake, gearshift extension, shoulder harness, or foot operated

steering wheel) to assist with the proper and safe operation of the vehicle.

e) A Type D restriction requires the driver to use one or more prosthetic aids (e.g.,

artificial legs, artificial hands, hook on right or left arm, or brace on each leg)

while operating a motor vehicle.

f) A Type E restriction requires automatic transmission. An automatic transmission

restriction is added when a driver of a commercial motor vehicle uses an

automatic transmission during the pre-trip, skills and road portions of a

commercial driver's license test as provided in FMCSR (49 CFR 383.95(c);

October 1, 2014).

g) A Type F restriction requires left and right outside rearview mirrors when a driver


17

SECRETARY OF STATE


is hearing impaired, has a monocular visual acuity reading of 20/100 or worse in

either eye, requires a right outside rearview mirror because of problems turning

the head while backing, cannot meet the peripheral vision requirements of Section

1030.70(a), and/or takes the road test in a right hand-driven vehicle with the

steering wheel on the right side. A driver may be restricted to both left and right

rearview mirrors if minimum peripheral standards are met by the use of only one

eye in accordance with Sections 1030.70 and 1030.75.

h) A Type G restriction requires the driver to drive only in the daylight. This

restriction is added when a driver has binocular visual acuity that does not meet

the 20/40 minimum in accordance with Section 1030.70(a), but is not worse than

20/70. People who want to drive utilizing a non-standard lens arrangement

pursuant to Section 1030.75 are restricted to daylight driving only.

i) A Type J restriction with appropriate numerical indicators includes other

restrictions not listed in this Section. These Type J restrictions and numerical

indicators are as follows:

1) J01 Driver has been issued an Illinois Medical Restriction Card, which

must be carried in addition to a valid Illinois driver's

license/permit.

2) J02 Driver authorized to operate a religious organization bus within

classification, as provided in IVC Section 6-106.2.

3) J03 Driver authorized to operate a religious organization bus or van

within Class D only. The driver took the religious organization

bus test in a Class D vehicle, but may hold a Class A, B or C

license.

4) J04 Driver authorized to operate a religious organization bus or van

within Class C or a lesser classification vehicle only. The driver

took the religious organization bus test in a Class C vehicle, but

may hold a Class A or B license.

5) J05 Driver authorized to operate a senior citizen transportation vehicle

within classification. The driver operates a vehicle that is utilized

solely for the purpose of providing transportation for senior

citizens, as provided in IVC Section 6-106.3.


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SECRETARY OF STATE



within Class D only. The driver took the senior citizen

transportation vehicle test in a Class D vehicle, but may hold a

Class A, B or C license.


within written Class C vehicle, or a lesser classification vehicle

only. The driver took the senior citizen transportation vehicle test

in a Class C vehicle, but may hold a Class A or B license.

8) J08 Driver authorized to operate a commuter van in a for-profit

ridesharing arrangement within classification, as provided in IVC

Section 6-106.4.

9) J09 Driver who is 16 or 17 years of age authorized to operate either

Class L motor-driven cycles or Class M motorcycles, as provided in

IVC Section 6-103(2).

10) J10 Driver restricted to the operation of a vehicle with a GVWR of

16,000 pounds or less.

11) J11 Indicates the driver took the road test on a three-wheel motorcycle

(Class M) or three-wheel motor-driven cycle (Class L) and is

restricted to a three-wheel cycle of the proper class.

12) J14 Restricted to the use of a non-standard lens arrangement pursuant to

Section 1030.75 when operating a motor vehicle. (Lens

arrangement may be designed for monocular or binocular vision.)

13) J15 Special Restrictions − An applicant may have special restrictions

applied specifically to the vehicle the applicant is operating at the

time a road test is being administered by a facility examiner. These

special restrictions may apply only when the applicant is operating

that particular motor vehicle. This J15 restriction only applies to

variations of C, D or E restrictions. To remove a special restriction

or to operate another motor vehicle would require the applicant to be

administered another road test in the new vehicle.


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SECRETARY OF STATE


14) J16 Moped Only – Authorizes an applicant holding a Class L license to

operate a moped only.

15) J17 Authorizes a person holding a Class L or M license to operate a

motorcycle or motor driven cycle with rear wheel extensions while

maintaining a single front wheel.

16) J33 Driver authorized to operate a Class D vehicle using a non-standard

lens arrangement, pursuant to Section 1030.75, during nighttime

hours.

17) J50 Farm Waived Non-CDL Farm Vehicle Driver – FVD (Class A

truck/tractor, semi-trailer combination vehicles only) – Allows

farmers or a member of the farmer's family who is 21 years of age or

older and has completed all of the applicable exams (core,

combination, air brake, and all three parts of the skillsroad test) to

drive a farm waived non-CDL (Class A truck/tractor, semi-trailer

combination vehicles only) vehicle. Those eligible may operate the

truck/tractor semi-trailer to transport farm products, equipment or

supplies to or from a farm, if used within 150 air miles of the farm,

and not used in the operations of a common or contract carrier.

18) J51 Farm Waived Non-CDL Covered Farm Vehicle Driver – CFV

(Class A truck/tractor, semi-trailer combination vehicles only) –

Allows farmers, members of the farmer's family or employees of the

farmer who are 18 years of age or older driving intrastate or 21 years

of age or older driving interstate and has completed all of the

applicable exams (core, combination, air brake, and all three parts of

the skills test) to drive a farm waived non-CDL (Class A

truck/tractor, semi-trailer combination vehicles only) covered farm

vehicle. Those eligible may operate the truck/tractor, semi-trailer to

transport farm products, equipment or supplies to or from a farm, if

used within this State or interstate within 150 air miles of the farm,

and not used in the operations of a common or contract carrier. The

vehicle must be a covered farm vehicle as defined by law with

Illinois Farm plates.

1918) J60 Automatic Transmission − An automatic transmission restriction is

added when a driver is unable to operate a standard shift


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SECRETARY OF STATE


non-commercial vehicle due to the minimal use of one or both arms

and/or legs.

2019) J71 No Photo or Signature – out of state at renewal – license issued to

driver who is temporarily absent from State of Illinois at expiration

date of his/her driver's license.

2120) J72 No Photo or Signature – out of country at renewal – license issued to

driver who is temporarily residing outside the United States of

America at the expiration date of his/her driver's license.

2221) J73 No Photo or Signature – military or military dependent – license

issued at the expiration of the driver's license of the licensee, spouse

and dependent children who are living with the licensee while on

active duty serving in the Armed Forces of the United States outside

the State of Illinois.

2322) J74 Military deferral card issued at the expiration of the driver's license

to extend the expiration while in the military of the licensee, spouse

and dependent children who are living with the licensee while on

active duty serving in the Armed Forces of the United States outside

the State of Illinois.

2423) J75 No Photo or Signature – administrative approval license to driver

who having his/her photograph taken is against his/her religious

convictions or has a serious facial disfigurement.

2524) J88 Deaf/Hard of Hearing − requires alternative forms of

communication.

2625) J89 Aphasia – an impairment of language ability.

2726) J90 BAIID Only – requires the driver to operate only motor vehicles

equipped with a Breath Alcohol Ignition Interlock Device (BAIID).

2827) J99 Indicates more than two J restrictions have been placed on the

license.

j) A Type K restriction indicates the driver is authorized to operate a commercial


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SECRETARY OF STATE


motor vehicle intrastate only.

k) A Type L restriction indicates that the person is not authorized to operate vehicles

equipped with air brakes.

l) A Type M restriction indicates P endorsement only valid in a Class B or lesser

classification vehicle.

m) A Type N restriction indicates P endorsement only valid in a Class C or lesser

classification vehicle.

n) A Type O restriction prohibits a commercial motor vehicle driver from operating

a combination vehicle with a fifth wheel assembly as provided by 49 CFR

383.153(a)(10) (October 1, 2014).

o) A Type P restriction allows a commercial learner's permit holder to operate a

vehicle designed to carry passengers, without passengers aboard, exempting a

company trainer or State or federal examiner as provided by 49 CFR

383.153(b)(9) (October 1, 2014).

p) A type V restriction indicates FMCSA has granted a medical variance to operate a

CMV within the boundaries of the United States as provided by 49 CFR 391.41

(October 1, 2014).

q) A Type X restriction allows a commercial learner's permit holder to operate a tank

truck or tank truck tractor/trailer combination void of any type of liquid and/or

gaseous materials in the tank as provided by 49 CFR 383.153(b)(9) (October 1,

2014).

r) A Type Z restriction limits a commercial motor vehicle driver to operating a

commercial motor vehicle with air over hydraulic braking system as provided by

49 CFR 383.153(b)(10) (October 1, 2014).

s) An applicant who wants to appeal a type of restriction that has been added to a

driver's license, depending on the type of restriction, shall:

1) For Type B, C, D, F, G, J01, J60 or any other medical restriction that has

been added to the driver's license pursuant to the restrictions contained in

subsection (i), follow the manner prescribed by this Part.


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SECRETARY OF STATE


2) For any other types of restrictions that have been added to the driver's

license pursuant to this Section, appeal to the Department of

Administrative Hearings pursuant to IVC Section 2-118.

3) Further review of all restrictions shall be conducted by the courts pursuant

to the Administrative Review Law [735 ILCS 5/Art. III].



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SECRETARY OF STATE


1) Heading of the Part: Regulations Under Securities Law of 1953



130.493 New Section

130.494 New Section

4) Statutory Authority: Implementing and authorized by the Illinois Securities Law of 1953

[815 ILCS 5]




8) A copy of the adopted rulemaking including any material incorporated is on file in the

Agency's principal office and is available for public inspection.

9) Notice of Proposed published in the Illinois Register: 40 Ill. Reg. 441; January 15, 2016

and 40 Ill. Reg. 4835; March 18, 2016


11) Differences between Proposal and Final Version: No substantive changes made between

proposal and adoption. All technical changes recommended by JCAR were made.





15) Summary and Purpose of Rulemaking: The rulemaking sets forth requirements for

registration and use of internet portals for crowdfunding. These rules are based on the

Illinois exemption for crowdfunding which will take effect January 1, 2016, 815 ILCS

5/4(T). A similar federal rule addressing interstate crowdfunding is published at 17 CFR


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SECRETARY OF STATE


Parts 200, 232, 239, 240, 249, and 269). Numerous other states have enacted

crowdfunding legislation and regulation similar to that proposed in Illinois (see, e.g.,

Texas, Wisconsin, Indiana, Washington, Massachusetts).


Tanya Solov, Director

Illinois Secretary of State, Department of Securities

69 West Washington St., Suite 1220

Chicago IL 60602




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SECRETARY OF STATE


TITLE 14: COMMERCE

SUBTITLE A: REGULATION OF BUSINESS

CHAPTER I: SECRETARY OF STATE

PART 130

REGULATIONS UNDER ILLINOIS SECURITIES LAW OF 1953

SUBPART A: RULES OF GENERAL APPLICATION

Section

130.100 Business Hours of the Securities Department

130.101 Computation of Time

130.110 Payment of Fees

130.120 Place of Filing

130.130 Date of Filing

130.135 Registration of Securities under Section 5 or 7 of the Act Utilizing the SRD

130.140 Requirements as to Proper Form

130.141 Additional Information

130.142 Additional Exhibits (Repealed)

130.143 Information Unknown or Not Reasonably Available

130.144 Requirements as to Paper, Printing, and Language

130.145 Number of Copies – Signatures

130.190 Provisions for Granting of Variance from Rules

SUBPART B: DEFINITIONS

Section

130.200 Definitions of Terms Used in the Act and the Rules

130.201 Definition of the Term "Investment Contract", as Used in Section 2.1 of the Act

130.202 Definition of the Term "Fractional Undivided Interest", as Used in Section 2.1 of

the Act with Reference to Oil and/or Gas Leases, Rights or Royalties

130.205 Definition of the Term "Issuer" as Used in Section 2.2 of the Act as Applied to

Fractional Interests in Oil, Gas and Other Mineral Leases, Rights or Royalties

130.210 Definition of Act Not Constituting a "Sale" or "Offer" as Used in Section 2.5 or

2.5a of the Act

130.211 Definition of Acts Not Constitution an "Offer" of Securities under Section 5, 6, 7

or 8 of the Act

130.212 Definition of Acts Not Constituting an "Offer" Under Section 2.5a of the Act

(Testing the Waters)


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SECRETARY OF STATE


130.215 Definition of "Commission From an Underwriter or Dealer Not in Excess of the

Usual and Customary Distributors' or Sellers' Commissions", as Used in Section

2.6 of the Act for Certain Transactions

130.216 Definition of "Participates" and "Participation", as Used in Section 2.6 of the Act

in Relation to Certain Transactions

130.220 Definition of "Regularly Engaged in Securities Sales Activities", as Used in

Section 2.9 of the Act

130.221 Exclusion of Certain Persons from the Definition of Investment Adviser in

Section 2.11 of the Act

130.225 Definition of "Investment Fund Shares", as Used in Section 2.15 of the Act in

Relation to Certain Issuers

130.233 Definition of the Phrase "Promissory Note or Draft, Bill of Exchange or Bankers'

Acceptance" as Used in Section 3(L) of the Act

130.234 Definition, For Certain Purposes, of the Terms "Employee Security-Purchase

Plan", "Employee Profit-Sharing Trust or Plan", "Employee Pension Trust or

Plan", as Used in Section 3.N and Section 3.O of the Act (Repealed)

130.235 Definition, For Certain Purposes, of the Terms "Employee Profit-Sharing Trust or

Plan", "Employee Pension Trust or Plan", as Used in Section 3.O of the Act

(Repealed)

130.241 Definition of the Term "Institutional Investor" under Sections 4C and 4D of the

Act

130.242 Definition of the Term "Financial Institution" under Section 4.C of the Act

130.244 Definition of "Issuer Required to File Reports Pursuant to the Provisions of

Section 13 or Section 15(d) of the Federal 1934 Act" with Respect to Certain

Foreign Private Issuers and "Reports Required to be Filed at Regular Intervals

Pursuant to the Provisions of Section 13 or Section 15(d)", as Used in Section

4(F)(1) of the Act

130.245 Definition of the Terms "Balance Sheet" and "Income Statement", as Used in

Section 4.F of the Act

130.246 Definition of the Terms "Residents of this State", "Aggregate Sales Price" and

"Sales Made in Reliance Upon the Exemption" Under Section 4.G of the Act and

"General Advertising or General Solicitation" Under Sections 4.G, 4.H, 4.M and

4.R of the Act

130.247 Definition of the Term "Public" as Used in Section 4(G)(4) of the Act

130.248 Definition of the Terms "Offers for Sale" and "Solicitation of Offers to Buy", as

Used in Section 4.L of the Act

130.250 Definition, For Certain Purposes, of the Terms "Commissions, Remuneration or

Discounts", as Used in Section 4 and Section 5 of the Act

130.251 Definition of the Term "Maximum Aggregate Price", as Used in Section 5 of the


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SECRETARY OF STATE


Act

130.270 Definition of Certain Persons Not Considered to Be Dealers Under Section 2.7 of

the Act

130.280 Definition of the Term "Branch Office" of a Registered Dealer, as Used in Section

8 of the Act

130.281 Definition of the Term "Branch Office" of a Registered Investment Adviser, as

Used in Section 8 of the Act

130.282 Definition, For Certain Purposes, of the Term "Officers", as Used in Section 2.9

and Section 8.B.(6) of the Act

130.285 Definition, for Certain Purposes, of the Terms "Inequitable", "Tend to Work a

Fraud or Deceit", "Inequitable Practice in the Sale of Securities", and "Fraudulent

Business Practices", as Used in Section 8 and Section 11 of the Act

130.291 Definition of the Terms "Fraudulent" and "Work or Tend to Work a Fraud or

Deceit" as Used in Sections 11.E and 12.F of the Act for purposes of the Payment

of Completion Costs in Connection with the Offer or Sale of Securities involving

an Oil, Gas or Other Mineral Lease, Right or Royalty

SUBPART C: FEDERAL COVERED SECURITIES AND TRANSACTIONS

Section

130.293 Issuers of Covered Securities Required to File Notifications and Pay Fees and the

Refusal to File Notifications or Pay Fees

130.370 Automated Quotation System Deemed to Have Substantially Equivalent

Standards for Designation as Required By One or More Exchanges Set Forth in

Section 3(G) of the Act (Repealed)

SUBPART D: EXEMPT TRANSACTIONS

Section

130.420 Uniform Limited Offering Exemption Pursuant to Section 4.D of the Act

130.436 Procedures for Applying for Trading Authorization Pursuant to Section 4(F)(2) of

the Act

130.440 Procedures for Filing Reports of Sale under Section 4.G of the Act

130.441 Calculation of Number of Persons Under Section 4.G or 4.M of the Act

130.442 Report of Sale of Securities pursuant to Section 4.G of the Act

130.490 Procedures for Filing Reports of Sale under Section 4.P of the Act

130.491 Report of Sale of Securities Pursuant to Section 4(P) of the Act

130.492 Exemption from Registration for Certain Canadian Broker-Dealers and Agents

and for Transactions Effected by Certain Canadian Broker-Dealers


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SECRETARY OF STATE


130.493 Crowdfunding Pursuant to Section 4.T of the Act − Issuers

130.494 Crowdfunding Pursuant to Section 4.T of the Act – Internet Portals

SUBPART E: REGISTRATION OF SECURITIES

Section

130.501 Title of Securities

130.502 Financial Statement Requirements

130.503 Disclaimer of Control

130.505 Formal Requirements as to Consents

130.506 Consents Required in Special Cases

130.507 Application to Dispense with Consent

130.508 Consent to Use of Material Incorporated by Reference

130.510 Procedures for Registration of Securities by Coordination under Section 5.A of

the Act

130.520 Procedures for Registration of Securities by Qualification under Section 5.B of

the Act

130.525 Procedures for Registration of Securities by Qualification under Section 5.B(7) of

the Act, Small Company Offering Registration ("SCOR") on Form U-7

130.530 Renewal of Registration of Securities Under Section 5.E of the Act

130.531 Computation of Fees

130.532 Registration of Additional Securities Pursuant to Section 5(C)(2) of the Act

130.533 Formal Requirements for Amendments Under Section 5 of the Act

130.534 Powers to Amend or Withdraw Registration Statement

130.535 Signatures of Amendments

130.536 Delaying Amendments

130.538 Withdrawal of Registration Statement, Amendment or Exhibit Filed Under the

Federal 1933 Act

130.540 Procedure with Respect to Abandoning Registration Statements, Applications for

Trading Authorization and Post-Effective Amendments

130.550 Additional Fees Under Section 5 of the Act

130.570 Legibility of Prospectuses

130.571 Presentation of Information in Prospectuses

130.572 Summaries or Outlines of Documents

130.573 Preparation of Application for Registration

130.574 Incorporation of Certain Information by Reference

130.575 Form of and Limitation Upon Incorporation by Reference

130.576 Statement Required in Prospectuses

130.577 Prospectuses Supplementing Preliminary, Material Supplied Previously


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SECRETARY OF STATE


130.578 Application of Amendments to this Part Governing Contents of Prospectuses

130.581 Statement as to Stabilizing Required in Prospectuses Filed Under Section 5.B of

the Act

130.582 Contents of Prospectuses When Two or More Registrations Are in Effect Under

Section 5.B of the Act

130.590 Identifying Statements

130.591 Requirements as to Appraisals

130.592 Omission of Substantially Identical Documents

130.593 Incorporation of Exhibits by Reference

SUBPART F: FACE AMOUNT CERTIFICATE CONTRACTS

Section

130.600 Preamble

130.610 Procedures for Registration of Face Amount Certificate Contracts by

Coordination under Section 6.A of the Act

130.630 Renewal of Registration of Face Amount Certificate Contracts Under Section 6.F

of the Act


SUBPART G: INVESTMENT FUND SHARES

Section

130.700 Preamble

130.701 Title of Investment Fund Shares Registered Under Section 5 or 7 of the Act

130.710 Procedures for Registration of Investment Fund Shares by Coordination under

Section 7.A of the Act

130.715 Amendatory Statement for the Registration of Additional Class or Classes or the

Reporting of a Change in Organization or Operations Pursuant to Section 7(D) of

the Act

130.730 Renewal of Registration of Investment Fund Shares Under Section 7(G) of the

Act


130.771 Acts Which "Work or Tend to Work a Fraud or Deceit", in Connection with

Offers, Sales or Dispositions of Investment Fund Shares

SUBPART H: REGISTRATION OF DEALERS, SALESPERSONS, INVESTMENT

ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES


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SECRETARY OF STATE


Section

130.805 Exemptions From Registration as an Investment Adviser Under Section 8.A of the

Act

130.806 Acts Not Requiring a Notification Filing of a Federal Covered Investment

Adviser or Registration as an Investment Adviser or Investment Adviser

Representative Under Section 8 of the Act

130.810 Procedures for Registration as a Dealer Under Section 8.B of the Act

130.811 Procedures for Perfecting an Investment Adviser Exemption under Section

2.11(6) of the Act (Repealed)

130.820 Procedures for Renewal and Withdrawal from Registration as a Dealer

130.821 Reporting of Dealer Branch Office Locations and Required Fees

130.822 Examinations Deemed Satisfactory for Purposes of Determining Sufficient

Knowledge of Each Principal Under Section 8.B(9)(a) of the Act Prior to

Registration as a Dealer

130.823 Procedure for Requesting Waiver of Dealer, Salesperson, Investment Adviser,

Investment Adviser Representative, or Principal Examination Requirements

130.824 Financial Statements to be Filed by a Registered Dealer

130.825 Records Required of Dealers and Customer Fees

130.826 Registered Dealer Net Capital Requirements

130.827 Confirmations

130.828 Notice of Materially Adverse Financial Condition Required to Be Filed With the

Securities Department By a Registered Dealer

130.829 Investor Protection Requirement of a Dealer Registered Under Section 8 of the

Act

130.832 Examinations Deemed Satisfactory for Purposes of Determining Sufficient

Knowledge Under Section 8.C(7) of the Act for Registration as a Salesperson

130.836 Hardship Exemption

130.837 Transition to Electronic Filing

130.838 Procedures for Federal Covered Investment Adviser Notification Filing and Fees

Under Section 8.C-5 of the Act

130.839 Procedures for Registration as an Investment Adviser Representative Under

Section 8.D-5 of the Act

130.840 Procedures for Registration as an Investment Adviser Under Section 8.D of the

Act

130.841 Reporting of Investment Adviser Branch Office Locations and Required Fees

130.842 Examinations and Education Programs Deemed Satisfactory for Purposes of

Determining Sufficient Knowledge for Each Principal Under Section 8.D.(9) of

the Act Prior to Registration as an Investment Adviser

130.843 Examination and Education Program Requirements for Registration as an


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SECRETARY OF STATE


Investment Adviser Representative Under Section 8.D-5 of the Act

130.844 Statement of Financial Condition to Be Filed By a Registered Investment Adviser

Which Retains Custody of Client's Cash or Securities or Accepts Pre-Payment of

Fees in Excess of $500.00 Per Client and Six (6) or More Months in Advance and

Interim Financial Statements

130.845 Records Required of Investment Advisers

130.846 Written Disclosure Statements of a Registered Investment Adviser

130.847 Financial and Disciplinary Information That Investment Advisers Must Disclose

to Clients

130.848 Advertisements by Investment Advisers

130.849 Consumer Information Privacy Provisions

130.850 Account Transactions

130.851 Commission, Profit or Other Compensation

130.852 Compensation

130.853 Account Transactions

130.854 Use of the Term "Investment Counsel"

130.855 Use of Senior Certifications and Professional Designations


130.872 Procedures with Respect to Abandoned Dealer Applications

130.873 Procedures with Respect to Abandoned Investment Adviser Applications

SUBPART J: SERVICE OF PROCESS

Section

130.1001 Service of Process upon the Secretary of State

SUBPART K: PROCEDURES FOR ADMINISTRATIVE HEARINGS

Section

130.1100 Preamble

130.1101 Qualifications and Duties of the Hearing Officer

130.1102 Notice of Hearing

130.1103 Institution of a Contested Case by the Securities Department

130.1104 Requirement to File an Answer

130.1105 Amendment or Withdrawal of the Notice of Hearing

130.1106 Representation

130.1107 Special Appearance (Repealed)

130.1108 Substitution of Parties

130.1109 Failure to Appear


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SECRETARY OF STATE


130.1110 Motions

130.1111 Requirements Relating to Continuances

130.1112 Rules of Evidence

130.1113 Form of Papers

130.1114 Bill of Particulars (Repealed)

130.1115 Discovery

130.1116 Examination of Witnesses

130.1117 Subpoenas

130.1118 Pre-Hearing Conferences

130.1119 Record of a Pre-Hearing Conference

130.1120 Hearings

130.1121 Record of Proceedings

130.1122 Record of Hearing

130.1123 Orders

130.1124 Burden of Proof

130.1125 Stipulations

130.1126 Open Hearings

130.1127 Corrections to the Transcript

130.1128 Imposition of Fines

130.1129 Application for Hearing to Present Newly Discovered Evidence

130.1130 Failure to Comply With Order or Rules

130.1131 Application to Vacate an Order Issued Due to Default

130.1132 Disqualification of a Hearing Officer

SUBPART O: EVIDENTIARY MATTERS AND NON-BINDING STATEMENTS

Section

130.1520 Request for Non-Binding Statements

SUBPART P: SAVINGS PROVISIONS

Section

130.1661 Investors Syndicate of America, Inc.

130.1662 State Bond and Mortgage Company

SUBPART Q: PUBLIC INFORMATION

Section

130.1701 Inspection of Applications


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SECRETARY OF STATE


130.1702 Inspection of Dealer, Salesperson and Investment Adviser Records

130.1703 Non-Public Distribution of Information

130.APPENDIX A Uniform Consent to Service of Process

130.APPENDIX B Uniform Application to Register Securities

130.APPENDIX C Uniform Application for Broker-Dealer Registration

130.APPENDIX D Subordinated Loan Agreement for Equity Capital

AUTHORITY: Implementing and authorized by the Illinois Securities Law of 1953 [815 ILCS

5].

SOURCE: Filed February 23, 1977, effective March 5, 1977; amended at 5 Ill. Reg. 9139,

effective August 27, 1981; amended at 6 Ill. Reg. 6455, effective May 19, 1982; codified at 6 Ill.

Reg. 12674; emergency amendment at 7 Ill. Reg. 17427, effective December 31, 1983, for a

maximum of 150 days; emergency expired May 31, 1984; emergency amendment at 8 Ill. Reg.

1476, effective January 18, 1984, for a maximum of 150 days; emergency expired June 17, 1984;

emergency repealer at 8 Ill. Reg. 3803, effective March 14, 1984, for a maximum of 150 days;


July 19, 1984; emergency amendment at 8 Ill. Reg. 13889, effective July 20, 1984, for a

maximum of 150 days; emergency expired December 17, 1984; amended at 9 Ill. Reg. 208,

effective December 20, 1984; emergency amendment at 10 Ill. Reg. 393, effective January 1,

1986, for a maximum of 150 days; emergency expired May 30, 1986; amended at 10 Ill. Reg.

10753, effective June 3, 1986; recodified at 10 Ill. Reg. 19554; emergency amendment at 13 Ill.

Reg. 11017, effective July 1, 1989, for a maximum of 150 days; emergency expired November

28, 1989; amended at 14 Ill. Reg. 884, effective December 30, 1989; amended at 14 Ill. Reg.

5188, effective March 26, 1990; emergency amendment at 15 Ill. Reg. 14303, effective

November 1, 1991, for a maximum of 150 days; amended at 16 Ill. Reg. 6000, effective March

27, 1992; amended at 20 Ill. Reg. 14185, effective October 21, 1996; amended at 21 Ill. Reg.

7523, effective May 23, 1997; amended at 21 Ill. Reg. 7770, effective May 23, 1997; amended at

21 Ill. Reg. 8415, effective June 20, 1997; emergency amendment at 21 Ill. Reg. 9828, effective

July 8, 1997, for a maximum of 150 days; amended at 21 Ill. Reg. 15892, effective December 1,

1997; amended at 22 Ill. Reg. 1933, effective January 1, 1998; emergency amendment at 24 Ill.

Reg. 341, effective December 31, 1999, for a maximum of 150 days; amended at 24 Ill. Reg.

7401, effective May 1, 2000; emergency amendment at 25 Ill. Reg. 973, effective January 1,

2001, for a maximum of 150 days; emergency expired May 30, 2001; amended at 25 Ill. Reg.

8817, effective July 6, 2001; amended at 26 Ill. Reg. 14843, effective September 30, 2002;

amended at 27 Ill. Reg. 9490, effective June 9, 2003; emergency amendment at 29 Ill. Reg.

15087, effective September 23, 2005, for a maximum of 150 days; emergency expired February

19, 2006; emergency amendment at 30 Ill. Reg. 13009, effective July 11, 2006, for a maximum


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SECRETARY OF STATE


of 150 days; amended at 30 Ill. Reg. 18211, effective October 31, 2006; amended at 33 Ill. Reg.

12817, effective September 8, 2009; amended at 34 Ill. Reg. 17783, effective November 3, 2010;

emergency amendment at 35 Ill. Reg. 4781, effective March 10, 2011, for a maximum of 150

days; amended at 35 Ill. Reg. 12810, effective July 14, 2011; amended at 36 Ill. Reg. 2852,

effective February 8, 2012; amended at 40 Ill. Reg. 391, effective December 22, 2015; amended

at 41 Ill. Reg. 451, effective December 28, 2016.

SUBPART D: EXEMPT TRANSACTIONS

Section 130.493 Crowdfunding Pursuant to Section 4.T of the Act − Issuers

a) Duties of the Issuer

For purposes of this Section, "investor" means a purchaser or prospective

purchaser, and "internet portal" means a registered internet portal as defined in

Section 8d(b) of the Act and required by Section 4.T of the Act and Section

130.494 of this Part.

1) Filing Requirements and Forms

A) Notice Filing. The issuer shall file a notice on Form CF

(Crowdfunding Issuer Form) with the Secretary of State not less

than 15 days before the earlier of the first offer or sale of securities

or the use of any general solicitation with respect to the offering.

The Form CF must include the offering statement and all required

information and documentation specified on the form.

B) Annual Renewal. The notice filed pursuant to this subsection

(a)(1) shall be effective for up to 12 months, subject to annual

renewal. The annual renewal shall be filed on Form CF within 30

days before the expiration of the original filing, and shall include a

sales report indicating the number of investors in the offering and

the number of, and value of, securities sold.

C) Termination of Offering. The issuer shall file Form CF-T with the

Secretary of State, and provide a copy to the relevant internet

portal, no later than 15 days after the termination of the offering.

Termination shall include those offering that are completed for

purposes of this exemption.


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SECRETARY OF STATE


D) Filing Fees. The filing of Form CF, including the filing of a

renewal Form CF and an amended Form CF, shall include the

payment of the filing fee of $100 required by Section 18.1 of the

Act.

E) Review of Filing. If, upon review of the Form CF, the Secretary of

State determines that the form is incomplete, or that the offering

should not be permitted, the Secretary of State shall notify the

issuer (and the broker, dealer or internet portal if applicable) on or

before the initial commencement date of the offering. Absent that

notification, the offering is deemed permitted. Nothing in this Part

limits the authority of the Secretary of State to investigate, issue

orders or enforce any provisions of the Act or rules thereunder

with regard to the filing of Form CF and the subject offering.

2) Escrow Agreements and Accounts

A) The issuer shall enter into an escrow agreement with a qualified

escrowee, providing that, at a minimum:

i) all funds to be received in connection with the proposed

offering shall be delivered to, and held by, the qualified

escrowee pursuant to the terms of the escrow agreement;

and

ii) the issuer shall not have access to the escrow funds, or any

portion of those funds, until the aggregate funds received

by the qualified escrowee in connection with the proposed

offering equal or exceed the minimum amount of securities

to be sold as established by the issuer.

B) Investors shall receive a return of the entirety of their investment

funds if the target offering amount is not raised by the deadline

date established in the offering materials.

3) Required Disclosures. In additional to all other material disclosures that

are required by law or rules, the issuer must disclose the following to

investors:


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SECRETARY OF STATE


A) Offering Maximum and Minimum Amounts. The issuer shall

establish a maximum amount and a minimum amount of securities

to be sold and a deadline date for selling the designated minimum

amount of securities. This information shall be conspicuously

disclosed in any agreement evidencing the investor's subscription

agreement to purchase the securities. The minimum amount

designated for sale shall be no less than 50% of the maximum

amount.

B) Cancellation Rights. An investor may cancel, without penalty, an

investment commitment until 5 business days after making the

commitment. The issuer shall conspicuously disclose in the

investor's subscription agreement this right of cancellation. Upon

receipt of the notice after cancellation, the intermediary shall direct

the refund of investor funds within 5 business days.

4) General Announcement of Offering. The issuer, through an internet portal

or otherwise, may distribute a general announcement preceding the

general solicitation or offering that is limited to the following information:

a statement that the issuer is conducting an offering in reliance on Section

4T of the Act; the legal identity, business location and website of the

issuer; the name and web address (or internet link) of the registered

internet portal, broker, funding portal or dealer handling the offering; the

maximum and minimum amount of the offering; a one sentence

description of the business of the issuer; the telephone number or email

address of the representative of the issuer and a statement noting that only

Illinois residents are eligible to participate in the offering. An issuer, or

person acting on behalf of the issuer, may communicate with investors and

potential investors about the terms of the offering through communication

channels provided by the internet portal, provided that the issuer identifies

itself as the issuer in all communications. Persons acting on behalf of the

issuer must identify their affiliation with the issuer in all communications.

The issuer (and to the extent an internet portal is used, that internet portal)

shall take reasonable measures to limit access to any information

concerning the offer or sale of the subject securities to residents of Illinois.

5) Early Completion of Offering. If an issuer reaches the maximum offering

amount prior to the deadline identified in its offering materials, the issuer

may close the offering on a date earlier than the deadline identified in its

offering materials.


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SECRETARY OF STATE


6) Material Changes of the Offering. If there is a material change to the terms

of the offering or to the information provided by the issuer, the issuer must

provide notice of the material changes to the Secretary of State, the

relevant internet portal and the investors (communication to investors may

occur through the internet portal).

7) Return of Funds if Offering is Not Completed. If an issuer does not

complete an offering, the internet portal must, within 5 business days:

A) Notify each investor of the cancellation, disclosing the reason for

the cancellation and the amount of funds that the investor is

expected to receive;

B) Direct the refund of investor funds;

C) Prevent investors from making investment commitments with

respect to that offering on the issuer's internet platform.

8) Investor Qualification

A) Each time before accepting any investment commitment (including

any additional investment commitment from the same person), an

issuer must have a reasonable basis for believing that the investor

satisfies the requirements of Section 4.T of the Act and this

Section.

B) The issuer may rely on an investor's representations regarding

compliance with the investment limitation requirements

concerning the investor's annual income and net worth, and the

amount of the investor's other investments made pursuant to

Section 4.T of the Act, unless the issuer has reason to question the

reliability of the representation. The issuer may obtain the required

investor affirmations through the internet portal.

C) The issuer may establish Illinois residency by relying on:

i) a valid Illinois driver's license or official personal

identification card issued by the Illinois Secretary of State;


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SECRETARY OF STATE


ii) a current Illinois voter registration; or

iii) general property tax records showing the investor owns and

occupies property in Illinois as his or her principal

residence.

9) Financial Disclosures. The issuer shall provide at least annually to each

purchaser, free of charge, financial statements of the issuer, which shall be

audited or reviewed by a public accountant that is independent of the

issuer. If audited statements or reviewed statements are not available, the

issuer shall provide financial statements that are certified by the principal

executive officer of the issuer attesting that the financials are fair,

complete and accurate. Financial statements shall include blanace sheets,

statements of comprehensive income, statements of cash flows, statements

of changes in stockholders' equity and notes to the financial statements.

The issuer or internet portal shall inform investors when the information

becomes available and shall make the information accessible to investors

through the issuer's or internet portal's website. The financial statements

shall be available no later than 120 days after the end of each fiscal year,

and shall remain available until the succeeding financial statements until

the earlier of:

A) the date the issuer liquidates or dissolves (other than by

administrative dissolution) in accordance with applicable law;

B) the date the issuer, or another party, purchases or repurchases all of

the securities issued by the issuer under Section 4T of the Act,

including any payment in full of debt securities or any complete

redemption of redeemable securities.

b) Disqualifications. No exemption under Section 4.T of the Act and this Section

shall be available for a sale of securities if the issuer, any predecessor of the

issuer, any affiliated issuer, any director, officer, general partner or managing

member of the issuer, any beneficial owner of 20% or more of the issuer's

outstanding voting equity securities, calculated on the basis of voting power, any

promoter connected with the issuer in any capacity at the time of the sale, any

person that has been or will be paid (directly or indirectly) remuneration for


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SECRETARY OF STATE


solicitation of purchasers in connection with the sales of securities, or any general

partner, director, officer or managing member of any such solicitor:

1) Is or has been subject to any of the statutory disqualification provisions set

forth in Section 8.E(1) of the Illinois Securities Act; or

2) Has filed a registration statement within the last 5 years that is the subject

of a currently effective registration stop order entered by any state

securities administrator or the U.S. Securities and Exchange Commission.

(Source: Added at 41 Ill. Reg. 451, effective December 28, 2016)

Section 130.494 Crowdfunding Pursuant to Section 4.T of the Act – Internet Portals

a) Definition. "Internet portal" has the meaning ascribed in Section 2.36 of the Act.

Additionally, in this Section, when the context so indicates, the term "internet

portal" also means the entity maintaining the internet portal.

b) Internet Portals. Internet portals serving as platforms for crowdfunding activity as

described in Section 4.T of the Act must be registered with the Secretary of State.

Brokers registered under the Securities Exchange Act of 1934, or registered as

funding portals under the Securities Act of 1933, or registered as dealers with the

Secretary of State, are exempt from registering as internet portals under this

subsection (b)(1), but are subject to all other provisions of this Section.

1) Filing Requirements, Forms and Fees

A) Internet portals shall file Form IP with the Secretary of State in

accordance with the instructions on the form. The registration shall

be effective for one year.

B) The Form IP, including a renewal application or amended form,

shall be accompanied by all relevant documentation required by

the form and a filing fee of $300, as required by Section 18.1 of the

Act.

C) Annual renewal applications shall be filed within 30 days prior to

the expiration of the one year registration period by filing Form IP.


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SECRETARY OF STATE


D) Amendments or modifications to Form IP shall be filed within 10

days after any information previously submitted on Form IP

becoming inaccurate.

E) Withdrawals of registration shall be filed promptly on Form IP-W,

in accordance with the instructions on the form, upon ceasing to

operate as a funding portal. Withdrawal will be effective on the

later of 30 days after receipt of Form IP-W by the Secretary of

State (after the internet portal is no longer operational), or by a

later date to which the internet portal consents, or by a later date

the Secretary of State, by order, may determine based on the public

interest or the protection of investors. If a Secretary of State

proceeding is pending pursuant to Section 11 of the Act when the

application is filed or a proceeding is instituted within 30 days

after the application is filed, withdrawal becomes effective at the

time and upon the conditions the Secretary of State, by order,

determines, based on the public interest and protection of

investors. The Secretary of State may deny the withdrawal

application if the internet portal's registration is revoked or

canceled by the Secretary of State.

2) The internet portal shall make and preserve the records listed in this

subsection (b)(2) for 5 years, the first 2 years in an easily accessible place.

A) Records that shall be maintained are:

i) All records related to any investor who purchases or

attempts to purchase securities through the internet portal;

ii) All records related to issuers who offer and sell or attempt

to offer and sell securities through the internet portal and

the control persons of those issuers;

iii) Records of all communications that occur on or through the

internet portal's platform;

iv) All records required to demonstrate compliance with the

Act and this Part;


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SECRETARY OF STATE


v) All notices provided to issuers and investors through the

platform or otherwise;

vi) All written agreements (or copies of those agreements)

entered into by the internet portal relating to its business as

an internet portal;

vii) Summaries of transactions effected through the internet

portal;

viii) A log reflecting the progress of each issuer offering,

including total dollar amounts raised toward meeting the

target offering amount;

ix) Organizational documents and such other documents as are

relevant to the business of the internet portal.

B) The records required pursuant to this subsection (b)(2) may be

prepared and maintained by a third party on behalf of the internet

portal.

3) Communication Channels. An internet portal must provide on its platform

communication channels by which persons can communicate with one

another and with representatives of the issuer about offerings made

available on the internet portal's platform, provided:

A) The internet portal does not participate in these communications

other than to establish guidelines for communication and remove

abusive or potentially fraudulent communications;

B) The internet portal permits access to view the discussions made in

the communication channels to those investors and potential

investors who have opened an account with the internet portal and

have been vetted as eligible investors;

C) The internet portal restricts posting of comments in the

communication channels to those persons who have opened an

account with the internet portal on its platform; and


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SECRETARY OF STATE


D) The internet portal requires that any person posting a comment in

the communication channels clearly and prominently disclose with

each posting his or her full name and whether he or she is a

founder or an employee of an issuer engaging in promotional

activities on behalf of the issuer, or is otherwise compensated,

whether in the past or prospectively, to promote the issuer's

offering.

4) Notice of Investment Commitment. An internet portal must promptly,

upon receipt of an investment commitment from an investor, give or send

to the investor a notification disclosing:

A) the dollar amount of the commitment;

B) the price and amount of the securities, if known;

C) the name of the issuer; and

D) the date and time by which the investor may cancel the investment

commitment.

5) Confirmation of Transaction. An internet portal must, at or before the

completion of a transaction in a security in reliance on Section 4.T of the

Act, provide to each investor a notification disclosing:

A) the date of the transaction;

B) the type of security the investor is purchasing;

C) the identity, price and number of securities purchased by the

investor;

D) the number of securities sold by the issuer in the transaction and

the prices at which the securities were sold;

E) if a debt security, the interest rate and the yield to maturity

calculated from the price paid and the maturity date;


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SECRETARY OF STATE


F) if a callable security, the first date the security can be called by the

issuer; and

G) the manner, including the source and form, in which the internet

portal is compensated in connection with offerings and sales of

securities.

c) Payments to Third Parties. An internet portal may not compensate any person for

providing the internet portal with the personally identifiable information of any

investor or potential investor in securities offered or sold in reliance on Section

4.T of the Act.

d) The internet portal shall establish and maintain reasonable measures to limit

access to any information concerning an offer or sale of the subject securities

(other than the information of the type permitted in connection with a general

announcement by the issuer pursuant to the Act and Section 130.493) to only

residents of Illinois.

e) The internet portal shall have a reasonable basis for believing that an issuer

seeking to offer and sell securities through its portal complies with the provisions

of Section 4.T of the Act and Section 130.493. In satisfying the requirement, the

portal shall:

1) Conduct reasonable due diligence, including a validation of the issuer's

status and a review of the offering documents and such other

documentation as necessary to ensure compliance with the Act and

Section 130.493;

2) Validate the existence of the required escrow agreement;

3) Complete the due diligence review for each offering to be posted on the

internet portal prior to allowing the offering to be posted; and

4) Maintain and preserve all material documents reviewed by the internet

portal in connection with its due diligence review.

f) The internet portal shall deny access to its platform to an issuer if the portal has a

reasonable basis for believing that the issuer or the offering presents the potential

for fraud or otherwise raises investor protection concerns.


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SECRETARY OF STATE


g) Any director, officer or partner of an internet portal, or any person occupying a

similar status or performing a similar function, may not have a financial interest in

an issuer that is offering or selling securities in reliance on Section 4.T of the Act

through its portal, nor receive a financial interest in the issuer as compensation for

the services provided to the issuer in connection with the offer of sale of the

securities. An internet portal may not have a financial interest in an issue that is

offering or selling securities in reliance on Section 4.T of the Act through the

internet portant unless:

1) the internet portal receives the financial interest from the issuer as

compensation for the services provided to, or for the benefit of, the issuer

in connection with the offer or sale of the securities being offered or sold

in reliance on Section 4.T of the Act through the internet portal's platform;

and

2) the financial interest consists of securities with the right of distribution or

payment that is equal or junior to the priority and rights of the investors in

the offering.

h) An internet portal may waive its compensation and fees in the case of a failed

offering. Notwithstanding the waiver, all provisions of the Act and this Part shall

apply, except that the waiver shall not be considered a success-based fee structure.

(Source: Added at 41 Ill. Reg. 451, effective December 28, 2016)


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SECRETARY OF STATE


1) Heading of the Part: Procedures and Standards



1001.410 Amendment

1001.442 Amendment

1001.444 Amendment

4) Statutory Authority: Subpart A implements Sections 2-113, 2-118, 6-108, 6-205, and 6-

206 and is authorized by Sections 2-103 and 2-104 of the Illinois Vehicle Code [625

ILCS 5/2-103, 2-104, 2-113, 2-118, 6-108, 6-205 and 6-206]. Subpart B implements

Chapter 7 and is authorized by Sections 2-103, 2-104, 2-106, 2-107, 2-108, 2-113, and 2-

114, and Ch. 7 of the Illinois Vehicle Code [625 ILCS 5/2-103, 2-104, 2-106, 2-107, 2-

108, 2-113, 2-114 and Ch. 7]. Subpart C implements Sections 6-205(c) and 6-206(c)3 and

is authorized by Sections 2-103 and 2-104 of the Illinois Vehicle Code [625 ILCS 5/2-

103, 2-104, 6-205(c) and 6-206(c)3]. Subpart D is authorized by Sections 2-104 and 11-

501 of the Illinois Vehicle Code and implementing Sections 6-103, 6-205(c), 6-206(c)3,

and 6-208 of the Illinois Vehicle Code [625 ILCS 5/2-104, 6-103, 6-205(c), 6-206(c)3, 6-

208 and 11-501]. Subpart E implements Sections 2-113, 2-118, 2-123, 6-103, 6-201, 6-

906, and 6-908 and is authorized by Sections 2-103, 2-104, 6-906, and 6-909 of the

Illinois Vehicle Code [625 ILCS 5/2-103, 2-104, 2-113, 2-118, 2-123, 6-103, 6-201, 6-

906, 6-908 and 6-909]. Subpart F implements Sections 2-113, 2-118, 6-208.2, 11-501.1,

and 11-501.8 and is authorized by Sections 2-103, 2-104, and 11-501.8 of the Illinois

Vehicle Code [625 ILCS 5/2-103, 2-104, 2-113, 2-118, 6-208.2, 11-501.1 and 11-501.8].

Subpart G implements and is authorized by the Motor Vehicle Franchise Act [815 ILCS

710]




8) A copy of the adopted rules including any material incorporated is on file in the Agency's

principal office and is available for public inspection.

9) Notice of Proposed published in the Illinois Register: 40 Ill. Reg. 11136; August 19,

2016


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SECRETARY OF STATE



11) Differences between Proposal and Final Version: One substantive change was made

between proposal and adoption. Section 1001.410 was included with the purpose of

adding the definition of "Certified Transcript". All technical changes recommended by

JCAR were made.





15) Summary and Purpose of Rulemaking: This rulemaking sets forth an earlier deadline

(September) for BAIID providers to submit their renewal application, requires providers

to have online access to images taken by a BAIID, requires submission of a certificate of

good standing, limits the number of field tests to three, clarifies providers responsibilities

to seek reimbursement for providing services to indigent offenders, requires offenders

seeking to submit a tax return as evidence of indigency to submit a transcript of the return

and eliminates an out-dated provision requiring an opt-out form to be filed with the court.


Brenda Glahn

Legal Advisor

298 Howlett Building


217/785-3094




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SECRETARY OF STATE


TITLE 92: TRANSPORTATION

CHAPTER II: SECRETARY OF STATE

PART 1001

PROCEDURES AND STANDARDS

SUBPART A: FORMAL ADMINISTRATIVE HEARINGS

Section

1001.10 Applicability

1001.20 Definitions

1001.30 Right to Counsel

1001.40 Appearance of Attorney

1001.50 Special Appearance

1001.60 Substitution of Parties

1001.70 Commencement of Actions; Notice of Hearing

1001.80 Motions

1001.90 Form of Papers − Original Documents Required

1001.100 Conduct of Formal Hearings

1001.110 Orders; Notification; Time Limits on Obtaining Relief

1001.120 Record of Hearings

1001.130 Invalidity

SUBPART B: ILLINOIS SAFETY RESPONSIBILITY HEARINGS

Section



1001.220 Hearings: Notice; Location; Procedures; Record

1001.230 Rules of Evidence

1001.240 Scope of Hearings

1001.250 Decisions and Orders

1001.260 Rehearings

1001.270 Judicial Review

1001.280 Invalidity

SUBPART C: RULES ON THE CONDUCT OF INFORMAL HEARINGS IN

DRIVER'S LICENSE SUSPENSIONS AND REVOCATIONS


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SECRETARY OF STATE


Section



1001.320 Right to Representation

1001.330 Record and Reports

1001.340 Location of Hearings

1001.350 Duties and Responsibilities

1001.360 Decisions; Time Limits on Obtaining Relief

1001.370 Invalidity

SUBPART D: STANDARDS FOR THE GRANTING OF RESTRICTED DRIVING

PERMITS, REINSTATEMENT, AND THE TERMINATION OF CANCELLATIONS OF

DRIVING PRIVILEGES BY THE OFFICE OF THE SECRETARY OF STATE

Section

1001.400 Applicability; Statement of Principle and Purpose


1001.420 General Provisions Relating to the Issuance of Restricted Driving Permits

1001.430 General Provisions for Reinstatement of Driving Privileges after Revocation

1001.440 Provisions for Alcohol and Drug Related Revocations, Suspensions, and

Cancellations

1001.441 Procedures for Breath Alcohol Ignition Interlock Device Conditioned RDPs

1001.442 BAIID Provider Certification Procedures and Responsibilities; Certification of

BAIIDs; Inspections; BAIID Installer's Responsibilities; Decertification of a

BAIID Provider

1001.443 Breath Alcohol Ignition Interlock Device Multiple Offender – Compliance with

Interlock Program

1001.444 Monitoring Device Driving Permit (MDDP) Provisions

1001.450 New Hearings

1001.460 Requests for Modification of Revocations and Suspensions

1001.465 Cancellation of Driving Privileges; Hearing to Contest and Show Cause Hearing

1001.470 Renewal, Correction and Cancellation of RDPs

1001.480 Unsatisfied Judgment Suspensions

1001.485 Reinstatement Application Based Upon Issuance of Drivers License in a State

Which is a Member of the Driver License Compact

1001.490 Invalidity

SUBPART E: FORMAL MEDICAL HEARINGS


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SECRETARY OF STATE


Section



1001.520 Procedure

1001.530 Conduct of Medical Formal Hearings

1001.540 Subsequent Hearings

SUBPART F: ZERO TOLERANCE SUSPENSION OF DRIVING PRIVILEGES;

PERSONS UNDER THE AGE OF 21 YEARS; IMPLIED CONSENT

HEARINGS; RESTRICTED DRIVING PERMITS

Section



1001.620 Burden of Proof

1001.630 Implied Consent Hearings; Religious Exception

1001.640 Implied Consent Hearings; Medical Exception

1001.650 Rebuttable Presumption

1001.660 Alcohol and Drug Education and Awareness Program

1001.670 Petitions for Restricted Driving Permits

1001.680 Form and Location of Hearings

1001.690 Invalidity

SUBPART G: MOTOR VEHICLE FRANCHISE ACT

Section



1001.720 Organization of Motor Vehicle Review Board

1001.730 Motor Vehicle Review Board Meetings

1001.740 Board Fees

1001.750 Notice of Protest

1001.760 Hearing Procedures

1001.770 Conduct of Protest Hearing

1001.780 Mandatory Settlement Conference

1001.785 Technical Issues

1001.790 Hearing Expenses; Attorney's Fees

1001.795 Invalidity


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SECRETARY OF STATE


1001.APPENDIX A BAIID Regions and Minimum Installation/Service Center Site Location

Guidelines (Repealed)

AUTHORITY: Authorized by Section 2-104 and 11-501 of the Illinois Vehicle Code and

implementing Sections 6-103, 6-205(c), 6-206(c)(3) and 6-208 of the Illinois Vehicle Code [625

ILCS 5].

SOURCE: Adopted and codified at 7 Ill. Reg. 7501, effective June 17, 1983; amended at 8 Ill.

Reg. 4220, effective April 1, 1984; emergency amendment at 9 Ill. Reg. 17030, effective October

18, 1985, for a maximum of 150 days; amended at 10 Ill. Reg. 4558, effective March 18, 1986;


effective October 1, 1989; amended at 14 Ill. Reg. 2601, effective February 15, 1990; amended

at 14 Ill. Reg. 16041, effective October 1, 1990; emergency amendment at 16 Ill. Reg. 19926,

effective December 8, 1992, for a maximum of 150 days; emergency amendment at 17 Ill. Reg.

2047, effective January 27, 1993, for a maximum of 150 days; amended at 17 Ill. Reg. 6274,

effective May 1, 1993; amended at 17 Ill. Reg. 8528, effective June 1, 1993; emergency

amendment at 18 Ill. Reg. 7916, effective May 10, 1994, for a maximum of 150 days; amended

at 18 Ill. Reg. 15127, effective September 21, 1994; emergency amendment at 19 Ill. Reg. 54,


May 1, 1995; emergency amendment at 20 Ill. Reg. 1626, effective January 15, 1996, for a

maximum of 150 days; amended at 20 Ill. Reg. 8328, effective June 12, 1996; emergency


20 Ill. Reg. 15773, effective November 28, 1996; amended at 23 Ill. Reg. 692, effective January

15, 1999; amended at 24 Ill. Reg. 19257, effective December 15, 2000; expedited correction at

25 Ill. Reg. 7352, effective December 15, 2000; emergency amendment at 25 Ill. Reg. 13790,

effective October 15, 2001, for a maximum of 150 days; emergency expired on March 13, 2002;

emergency amendment at 25 Ill. Reg. 14979, effective November 9, 2001, for a maximum of 150

days; emergency expired on April 7, 2002; amended at 26 Ill. Reg. 9380, effective June 13,

2002; amended at 26 Ill. Reg.13347, effective August 21, 2002, for a maximum of 150 days;


150 days; emergency expired on February 16, 2003; amended at 27 Ill. Reg. 5969, effective

March 31, 2003; amended at 27 Ill. Reg. 13577, effective August 1, 2003; amended at 28 Ill.

Reg. 12123, effective September 1, 2004; amended at 28 Ill. Reg. 15804, effective November 19,

2004; amended at 31 Ill. Reg. 6185, effective May 1, 2007; amended at 31 Ill. Reg. 14837,

effective November 1, 2007; amended at 33 Ill. Reg. 282, effective January 1, 2009; emergency

amendment at 35 Ill. Reg. 3848, effective February 15, 2011, for a maximum of 150 days;


April 30, 2012; amended at 37 Ill. Reg. 5844, effective April 19, 2013; amended at 39 Ill. Reg.

2718, effective February 6, 2015; amended at 40 Ill. Reg. 834, effective December 31, 2015;


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SECRETARY OF STATE



December 28, 2016.

SUBPART D: STANDARDS FOR THE GRANTING OF RESTRICTED DRIVING

PERMITS, REINSTATEMENT, AND THE TERMINATION OF CANCELLATIONS OF

DRIVING PRIVILEGES BY THE OFFICE OF THE SECRETARY OF STATE


"Abstinence" means to refrain from consuming any type of alcohol, from any

source, or other drugs.

"Abstract" means a summary of a driver's record of traffic law violations,

accidents, suspensions, revocations, cancellations, address and personal

information of the driver, as contained in the files of the Office of the Secretary of

State.

"Accredited educational course" means any class or course of instruction offered

by an accredited educational institution that is either vocational in nature or is part

of the matriculation process in receiving an academic degree, diploma, or

certificate. It shall also include attendance at any required instructional class in an

apprentice program and at functions and activities required to maintain the

student's status as a currently enrolled student or to fulfill the requirements of a

scholarship.

"Accredited educational institution" means any school or institution, whether

public or private, that offers classes or courses of instruction, and that is reviewed

and approved or granted a waiver of approval by the controlling State agency.

"Alcohol" means ethanol, commonly referred to as ethyl alcohol.

"Alcohol and drug evaluation (Investigative)" means a printed report that

conforms to standards established by the Department, as specified in Section

1001.440(a)(6)(D). The evaluation must be completed on a form prescribed by

the Department. This evaluation will be conducted as required pursuant to

Sections 1001.420(1) and 1001.430(d), when:

the current loss of driving privileges is not related to a DUI

arrest/disposition yet:


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SECRETARY OF STATE


the petitioner's/respondent's driving record contains, or other

evidence indicates the existence of, a prior DUI disposition or any

other conviction or loss of driving privileges that was alcohol/drug

related within the last 5 years (as of the date of the hearing) for

which the petitioner/respondent did not or was not required to

submit to the Secretary an alcohol/drug evaluation to obtain

driving privileges;

there is credible evidence that the petitioner had any arrest or

implied consent suspension for boating or snowmobiling under the

influence within the last 5 years (as of the date of the hearing);

the petitioner has an alcohol/drug-related criminal conviction

within the last 5 years (as of the date of the hearing), as defined in

this Section; or

the facts of the current loss of driving privileges indicate the use or

potential use of alcoholic beverages or other drugs at a time when

the offender was under the age of 21 years and within the last 5

years (as of the date of the hearing); or

there is evidence that the petitioner/respondent may be a user of alcohol or

any other drug to a degree that renders that person incapable of safely

driving a motor vehicle. (See IVC Section 6-103.4.)

"Alcohol and drug evaluation (Out-of-state)" means a printed report that conforms

to standards established by the Department, as specified in Section

1001.440(a)(6)(C).

"Alcohol and drug evaluation (Uniform Report)" means a printed report that

conforms to standards established by the Illinois Department of Human Services,

Division of Alcoholism and Substance Abuse (DASA). (See 77 Ill. Adm. Code

2060.503.) The evaluation must be completed on a form prescribed by DASA.

The evaluation must be signed and dated by both the evaluator and the petitioner.

"Alcohol and drug evaluation (Update)" means a printed report that updates a

Uniform Report or Investigative Evaluation and conforms to standards established

by the Department, as specified in Section 1001.440(a)(6)(B). The evaluation


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SECRETARY OF STATE


must be completed on a form prescribed by the Department. The update

evaluation must be completed by a program in accordance with the provisions of

Section 1001.440(a)(6)(A).

"Alcohol and drug related driver risk education course" means an educational

program concerning the effects of alcohol/drugs on drivers of motor vehicles, also

referred to as a DUI driver remedial program, that conforms to the standards

established by DASA. (See 77 Ill. Adm. Code 2060.505.)

"Alcohol/drug-related criminal conviction" means a petitioner's or respondent's

record of being found guilty of violating the Cannabis Control Act [720 ILCS

550], Illinois Controlled Substances Act [720 ILCS 570], or Methamphetamine

Control and Community Protection Act [770 ILCS 646], or being found guilty of

the commission of a misdemeanor or felony offense while under the influence of,

or impaired by the use of, alcohol or other drugs, or the facts of the offense

indicate that it was committed for the purpose of obtaining alcohol or other drugs.

"Alcohol setpoint" means the minimum or nominal BrAC (0.025) at which a

device is set to lock a vehicle's ignition.

"BAC" means blood alcohol concentration as determined by a chemical test

administered by police authorities or medical personnel to measure the

concentration of alcohol in the bloodstream.

"BAIID permittee" means a BAIID petitioner who has been issued an RDP as a

result of a hearing.

"BAIID multiple offender " means anyone who is required to install an interlock

device on all vehicles he or she owns and operates, pursuant to IVC Section 6-

205(h), and who, therefore, is also required to drive on a BAIID permit for 5

years, pursuant to IVC Section 6-205(h), 6-208 or 11-501.01(e). Any petitioner

whose current or most recent suspension or revocation is for an offense or

offenses that are not alcohol/drug-related, and whose alcohol/drug use was the

topic of previous hearings that resulted in a finding that the petitioner's

alcohol/drug problem had been resolved and who, therefore, previously fulfilled

the requirements of Sections 6-205(h) and 11-501(i), is not a BAIID multiple

offender.

"BAIID petitioner" means anyone who, if issued a restricted driving permit, may


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SECRETARY OF STATE


not operate a motor vehicle unless it has been equipped with an interlock device

as defined in this Section, as required by the IVC or this Part.

"BAIID provider" means an entity authorized by the Secretary to contract with

BAIID permittees and MDDP offenders and distribute, supply, install, maintain

and monitor BAIID devices. A "BAIID provider" may be an authorized agent or

representative of a manufacturer or an independent entity. "BAIID provider" may

be synonymous with vendor, supplier, manufacturer, or installer.

"BAIID required permittee" means a BAIID petitioner is a BAIID multiple

offender who is no longer able to prove a need to drive for any of the tasks or

activities recited in IVC Sections 6-205(c)(1) and 6-206(c)3 and who, therefore,

after becoming eligible for the reinstatement of his or her driving privileges, seeks

a permit to drive 5 days of the week and 8 hours of the day; or a BAIID multiple

offender who is not eligible for reinstatement and is unable to show an undue

hardship to drive, or is able to show an undue hardship to drive that is expected to

last 6 months or less, and seeks a permit to drive 3 days of the week and 5 hours

of the day.

"Breath Alcohol Ignition Interlock Device" or "BAIID" means a mechanical unit

that is installed in a vehicle which requires the taking of a BrAC test prior to the

starting of a vehicle. If the unit detects a BrAC test result below the alcohol

setpoint, the unit will allow the vehicle ignition switch to start the engine. If the

unit detects a BrAC test result above the alcohol setpoint, the vehicle will be

prohibited from starting. The unit or combination of units, to be approved by the

Secretary, shall measure breath alcohol concentrations by breath analysis and

shall include both simple and complex units.

"BrAC" means the w/v breath alcohol concentration.

"BUI" means boating under the influence, as defined in the Boat Registration and

Safety Act [625 ILCS 45/5-1 through 5-21].

"Certified controlled reference sample" means a suitable reference of known ethyl

alcohol concentration.

"Certified transcript" means a tax return transcript document provided by and

certified by IRS that shows most line items on the return filed, including the

adjusted gross income. The transcript can be used to verify income. IRS charges


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SECRETARY OF STATE


no fee for this service. Information on ordering a transcript can be found at

https://www.irs.gov/individuals/tax-return-transcript-types-and-ways-to-order-

them.

"Chemical test" means the chemical analyses of a person's blood, urine, breath or

other bodily substance performed according to the standards promulgated by the

Department of State Police. (See 20 Ill. Adm. Code 1286.)

"Circumvention" means an overt, conscious effort to bypass the BAIID or any

other act intended to start the vehicle without first taking and passing a breath test.

"Clinical impression" means a qualified treatment professional's (see Section

1001.440(b)(2) through (b)(6)) opinion regarding the effectiveness of substance

abuse treatment provided to an individual and the likelihood of future

alcohol/drug-related problems. This constitutes the treatment professional's most

reasonable clinical judgment based on direct involvement with the individual

throughout the course of treatment. It should not be interpreted as a definitive

statement regarding the likelihood of future alcohol/drug-related problems.

"Code" or "IVC" means the Illinois Vehicle Code [625 ILCS 5].

"DASA" means the Illinois Department of Human Services, Division of

Alcoholism and Substance Abuse.

"Day care provider, licensed/unlicensed – children" means a licensed "facility for

childcare", "child care institution", or "day care center", as defined and provided

for in the Child Care Act of 1969 [225 ILCS 10] and the rules of the Department

of Children and Family Services at 89 Ill. Adm. Code 406 and 89 Ill. Adm. Code

408. It also includes, for purposes of this Subpart, a private individual or family

member who, regardless of whether payment is made for the service, provides day

care services as described in the Child Care Act of 1969 and 89 Ill. Adm. Code

406.

"Day care provider, licensed/unlicensed – elderly or disabled person" means a

licensed "adult day health center" and other community based services for elderly

and disabled persons, as defined and provided for in the All-Inclusive Care of the

Elderly Act [320 ILCS 40], the Older Adult Services Act [320 ILCS 42], the

Community Senior Services and Resources Act [320 ILCS 60], the Family

Caregiver Act [320 ILCS 65], and Article III of the Illinois Public Aid Code [305


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SECRETARY OF STATE


ILCS 5]. It also includes, for purposes of this Subpart, a private individual or

family member who, regardless of whether payment is made for the service,

provides day care services as described in those statutes and the rules of the

Departments of Healthcare and Family Services and Aging.

"Decertification" means the removal or cancellation by the Secretary of the

authorization for a BAIID provider to use, distribute or provide a particular type

of BAIID to BAIID permittees, MDDP offenders and BAIID multiple offenders.

"Department" means the Department of Administrative Hearings of the Office of

the Secretary of State.

"Designated driver remedial or rehabilitative program" means an alcohol or drug

evaluation, an alcohol or drug-related driver risk education course, an alcohol or

drug treatment program, the Office driver improvement program, or any similar

program intended to diagnose and change a petitioner's driving problem as

evidenced by the petitioner's abstract. (See IVC Sections 6-205(c) and 6-

206(c)3.)

"Device" means a breath alcohol ignition interlock device approved by the

Secretary.

"Director" means the Director or Acting Director of the Department.

"Disabled person" means any person who is, and who is expected to indefinitely

continue to be, subject to any of the 5 types of disabilities listed in Section 4A of

the Illinois Identification Card Act [15 ILCS 335/4A] or who is disabled as

defined in Article III of the Illinois Public Aid Code. It also means any person

whose disability is verified by the person's treating physician.

"Documentation of abstinence" means testimony and documentation, in the form

of affidavits, letters, etc., from individuals who have regular, frequent contacts

with the petitioner (e.g., spouse, significant other, employer, co-workers,

roommates) verifying that to the best of their knowledge the petitioner has been

abstinent from alcohol/drugs for a specified period of time, according to the

standards stated in Section 1001.440(e).

"Driver License Compact" is an agreement among signatory states that deals with

the problems of: issuing drivers' licenses to people who move from one signatory


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SECRETARY OF STATE


state to another; and drivers who are licensed in one signatory state and convicted

of traffic offenses in other such states. The Compact has been codified in Illinois

and is found in IVC Chapter 6, Article VII.

"DUI" means driving under the influence.

"DUI disposition" means any conviction or supervision for DUI, BUI or SUI, or

any conviction for reckless homicide when alcohol and/or drugs is recited as an

element of the offense or other credible evidence indicates that the

petitioner's/respondent's conduct causing death involved the use of alcohol or

other drugs, or reckless driving reduced from DUI, or any statutory summary

suspension or implied consent suspension, except summary suspensions entered

pursuant to Section 11-501.8 of the Code (zero tolerance suspensions). This

definition applies to offenses that are committed in other states as well as in

Illinois, and regardless of whether the offense has been recorded to the offender's

Illinois criminal or driving record.

"Elderly person" means a person age 60 or over who does not possess driving

privileges or who, due to age or infirmity, is not able to exercise those driving

privileges.

"Employ" or "employed" or "employment" shall all relate to activity for

compensation to support oneself or one's dependents as well as activities ordered

by a court in connection with a sentence that includes the completion of a term of

community service. Employment need not be the sole or primary means of

support for the petitioner or his/her dependents.

"Evaluator" means any person licensed to conduct an alcohol and drug evaluation

by DASA. (See 77 Ill. Adm. Code 2060.201.) A treatment provider may be

considered an evaluator for the purpose of completing an update evaluation in

accordance with Section 1001.440(a)(6)(A).

"Failure to successfully complete a running retest" means any time the BAIID

Permittee registers a BrAC reading of 0.05 or more on a running retest or fails to

perform a running retest that has been requested.

"Fee" means the statutory fees for restricted driving permits or reinstatement of

driving privileges, as specified in IVC Section 6-118.


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SECRETARY OF STATE


"Hearing" means informal hearings and/or formal hearings.

"High Risk" means the classification resulting from an alcohol and drug

evaluation assigned to a petitioner with either:

symptoms of substance dependence (regardless of driving record), referred

to in this Part as High Risk Dependent. This classification shall be

assigned to a petitioner who has experienced the required number of

symptoms within any 12 month period, as defined by the Diagnostic and

Statistical Manual of Mental Disorders, and regardless of whether the

petitioner has attained a sustained period of remission/abstinence at the

time that the evaluation is conducted; and/or

within the 10 year period prior to the date of the most current (third or

subsequent) arrest, any combination of two prior convictions or court

ordered supervisions for DUI, BUI or SUI, or prior statutory summary

suspensions, or prior reckless driving convictions reduced from DUI,

resulting from separate incidents, referred to in this Part as High Risk

Nondependent. (See 77 Ill. Adm. Code 2060.503(g).) This definition

applies to offenses that are committed in other states as well as in Illinois,

and regardless of whether the offense has been recorded to the offender's

Illinois driving record.

"Immediate family" means a member of the petitioner's household, the petitioner's

parents, grandparents, children, grandchildren and stepchildren who live with the

petitioner, and significant other.

"Initial Monitor Report" means the monitor report obtained or required to be

obtained within the first 30 days after initial installation of the device.

"Installer" means an individual trained by a BAIID provider or manufacturer to

install, repair, maintain, or monitor a BAIID and employed by an authorized

BAIID provider, service center, vendor or manufacturer. "Installer" is

synonymous with an authorized entity providing installation, repair, or monitoring

services to BAIID permittees and MDDP offenders through those trained

individuals.

"Lockout" means the device must prevent engine ignition by a virtual lock with

90% certainty or near absolute lock at 99.5% certainty.


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SECRETARY OF STATE


"Manufacturer" means the maker of a BAIID or its authorized representative.

"MDDP" means a monitoring device driving permit, issued pursuant to Section

6-206.1 of the IVC. A MDDP is not a restricted driving permit.

"MDDP holder" means an MDDP offender who has been issued an MDDP by the

Office of the Secretary of State.

"MDDP offender" means a person who is a first offender as defined in Sections

11-500 and 6-206.1 of the IVC.

"Medical cannabis" means the prescribed use or consumption of cannabis as

defined and authorized by the Compassionate Use of Medical Cannabis Pilot

Program Act [410 ILCS 130].

"Medical or physical BAIID modification" means a demonstrated physical or

medical condition documented in writing by a physician that consistently

interferes with the normal operation of the BAIID by the BAIID permittee or

MDDP offender for which the Department may authorize a modification of the

BAIID or its programming to accommodate the condition without violating the

BAIID rules and statutory requirements.

"Medical or Physical BAIID Waiver" means a demonstrated physical or medical

condition, documented in writing by a physician, that consistently interferes with

or prevents the normal operation of the BAIID by the BAIID permittee or MDDP

offender for which the Department may authorize a waiver of the BAIID.

"Minimal Risk" means the classification resulting from an alcohol and drug

evaluation assigned to a petitioner who has:

no prior conviction or court ordered supervisions for DUI, BUI or SUI, no

prior statutory summary suspensions, and no prior reckless driving

conviction reduced from DUI; and

a blood alcohol concentration (BAC) of less than .15 as a result of the

most current arrest for DUI; and

no other symptoms of substance abuse or dependence. (See 77 Ill. Adm.


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SECRETARY OF STATE


Code 2060.503(g).)

This definition applies to offenses that are committed in other states as well as

in Illinois, and regardless of whether the offense has been recorded to the

offender's Illinois criminal or driving record.

"Moderate Risk" means the classification resulting from an alcohol and drug


no prior conviction or court ordered supervisions for DUI, BUI or SUI,

and no prior statutory summary suspensions, and no prior reckless driving

conviction reduced from DUI; and

a blood alcohol concentration (BAC) of .15 to .19 or a refusal of chemical

testing as a result of the most current arrest for DUI; and

no other symptoms of substance abuse or dependence. (See 77 Ill. Adm.

Code 2060.503(g).)

This definition applies to offenses that are committed in other states as well as in

Illinois, and regardless of whether the offense has been recorded to the offender's

Illinois criminal or driving record.

"Monitor report" means an electronic report or a printout of the activity of a

device obtained by the manufacturer or installer at the time of an inspection of the

device which shall include at a minimum the number of successful and

unsuccessful attempts to start the vehicle and rolling retests, including each date,

time, and BrAC reading, and any evidence of tampering or circumvention of the

device.

"National Driver Register" means a central index, maintained by the U.S.

Department of Transportation, of individuals whose driving privileges are denied,

terminated or withdrawn, as reported by the states' driver licensing authorities.

"Near-alcoholic beverage" means a beverage with an alcohol content of .05

percent or less.

"Office" means the Office of the Secretary of State and not any particular

department address or location.


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SECRETARY OF STATE


"Permanent lockout" means that feature of the device that prevents a vehicle with

the device installed from starting after the lapse of the 5 days (see 92 Ill. Adm.

Code 1001.442(e)(7)) and requires servicing by the manufacturer/installer of the

device to make the vehicle operable for failure to take the vehicle with the device

to the manufacturer or installer for any required monitor report or for any failure

to send the device to the manufacturer within 5 days after any service or

inspection notification.

"Petitioner" is the party who seeks or applies for relief from the Office from the

suspension, revocation, cancellation, or denial of his/her driving privileges

pursuant to the provisions of the Illinois Vehicle Code.

"Problem Driver Pointer System" or "PDPS" is a pointer file consisting of an

index of problem drivers (as determined by adverse driver's license actions) that is

maintained by a driver's home state (state of record (SOR)) and is accessed by

other states (state of inquiry (SOI)) to determine a person's eligibility to apply for

a driver's license. (See Secretary of State rules at 92 Ill. Adm. Code 1040.70.)

"RDP" means a restricted driving permit, as defined by IVC Section 1-173.1 and

limited as specified in IVC Sections 6-205(c) and 6-206(c).

"Reinstatement" means the restoration of driving privileges entitling the petitioner

to apply for a new driver's license in accordance with the requirements of the

Illinois Vehicle Code and this Chapter.

"Respondent" means a person against whom a complaint or petition is filed, or

who, by reason of interest in the subject matter of a petition or application or the

relief sought through that action, is made a respondent or to whom an order or

complaint is directed by the department initiating a proceeding.

"Running retest" means that feature of the device that requires the driver to take

additional BrAC tests after the initial test to start the vehicle.

"Secretary" means the Illinois Secretary of State or his designee.

"Service or inspection notification" means that feature of the device that advises

or notifies the BAIID permittee or MDDP offender to either take the vehicle with

the device installed to the BAIID provider or installer or send the device to the


17

SECRETARY OF STATE


BAIID provider or installer for the required inspection and the monitor report.

"Service center" means an authorized dealer, distributor, supplier, or other

business engaged in the installation of BAIIDs and is synonymous with installer.

"Show cause hearing" means that the Secretary has good cause to believe that a

driver may be a danger to public safety and welfare for violations of IVC Sections

6-103, 6-108, 6-207 and/or 6-201(a). The Department will send notice to the

driver, who then has an opportunity to show cause why his/her driving privileges

should not be cancelled at a formal hearing conducted pursuant to IVC Section

2-118.

"Significant other" means any person with whom an individual is experiencing an

ongoing, close association that represents a meaningful part of that individual's

established life medical condition documented in writing by a physician that style

(e.g., spouse, other family member, employer, co-worker, clergy member,

roommate).

"Significant Risk" means the classification resulting from an alcohol and drug


one prior conviction or court ordered supervision for DUI, BUI or SUI,

one prior statutory summary suspension, or one prior reckless driving

conviction reduced from DUI; and/or

a blood alcohol concentration (BAC) of .20 or higher as a result of the

most current arrest for DUI; and/or

other symptoms of substance abuse. (See 77 Ill. Adm. Code 2060.503(g).)

This definition applies to offenses that are committed in other states as well as

in Illinois, and regardless of whether the offense has been recorded to the

offender's Illinois criminal or driving record.

"Stressed" means conditions such as temperature extremes, vibration, and power

variability.

"SUI" means snowmobiling under the influence, as defined in the Snowmobile

Registration and Safety Act [625 ILCS 40/Art. V].


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SECRETARY OF STATE


"Support/recovery program" means specific activities that a recovering

alcoholic/chemically dependent person has incorporated into his/her life style to

help support his/her continued abstinence from alcohol and other drugs. This may

include, but is not limited to, participating in a self-help program (Alcoholics

Anonymous, Narcotics Anonymous, etc.) or a professional support group, or

regularly and frequently engaging in religious or other activities which have a

distinct and positive effect on an individual's continued abstinence. Any program

and its relationship to the individual's ability to remain abstinent must be clearly

identified and verified by proper documentation independent from an individual's

self report (such as indicated in Section 1001.440(e) through (i)). The hearing

officer shall determine the viability of the petitioner's program as a means of

supporting continued abstinence, taking into account all the evidence brought

forward at the hearing, as well as considering whether the program is substantially

consistent with the following criteria:

The program encourages life style change that involves the replacement of

substance using activity with non-substance using activity; a strong focus

of the program is to provide ongoing assistance in identifying and

resolving substance dependency-related issues that may jeopardize an

individual's continued recovery;

The program encourages positive individual values of responsibility and

honesty, as well as less self-centered thinking;

The program has demonstrated a durability and stability over time that

reflects its usefulness in supporting long-term recovery.

"Tampering" means an overt, conscious attempt to disable or disconnect the

interlock device.

"Treatment Needs Assessment" means an assessment of a petitioner's current need

for alcohol/drug treatment, counseling, or other intervention services or

rehabilitative activity, composed by a licensed treatment provider.

"24 hour lockout" means that feature of the device that causes a vehicle with the

device installed to become inoperable for a period of 24 hours any time the device

registers 3 BrAC readings of 0.05 or more within a 30 minute period.


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SECRETARY OF STATE


"Undue hardship as it relates to court ordered activities" means an extreme

difficulty in getting to and from a location where a petitioner is participating in or

fulfilling the requirements of conditional discharge, probation or parole, such as,

but not limited to, community service, support groups, and treatment for illnesses

or disorders. This does not include getting to and from primary treatment for

alcohol/drug abuse. It means more than mere inconvenience to the petitioner. All

other reasonable means of transportation must be unavailable to the petitioner.

The impact on the family unit is a valid consideration. An undue hardship is not

shown by the mere fact that the driving privileges are suspended or revoked.

"Undue hardship as it relates to day care for children or an elderly or disabled

person" means an extreme difficulty in getting a member of the petitioner's

immediate family to and from a day care provider or a pre-school. It means more

than mere inconvenience to the petitioner. All other reasonable means of

transportation must be unavailable to the petitioner. The impact on the family

unit is a valid consideration. An undue hardship is not shown by the mere fact

that the driving privileges are suspended or revoked.

"Undue hardship as it relates to educational pursuits" means an extreme difficulty

in getting to and from the location of the accredited education course, due to the

loss of driving privileges. It also means an extreme difficulty in getting a member

of the petitioner's immediate family to and from pre-school, elementary school or

high school, or their equivalent. "Educational pursuits" include activities and

events conducted, and services provided, by the school district, immediately

before and/or after the school day begins; functions and activities required to

maintain the student's status as a currently enrolled student; and functions and

activities required to fulfill the requirements of a scholarship. It means more than

mere inconvenience to the petitioner. All other reasonable means of

transportation must be u hardship is not shown by the mere fact that the driving

privileges are suspended or revoked.

"Undue hardship as it relates to employment" means, as used in the context of

IVC Sections 6-205(c) and 6-206(c)3, an extreme difficulty in regard to getting to

or from a petitioner's place of employment or to operate on a route during

employment; e.g., as delivery person, because of the suspension, revocation, or

cancellation of the petitioner's driving privileges. It means more than mere

inconvenience on the petitioner and pertains only to the petitioner. All other

reasonable means of transportation must be unavailable to the petitioner. The

impact on the family unit is a valid consideration. An undue hardship is not


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SECRETARY OF STATE


shown by the mere fact that the driving privileges are suspended or revoked.

"Undue hardship as it relates to necessary medical care" means an extreme

difficulty in regard to getting to and from a location where petitioner or a member

of his/her immediate family receives examinations, therapy or treatment, etc.,

prescribed or recommended by a licensed physical or mental health care provider.

It means more than mere inconvenience. There must be no other reasonable

alternative means of transportation available. The impact on the family unit is a

valid consideration. An undue hardship is not demonstrated by the mere fact that

the petitioner's driving privileges are suspended or revoked.

"Undue hardship as it relates to support/recovery program" means an extreme

difficulty in regard to getting to and from a location where a petitioner is

participating in an ongoing support program. It means more than mere

inconvenience. There must be no other reasonable alternative means of

transportation available. The impact on the family unit is a valid consideration.

An undue hardship is not demonstrated by the mere fact that the petitioner's

driving privileges are suspended or revoked.

"Unsuccessful attempt to start the vehicle" means anytime the BAIID permittee or

MDDP offender registers a BrAC reading of 0.025 or more on the device when

attempting to start the vehicle.

"Vehicle", for purposes of the Breath Alcohol Ignition Interlock Device Program,

means every apparatus in, upon or by which any person or property is or may be

transported or drawn upon a highway and that is self-propelled, except for

apparatuses moved solely by human power, motorized wheelchairs, motorcycles,

motor driven cycles and vehicles that require a commercial driver's license to

operate.

"Vendor" means a retail or wholesale supplier of a device, and may include a

service center.

"W/V" means weight of alcohol in the volume of breath based upon grams of

alcohol per 210 liters of breath.


Section 1001.442 BAIID Provider Certification Procedures and Responsibilities;


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SECRETARY OF STATE


Certification of BAIIDs; Inspections; BAIID Installer's Responsibilities; Decertification of

a BAIID Provider

a) Certification Required to Provide BAIID Services. No person or entity may

provide BAIID services pursuant to this Subpart D unless certified as a BAIID

provider by the Secretary. All certified BAIID providers must apply for

recertification on an annual, calendar year basis, with applications for

recertification due in the Secretary's office no later than SeptemberNovember 1 of

each year.

b) Who May Provide BAIID Services. BAIID providers may be a manufacturer of

BAIIDs, an authorized representative of a manufacturer of BAIIDs, an installer of

BAIIDs or other business entity. Without regard to the specific business

operations of the BAIID provider, all certified BAIID providers under this Section

shall be responsible for insuring that all of the duties and responsibilities of a

BAIID provider are carried out in accordance with this Subpart D, including, but

not limited to, providing, distributing, installing and servicing approved BAIIDs.

BAIID providers may provide these services through their own resources, through

a subsidiary, or through contractual relationships with third parties.

c) Information Required in Application for Certification. Persons or entities desiring

to be certified as BAIID providers may submit an application for certification at

any time. An application for certification or recertification as a BAIID provider

shall include all of the following information:

1) The name, business address and telephone number of the applicant. If the

applicant is a business entity other than a corporation, the application must

include the names and addresses of the owners of the entity. If the

applicant is a corporation, the application must include the names and

addresses of any person or entity owning 10% or more of the outstanding

shares of the corporation;

2) The names, business addresses and telephone numbers, and titles of any

officers, managers or supervisors of the applicant who will be involved in

the provision of BAIID services;

3) A description of each BAIID the applicant proposes to install, including

the name and address of the manufacturer and the model of the unit, with a

copy of all manuals and information guides made available to program


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SECRETARY OF STATE


participants. Unless the BAIID has been previously certified by the

Secretary pursuant to this Section, the application must include the

information necessary to obtain certification of the BAIID pursuant to this

Section;

4) If the applicant is not a BAIID manufacturer, the application must include

proof of the applicant's right to distribute and install the particular types of

BAIIDs the applicant is proposing to utilize. The proof may include a

letter (composed on letterhead stationery), or a copy of a purchase, lease,

rental or distribution agreement with the manufacturer;

5) A detailed description of the applicant's plan for distribution, installation

and service of BAIIDs in Illinois, including the names and addresses of all

installers the applicant intends to use. This plan must demonstrate the

applicant's ability to distribute and install BAIIDs and the ability to submit

reports to the Secretary electronically within the time frames established

by this Subpart D;

6) A list of all other jurisdictions/states in which the applicant currently

operates or has operated, and contact information for each

jurisdiction/state;

7) Copies of policy and procedure manuals and training manuals used

regarding installer training, calibration training, calibration equipment,

installation equipment, and contracts/agreements with installers;

8) A signed statement that the applicant agrees to provide services to

program participants who have been declared indigent by the Secretary for

the purposes of the BAIID program;

9) Proof of liability insurance. General commercial liability and/or product

liability insurance, which shall include coverage for installation services,

shall be maintained with minimum liability limits of $1 million per

occurrence and $3 million aggregate total. If the applicant is not both the

manufacturer and installer of the BAIID, proof of liability insurance must

be provided showing coverage of both the manufacturer and the installer.

If proof of separate policies for the manufacturer and installer is provided,

each policy must have minimum liability limits of $1 million per

occurrence and $3 million aggregate total. Other commercially acceptable


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SECRETARY OF STATE


insurance arrangements, in the same minimum amounts, may be accepted

at the discretion of the Secretary;

10) A statement that the applicant shall agree to indemnify and hold the State

of Illinois and the Secretary, their officers, agents and employees,

harmless from and against any and all liabilities, demands, claims, suits,

losses, damages, causes of action, fines or judgments, including costs,

attorneys' and witnesses' fees, and expenses incident to any of these

actions, relating to bodily injuries to persons (including death) and for loss

or damage to, or destruction of, real and/or tangible property (including

property of the State) resulting from the negligence or misconduct of the

applicant, its employees, agents or contractors in the manufacture,

installation, service, repair, use or removal of a BAIID or performance of

any other duties required by this Section;

11) Examples of images taken by the BAIID. If, in the opinion of the

Secretary, the images are not clear and accurate, the Secretary may deny

certification;.

12) Proof that the applicant is in good standing with the Illinois Secretary of

State, Business Services Department.

d) The Secretary shall notify the applicant, in writing, of his or her decision

regarding the application for certification or recertification as a BAIID provider.

e) If an original or amended application to be certified or recertified as a BAIID

provider is denied, the applicant may not reapply until 12 months have elapsed

from the date of denial or the date of the final order of the hearing officer

upholding the denial if the decision is reviewed in a formal administrative

hearing. Prior to denying an application based on de minimis errors, including

but not limited to typographical or scrivener's errors, the Secretary shall advise the

applicant of the error and provide the applicant 14 business days to correct the

error.

f) In deciding whether to grant or deny an application, the Secretary may take into

consideration the applicant's past performance in Illinois and other jurisdictions in

manufacturing, distributing, installing or servicing BAIIDs, whether the

applicant's license or certification to manufacture, distribute, install or service

BAIIDs has ever been suspended, revoked, denied, cancelled or withdrawn and


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whether the applicant has applied to operate as a BAIID provider in another state

and was denied.

g) An applicant that has been certified pursuant to this Section may at any time

submit an amended application seeking certification to distribute and install a

BAIID model in addition to or other than the models previously certified for use

by the applicant.

h) Services that Must be Provided. After certification or recertification by the

Secretary, BAIID providers shall provide the following services and meet the

following requirements:

1) All installations of BAIIDs shall be done in a workmanlike manner and

shall be in accordance with the standards set forth in this Section and with

the requirements of the manufacturer. All BAIIDs installed shall be in

working order and shall perform in accordance with the standards set forth

in this Section. All BAIIDs must be installed and all reports to the

Secretary must be made within the time frames established by this Subpart

D;

2) The BAIID provider shall only install models of BAIIDs that the provider

has been authorized to install pursuant to this Section and the BAIIDs

shall only be installed at installation sites reported to the Secretary

pursuant to this Section;

3) Any BAIID provider that sells, rents and/or leases BAIIDs in Illinois

pursuant to this Subpart D shall report to the Secretary within 7 days all

such sales, rentals, and/or leases listing the BAIID permittee's name and

driver's license number, the installer, the installer's location, the make and

serial number of the BAIID, and the make, model and VIN of the vehicle

in which the BAIID is installed;

4) The BAIID provider shall provide a toll free customer service/

question/complaint hotline that is answered, at a minimum, during normal

business hours, Monday through Friday;

5) The BAIID provider shall provide a course of training and written

instructions for the BAIID permittee or MDDP offender on operation,

maintenance, and safeguards against improper operations, and instruct the


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BAIID permittee or MDDP offender to maintain a journal of events

surrounding failed readings or problems with the BAIID. Copies of all

materials used in this course of training shall be provided to the Secretary;

6) The BAIID provider shall provide service for malfunctioning or defective

BAIIDs within a maximum of 48 hours after notification of a request for

service. This support shall be in effect during the period the BAIID is

required to be installed in a motor vehicle;

7) The BAIID provider shall provide, at the request of the Secretary, expert

or other required testimony in any civil or criminal proceedings or

administrative hearings as to issues involving BAIIDs, including the

method of manufacture of the BAIID and how the BAIID functions;

8) If a BAIID provider requires a security deposit by a BAIID permittee or

MDDP offender and the amount of the deposit required is more than an

amount equal to one month's rental or lease fee, the security deposit must

be deposited in an escrow account established at a bank, savings bank or

savings and loan association located within the State of Illinois. The

BAIID provider will provide the Secretary with a certified statement of the

escrow account upon the Secretary's request;

9) BAIID providers must submit monitor reports or reports of any other

service to the Secretary whenever a BAIID is brought in for monitoring, a

portion of the BAIID is sent to the BAIID provider, the BAIID is read

remotely, or a BAIID is brought in pursuant to a service or notification

report. Except as provided in subsection (h)(10), the reports must be

submitted to the Secretary no later than 7 days from the date the BAIID is

brought in, an appropriate portion of the BAIID is sent to the BAIID

provider, or the BAIID is read remotely;

10) When a vehicle is brought into a service center to have the BAIID read or

calibrated, the BAIID installer shall carefully inspect the BAIID and all

wiring and connections related to the BAIID for signs of tampering or

circumvention. If a BAIID has been installed that permits the BAIID

permittee or MDDP offender to mail in a portion of the BAIID to be read

and calibrated, or allows the BAIID to be read remotely, that BAIID

permittee or MDDP offender shall be required to bring his or her vehicle

into a BAIID installation site at least once every 6 months so that the


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BAIID and all related wiring and connections may be inspected for signs

of tampering or circumvention. Within 2 business days after discovery,

the BAIID provider shall report to the Secretary evidence of tampering or

attempts to circumvent a BAIID. The BAIID provider shall preserve any

available physical evidence of tampering or circumvention and shall make

that evidence available to the Secretary. Within 2 business days after an

inspection of a mail-in or remotely read BAIID vehicle, the installer shall

notify the SOS that evidence of tampering or circumvention has been

found;

11) BAIID providers shall notify the Secretary within 7 days when a BAIID

has been installed, reinstalled or deinstalled, and shall provide to the

Secretary, upon request, additional reports, to include but not be limited to

records of calibrations, maintenance checks and usage records on BAIIDs

placed in service in Illinois;

12) The BAIID provider shall provide service to all BAIID permittees or

MDDP offenders who request services from the BAIID provider and who

have met the requirements of this Subpart D, including the payment of

fees due to the provider, unless the fees are otherwise waived by rule or

statute;

13) The BAIID provider must immediately notify the Secretary in writing if

the provider or the BAIID manufacturer or installer becomes unable to

produce, supply, service, repair, maintain or monitor BAIIDs in

compliance with this Subpart D or if the provider has been suspended or

decertified in any other jurisdiction;

14) With the exception of mobile installations authorized by Section

1001.442(n), the BAIID provider shall provide the Secretary a list of all

locations in Illinois where BAIIDS may be purchased, rented, leased,

installed, removed, serviced, repaired, calibrated, accuracy checked,

inspected and monitored. The BAIID provider shall notify the Secretary

within 48 hours of any new installation locations or any installation

locations that are closed;

15) The BAIID provider shall install, monitor and deinstall authorized BAIIDs

without fee to any MDDP offender determined to be indigent by the


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SECRETARY OF STATE


Secretary who requests services from the BAIID provider and who

presents written documentation of indigency from the Secretary;

16) The Secretary may designate the form, format and method of delivery

(e.g., facsimile, electronic transfer, etc.), for any reports, information, or

data required to be filed with the Secretary pursuant to this Subpart D,

including, but not limited to, installation verification forms, monitoring

report forms, noncompliance report forms, notices of calibration,

verification, tampering or circumvention, removal or deinstallation report

forms, and information necessary to implement and monitor the indigent

surcharge payments to the Indigent BAIID Fund and payment provisions

from the Indigent BAIID Fund set forth in IVC Section 6-206.1 and

Section 1001.444. Images taken by the BAIID must be available to the

Secretary via online account access;

17) The Secretary shall review and approve leases or rental agreements the

BAIID provider intends to utilize between the BAIID provider and the

BAIID permittee or MDDP offender. The BAIID provider shall submit to

the Secretary a copy of the schedule of all fees that will be charged to

BAIID permittees or MDDP offenders, and shall submit an amended

schedule of fees whenever there is a change to the BAIID provider's fees;

18) The BAIID providers shall agree to take assignments to unserved areas of

Illinois pursuant to this Section, as those areas are defined in subsection

(m)(2);

19) The Secretary shall have the right to conduct independent inspections of

BAIID providers, manufacturers and installers, including inspection of any

BAIIDs and calibration equipment present at the time of the inspection, to

determine if they are in compliance with the requirements of this Subpart

D. The Secretary shall notify, in writing, and require the BAIID provider

to correct any noncompliance revealed during any inspections. Within 30

days after receiving a notice of noncompliance, the BAIID provider shall

notify the Secretary, in writing, of any corrective action taken;

20) Upon the request of the Secretary, the BAIID provider shall, at no cost to

the State of Illinois, provide the Secretary with not more than two BAIIDs

for each model that is certified under this Section. These models will be

used for demonstration and training purposes;


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SECRETARY OF STATE


21) Unless an alternative method for reading and calibrating the BAIID has

been approved by the Secretary, all BAIIDs shall be recalibrated,

whenever they are brought to the provider for any type of service or

monitoring, using a wet bath simulator or other approved equivalent

procedure, i.e., dry gas standard. Calibrations shall be done no less

frequently than every 67 days, including those BAIIDS that are read

remotely;

22) Calibration equipment shall be in good working order and maintained and

operated according to the equipment manufacturer's recommendations.

Solution in wet bath calibration units shall be changed according to the

manufacturer's recommendations and new solution shall be stored in a

cool, dry location and discarded upon the expiration date. Dry gas

cylinders must be stored in an area protected from exposure to weather;

23) BAIID providers shall maintain records related to a BAIID permittee or

MDDP offender, including but not limited to installation, monitoring,

circumvention and deinstallation, for a period of 3 years after the BAIID is

deinstalled.

i) Criteria for Certification of BAIIDs. Only BAIIDs that have been certified for

use in Illinois pursuant to this Section may be installed in the vehicles of BAIID

permittees and MDDP offenders. Certification of a BAIID shall be based on the

following criteria:

1) A review and evaluation of test results from any nationally recognized and

certified laboratory test facility that is accredited by the International

Standards Organization (ISO). The evaluation and test results must affirm

the BAIID's ability to meet the Model Safety and Utility Specifications for

Breath Alcohol Ignition Interlock Devices (BAIIDs) promulgated by the

National Highway Traffic Safety Administration (NHTSA), U.S.

Department of Transportation, 78 Fed. Reg. 89, May 8, 2013, except for:

A) 1.4.S, Power, if the BAIID is not designed to be operated from the

battery;

B) 1.5.2.S, Extreme Operating Range, if the BAIID is not designed to

be operated below -20° C and above +70° C;


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C) 2.3.S, Warm Up, if the BAIID is not designed to be operated below

-20° C;

D) 2.5.S, Temperature Package, if the BAIID is not designed to be

operated below -20° C and above +70° C;

2) The BAIID provider must certify that the BAIID:

A) Does not impede the safe operation of a vehicle;

B) Minimizes opportunities to bypass the BAIID;

C) Performs accurately and reliably under normal conditions;

D) Prevents a BAIID permittee or MDDP offender from starting a

vehicle when the BAIID permittee or MDDP offender has a

prohibited BrAC, i.e., P≥ 0.025;

E) Satisfies the requirements for certification set forth in this Section;

F) Has a camera that takes clear and accurate images of the individual

utilizing the BAIID and that has a sufficiently wide angle that it

will be possible to determine whether the individual blowing into

the BAIID is seated in the driver's seat and whether a

circumvention device has been inserted into the mouthpiece of the

BAIID;

G) Provides calibration stability for a period of no less than 67 days;.

3) No BAIID shall be certified if it demonstrates an accuracy rate ≥ 0.01 in

unstressed conditions or ≥ 0.02 in stressed conditions. The terms

"stressed" and "unstressed" shall be defined according to the NHTSA

standards referred to in subsection (i)(1);

4) Any BAIID to be certified shall be designed and constructed with an

alcohol setpoint of 0.025;


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5) Any BAIID to be certified shall require the operator of the vehicle to

submit to a running retest at a random time within 5 to 15 minutes after

starting the vehicle. Running retests shall continue at a rate of two per

hour in random intervals not to exceed 45 minutes after the first running

retest;

6) Any BAIID to be certified shall be designed and constructed to

immediately begin blowing the horn if:

A) The running retest is not performed;

B) The BrAC reading of the running retest is 0.05 or more; or

C) Tampering or circumvention attempts are detected;

7) The BAIID shall be required to have permanent lockout 5 days after it

gives service or inspection notification to the BAIID permittee or MDDP

offender if it is not serviced or calibrated within that five day period.

A) The BAIID shall give service or inspection notification to the

BAIID permittee or MDDP offender upon the occurrence of any of

the following events:

i) Every instance in which the BAIID registers 3 BrAC

readings of .05 or more within a 30 minute period;

ii) Any attempted tampering or circumvention;

iii) The time for the BAIID permittee or MDDP offender to

take the vehicle for the initial monitor report;

iv) Every 60 days after the initial monitor report;

v) For MDDP offenders, 5 violations within the 60 day

monitoring period;

vi) Every 6 months, for an inspection pursuant to Section

1001.441(h)(2) in which the type of BAIID installed allows


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SECRETARY OF STATE


for a portion of the BAIID to be mailed in or allows the

BAIID to be read remotely;

B) In addition, the BAIID shall record and communicate to the BAIID

permittee or MDDP offender and to the Secretary's office via

monitor reports all of the preceding events and all starts of the

vehicle, both successful and unsuccessful;

C) The BAIID shall record an image each time the vehicle is started,

each time a test is prompted, each time a successful or

unsuccessful test sample is taken, and whenever there is a failed

attempt to provide a breath sample;

8) The BAIID shall be required to have 24 hour lockout anytime the BAIID

permittee or MDDP offender registers 3 BrAC readings of 0.05 or more

within a 30 minute period;

9) Certification of a BAIID may be withdrawn by the Secretary, based on a

field testing protocol developed by the Secretary to determine the BAIID's

ability to operate in a consistently reliable manner and based upon review

of field performance results; a review of BAIID usage by BAIID

permittees and MDDP offenders; and BAIID monitor reports;

10) Upon the request of the Secretary, the BAIID provider shall, at no cost to

the State of Illinois, install not more than three of each model of BAIID

for which certification is sought in the vehicles provided by the Secretary

for field testing. The Secretary may independently evaluate each BAIID

to ensure compliance with the requirements in this Section. The

evaluation criteria include, but are not limited to, repeated testing of

alcohol-laden samples, filtered samples, circumvention attempts,

tampering, and testing for all specifications listed in this Subpart D. An

applicant or provider is limited to 3 field tests per BAIID model as part of

the certification process. If a BAIID model of an applicant or provider

fails 3 field tests, the applicant or provider shall not be certified unless the

applicant or BAIID provider has another BAIID model that has been

certified by the Secretary;

11) Upon the request of the Secretary, for each model of BAIID certified

under this Section, the BAIID provider shall provide a total of at least 10


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SECRETARY OF STATE


hours of training to the Secretary's employees at no cost to the State of

Illinois. This training shall be held at the times and locations within the

State designated by the Secretary. The training shall be designed to

familiarize the Secretary's employees with the installation, operation,

service, repair and removal of the BAIIDs and with the training and

instructions that the BAIID provider will give to BAIID permittees and

MDDP offenders. The BAIID provider shall also provide the Secretary,

upon request, the following materials:

A) A detailed description of the BAIID, including complete

instructions for installation, operation, service, repair and removal

of the BAIID;

B) Complete technical specifications describing the BAIID's

accuracy, reliability, security, data collection and recording,

tamper and circumvention detection, imaging and environmental

features;

12) Any BAIID that is not certified may be re-tested at the request of the

BAIID provider but not more often than once in a calendar year;

13) The Secretary shall not accept for certification any BAIID that uses

Taguchi cell technology to determine BrAC;

14) BAIIDs must use, as their anti-circumvention method, one of the

following technologies: either a positive>negative>positive or

positive>negative air pressure test requirement, or a mid-test hum tone

requirement. BAIID providers may submit for approval to the Secretary

new anti-circumvention technologies. Upon approval by the Secretary,

pursuant to the procedures in this subsection (i), these technologies shall

be included with the previously mentioned anti-circumvention

technologies as acceptable for use by BAIID providers. In addition to

these anti-circumvention methods, all BAIIDs installed after July 1, 2013,

and all BAIIDs in use in Illinois after July 1, 2015, shall include a camera

that captures a clear and accurate image of the individual blowing into the

BAIID, including a sufficiently wide angle that it will be possible to

determine whether the individual blowing into the BAIID is seated in the

driver's seat and whether a circumvention device has been inserted into the

mouthpiece of the BAIID. The captured images shall be stored by the


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SECRETARY OF STATE


vendor while the BAIID is installed in the vehicle and for 3 years after

removal and shall be made accessible to the Secretary, at the Secretary's

request, either by electronic access to the vendor's system or electronic

mail;

15) After a BAIID has been certified by the Secretary, no firmware or

software modifications shall be deployed without written authorization by

the Secretary, which may include installation of the BAIID with the

proposed firmware or software modifications in accordance with

subsection (i)(10) and, if the Secretary determines the software or

firmware modification is major or material, submission to an accredited

lab in accordance with subsection (i)(1).

j) BAIID Installers

1) All installations of BAIIDs must be performed by installers identified to

the Secretary as employees of or contractors of a certified BAIID provider.

The provider must inform the Secretary whether installation is being done

by its own employees, contractors, or both. All installations shall be

performed in a workmanlike manner. BAIID providers shall be

responsible for their installer's compliance with this Subpart D. A BAIID

provider may be decertified by the Secretary for the noncompliance of its

installer with the requirements of this Subpart D;

2) All service centers and mobile installation units shall have all tools, test

equipment and manuals needed to install BAIIDs and screen motor

vehicles for acceptable mechanical and electrical condition prior to

installation;

3) The installer shall provide adequate security measures to prevent access to

the BAIIDs (tamper seals or installation instructions);

4) The installer shall appropriately install BAIIDs on motor vehicles taking

into account each motor vehicle's mechanical and electrical condition,

following accepted trade standards and the BAIID manufacturer's

instructions. All connections shall be soldered or secured with no crimp

wire connectors and covered with tamper seals. It is the BAIID

permittee's or MDDP offender's responsibility to repair the vehicle if any

prior condition exists that would prevent the proper functioning of the


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SECRETARY OF STATE


BAIID. The installer shall inform the BAIID permittee or MDDP

offender that a problem exists, but shall not be responsible for repairing

the vehicle. The installer shall not permit the BAIID permittee or MDDP

offender to observe the installation of the BAIID;

5) The installer shall not install BAIIDs in a manner that could adversely

affect the performance of the BAIID or impede the safe operation of the

motor vehicle;

6) After the BAIID has been installed in the motor vehicle, the installer shall

verify that the BAIID is functioning properly and shall have the BAIID

permittee or MDDP offender use the BAIID to start the vehicle to ensure

that he or she is familiar with the operation of the BAIID. At that same

time, the installer shall verify that the camera is operational and that a

reference image of the BAIID permittee or MDDP offender has been

taken;

7) The installer shall restore a motor vehicle to its original condition when a

BAIID is removed. All severed wires must be permanently reconnected

and insulated with heat shrink tubing or equivalent;

8) When the installer is also providing monitoring and other services for the

BAIID after installation, the installer shall perform all of the duties that

are associated with service after the installation and that are required by

this Section of a BAIID provider. These duties shall include, but are not

limited to, completing all monitoring reports and/or mailing in the

appropriate portion of the BAIID to the BAIID provider, making

notification of any evidence of tampering or circumvention, and

recalibrating BAIIDs whenever they are brought in for service or

monitoring;

9) The installer shall not install a BAIID on any vehicle that does not have an

operable horn, but shall advise the BAIID permittee or MDDP offender to

have the vehicle's horn repaired before installation can occur.

k) Suspension and Decertification of BAIID Providers. The Secretary may suspend

or decertify a BAIID provider from providing BAIID services in Illinois. The

Secretary shall provide written notification to the BAIID provider regarding any

violation of this Section that may lead to suspension or decertification. The


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SECRETARY OF STATE


BAIID provider will be given a 30 day opportunity to come into compliance. The

BAIID provider shall respond in writing to the Secretary regarding the course of

corrective action. If the course of corrective action is deemed unacceptable by the

Secretary, or if there are recurring instances of the violations that led to the notice

following the corrective action, the Secretary may decertify the BAIID provider

from providing services in Illinois or suspend the BAIID provider from

performing any new installations for a period of 3 months. The following are

considered actions warranting suspension or decertification:

1) Failure to submit monitor reports in a timely manner, as provided in

subsections (h)(9) and (h)(10). If the Secretary finds, through

investigation, that the BAIID permittee or MDDP offender did take the

vehicle with the installed BAIID to the BAIID provider, or sent the

appropriate portion of the BAIID to the BAIID provider for a monitor

report in a timely manner, a request for the monitor report shall be sent to

the BAIID provider. If the information is not received within 30 days, the

BAIID provider will be given a 3 month suspension from providing new

installations in Illinois. Three occurrences within a 12 month period will

result in decertification;

2) Failure to maintain liability insurance as required;

3) Failure to install certified BAIIDs within the time requirements of this

Subpart D;

4) Failure to comply with all of the duties and obligations contained in this

Subpart D;

5) Failure to provide BAIID permittees or MDDP offenders with correct

information regarding the requirements of this Subpart D;

6) Failure to submit a required surcharge to the Secretary for deposit in the

Indigent BAIID Fund as required in IVC Section 6-206.1 and Section

1001.444 of this Part. If the amount in dispute is not resolved within the

above 30 day period, the BAIID provider shall be decertified unless the

BAIID provider submits, within the 30 day period, a written request to

review the amount in dispute to the BAIID Division. The dispute will

then be resolved according to the terms of the contract entered into

between the BAIID provider and the Secretary;


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SECRETARY OF STATE


7) Failure to work with BAIID permittees or MDDP offenders in a

professional manner. Complaints from BAIID permittees and MDDP

offenders will be recorded. Repeated complaints determined by the

Secretary to be valid or clear violations of the program requirements set

forth in this Section shall result in decertification;

8) Failure to provide installations in a workmanlike manner, as set forth in

this Section, and within the requirements of the manufacturer;

9) Installing BAIIDs not certified by the Secretary;

10) Failure to report installations and deinstallations to the Secretary within 7

days;

11) Failure to maintain and upgrade calibration equipment, BAIIDs and

cameras;

12) Failure to provide services to indigent MDDP offenders;

13) Failure to provide trained installers or installations that are not in

compliance with subsection (j)(2);

14) Failure to inform the Secretary of suspension or decertification from

service in another jurisdiction within 30 days;

15) Failure to notify the Secretary of any BAIID installer or service center that

is no longer installing or servicing BAIIDS for the provider;

16) Wiring the BAIID for circumvention or creating a circumventing

apparatus for the BAIID permittee or MDDP offender;

17) Giving information to a BAIID permittee or MDDP offender that results

in or could result in the BAIID being circumvented;

18) Failing to use or make secure or appropriate wiring connections as

specified in this Section;

19) Installing a BAIID in a vehicle that does not have an operable horn;


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SECRETARY OF STATE


20) Failing to maintain the calibration equipment and solutions as specified in

this Section;

21) Invalidation of an installer's Illinois driver's license;

22) Failure to meet any of the requirements of this Section or other applicable

administrative rules or statutes.

l) Notification of Decertification or Decision Not to Recertify. Upon a decision not

to recertify a BAIID provider, or upon decertification of a BAIID or the

decertification of or the cessation of the operation of a BAIID provider, the

Secretary shall notify in writing all affected BAIID permittees or MDDP

offenders. The notification shall be sent not less than 30 days after the decision

or, if the BAIID provider requests a formal administrative hearing within that 30

day period to review the decision, notification shall not be sent until the entry of a

final order of the hearing officer upholding the decision.

m) Designation of Installation Sites

1) Each BAIID provider shall be responsible for establishing installation sites

within the State to service BAIID permittees and MDDP offenders, or to

provide mobile installations as provided in subsection (n);

2) The Secretary shall monitor the location of installation sites throughout

Illinois. If the Secretary determines that any place in Illinois is not within

75 miles of an installation site, the Secretary shall randomly select one of

the certified BAIID providers and require that BAIID provider to establish

an installation site or provide mobile installations in the unserved area. If

a second or subsequent area of Illinois is determined not to be within 75

miles of an installation site, the Secretary shall randomly select a BAIID

provider other than the one selected previously and require that BAIID

provider to establish an installation site or provide mobile installations in

the unserved area. As a condition of being certified by the Secretary,

BAIID providers must agree to take assignments to unserved areas

pursuant to this subsection (m)(2).

n) Mobile Installation Sites


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SECRETARY OF STATE


1) A BAIID provider may install BAIIDs at locations other than fixed,

permanent installation sites.

2) All provisions in this Section, as well as Sections 1001.441 and 1001.444,

are hereby made applicable to mobile installers and mobile installations,

except for those provisions that by their nature can have no application to

mobile installers and installations.

3) At the installation location, the installer must have a copy of the

permittee's/offender's request to have a BAIID installed and show it to the

permittee/offender upon request.

4) A provider may, but is not required to, provide an identification card for

mobile installers that includes, but is not limited to, the name of the

installer and the provider for which the installer works. The identification

card may also contain a photo of the installer.

5) Providers shall provide the Secretary with a schedule of mobile installs 24

hours before the install occurs. The schedule shall contain the name and

address of the permittee/offender and the location where the install will

occur. The Secretary reserves the right to attend and inspect mobile

installations.

o) An applicant whose application for certification or recertification as a BAIID

provider has been denied, or a BAIID provider who has been suspended or

decertified, shall have the right to have that decision reviewed at a formal

administrative hearing. In the case of a decision not to recertify or to suspend or

decertify, that decision shall not be implemented until at least 30 days after the

notice of the decision has been sent to the applicant or provider or, if the applicant

or provider requests a hearing within that 30 day period, until the entry of a final

order of the hearing officer upholding the decision. The hearings held under this

Subpart D shall be conducted in accordance with all of the rights, privileges, and

procedures set forth in Subpart A. A request for a hearing to contest a decision to

deny certification or recertification or to decertify must be in writing and must be

sent to one of the following locations:

1) Office of the Secretary of State, Department of Administrative Hearings,

17 North State Street, Suite 1200, Chicago, Illinois 60602, 312/793-3722;


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SECRETARY OF STATE


2) Office of the Secretary of State, Department of Administrative Hearings,

Michael J. Howlett Building, Room 207, Springfield, Illinois 62756,

217/524-0124.


Section 1001.444 Monitoring Device Driving Permit (MDDP) Provisions

a) Breath Alcohol Ignition Interlock Device (BAIID) Required for Issuance; Fee

Required

1) The Secretary shall notify a first offender (MDDP offender), as defined in

IVC Section 11-500, that he or she will be issued an MDDP unless the

Secretary receives, from the court of venue, an opt-out form, prescribed by

the Secretary, that has been signed by the offender and filed with the

court. The issuance of the MDDP shall be conditioned on the installation

and use of a BAIID in any vehicle operated, as required by IVC Section 6-

206.1. Only BAIIDs certified by the Secretary under Section 1001.442 of

this Part may be utilized. As provided in IVC Section 6-206.1, an MDDP

offender must pay a non-refundable fee in an amount equal to $30 per

month times the number of months or any portion of a month remaining

on the statutory summary suspension at the time the Secretary issues the

MDDP. No fee will be charged for any month in which the Secretary

issues the MDDP on or after the 20th day of that month. This total, one

time payment for each MDDP issued must be paid in advance and prior to

the issuance of the MDDP. Payment must be submitted in the form of a

money order, check or credit card charge (with a pre-approved card),

made payable to the Secretary of State.

2) Any MDDP holder whose summary suspension is extended or who is re-

suspended as provided for in IVC Section 6-206.1 and who applies for and

obtains an extension or re-issuance of an MDDP, shall likewise be

required to pay the non-refundable fee for the length of the period of

extension or re-suspension under the same terms and conditions as stated

in subsection (a)(1). Any such suspension will not be terminated until

payment of any and all fees due under this Section is made.


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SECRETARY OF STATE


3) Any MDDP offender whose driving privileges are otherwise suspended,

revoked, cancelled or become otherwise invalid is not eligible to receive

an MDDP.

4) Any MDDP shall be invalid and must be surrendered to the Secretary if an

MDDP holder's driving privileges subsequently are suspended, revoked,

cancelled or become otherwise invalid under any provision of the IVC,

during the issuance period of the MDDP. This includes a conviction and

subsequent revocation of driving privileges for the DUI arrest that resulted

in the issuance of the MDDP. The MDDP offender, including an MDDP

holder that surrendered his or her MDDP prior to the suspension,

revocation, cancellation or invalidation of driving privileges, may petition,

at a formal hearing conducted pursuant to IVC Section 2-118, for a

restricted driving permit during the period of suspension, revocation,

cancellation or invalidation, if available pursuant to the IVC. In order to

obtain a restricted driving permit pursuant to this Section, the MDDP

offender must also satisfy the other provisions of this Part. Further, should

a restricted driving permit be granted, the MDDP offender may only

operate vehicles in which a properly working BAIID has been installed

and is subject to all of the provisions of the BAIID program.

5) Any MDDP holder whose MDDP is invalidated as provided in subsection

(a)(4), except those MDDP holders cancelled under IVC Section 6-

206.1(c-1), may obtain another MDDP upon termination of the sanction

that led to the invalidation as long as the offender is still eligible for an

MDDP. The offender must notify the Secretary in writing and submit the

statutory permit fee. Upon issuance of an MDDP, the MDDP holder is

subject to all of the provisions of this Section.

6) The MDDP holder may voluntarily terminate participation in the MDDP

program by written notification and surrender of the permit to the

Secretary's BAIID Division. This voluntary termination does not in any

way affect any sanction imposed under this Section. An offender may

also resume participation by notifying the BAIID Division in writing, but

may do so only once during the term of the suspension, extension or re-

suspension due to a violation of the program.

b) Compliance − Installation of BAIID/Notification to the Secretary


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SECRETARY OF STATE


1) The MDDP Holder. Upon the issuance of an MDDP under this Section,

the Secretary shall make available a list of certified BAIID providers to

the MDDP holder. The MDDP holder may operate the vehicle for 14 days

from the issuance date stated on the MDDP without the BAIID installed

solely for the purpose of taking the vehicle to a BAIID provider or

installer for installation of the BAIID. The MDDP holder must be the

individual who takes the vehicle to the installer to have the BAIID

installed and must have a reference image taken by the installer at the time

of installation. Failure to comply with this requirement will result in the

cancellation of the MDDP issued.

2) The Installer/BAIID Provider. A BAIID provider or installer must:

A) Be qualified and comply with all of the procedures and

responsibilities set forth in Section 1001.442;

B) Within 7 days after the date of the installation of the BAIID, notify

the Secretary, in a manner and form specified by the Secretary, that

a BAIID has been installed in the vehicles designated by the

MDDP offender;

C) Upon notification from the MDDP holder, as evidenced by the

written form from the Secretary that the MDDP holder has been

found to be indigent, not charge the MDDP holder for any

installation, monthly monitoring, deinstallation fees, or security

deposit that exceeds one month's BAIID rental fee. This waiver of

charges and fees is limited to one vehicle per MDDP holder;

D) Upon request, make records available to ensure compliance with

the required payments to and reimbursements from the Indigent

BAIID Fund.

c) Compliance − Driving with BAIID. Any MDDP offender receiving an MDDP

under this Section must comply with the following requirements:

1) Operate only vehicles with an installed, operating BAIID certified by the

Secretary whether the vehicle is owned, rented, leased, loaned or

otherwise in the possession of the MDDP holder, as required by the

MDDP issued under this Section.


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SECRETARY OF STATE


2) Except when a BAIID has been installed that may be read remotely, either

take any and all vehicles operated by the MDDP holder and with a BAIID

installed or send the BAIID to the BAIID provider or installer at least

every 60 days, which shall be referred to as the monitoring period,

commencing with the date of installation, for the purposes of calibration

and having a monitor report of the BAIID's activity prepared and sent to

the Secretary by the BAIID provider or installer. The monitoring period

will be 30 days for any MDDP holder whose summary suspension is

extended or who is re-suspended for a violation of the MDDP program.

3) If a BAIID has been installed that permits the MDDP offender to mail in a

portion of the BAIID to be read and calibrated, or that allows the BAIID

to be read remotely, bring the vehicle into a BAIID installation site at least

once every 6 months so that the BAIID and all related wiring and

connections may be inspected for signs of tampering or circumvention.

4) Within 5 working days after any service or inspection notification, take the

vehicle with the BAIID, installed to the BAIID provider or installer or

send the appropriate portion of the BAIID to the BAIID provider or

installer as instructed for a monitor report.

5) Maintain a journal of events recording unsuccessful attempts to start the

vehicle, failures to successfully complete a running retest, any problems

with the BAIID, and the name of the driver operating the vehicle at the

time of the event. If BAIIDs have been installed on multiple vehicles, a

separate journal must be kept for each vehicle, recording unsuccessful

attempts to start the vehicle, failures to successfully complete a running

retest, any problems with the BAIID, and the name of the driver operating

the vehicle at the time of the event.

6) Ensure that the BAIID camera is aimed, and the person using the BAIID is

situated, so that the camera captures a clear and accurate image of the

individual blowing into the BAIID, including a sufficiently wide angle

that it will be possible to determine whether the individual blowing into

the BAIID is seated in the driver's seat and whether a circumvention

device has been inserted into the mouthpiece of the BAIID.


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SECRETARY OF STATE


7) Shall not have a BAIID removed or deinstalled from a vehicle prior to

notifying the Secretary and surrendering the MDDP to the Secretary or the

Secretary's designee.

8) Shall not commit any of the violations listed in subsection (d).

d) Violations. Any of the following, when committed by an MDDP holder,

constitutes a violation of the MDDP program:

1) A conviction or court supervision for any of the offenses listed in IVC

Section 6-206.1(c-1);

2) Tampering or attempting to tamper with, or unauthorized circumvention

of, the BAIID, including the use of any product intended to prevent

accurate readings by the BAIID;

3) A violation of IVC Section 6-206.2;

4) 10 or more unsuccessful attempts to start the vehicle with a BAIID

installed within a 30 day period, excluding a BrAC reading of 0.05 or

more;

5) 5 or more unsuccessful attempts to start the vehicle within a 24 hour

period, excluding a BrAC reading of 0.05 or more;

6) A BrAC reading of 0.05 or more;

7) Failing a running retest, or failing to take a running retest;

8) Removing the BAIID without authorization from the Secretary;

9) Failing to utilize the BAIID as required;

10) Failing to submit a BAIID for a monitor report in a timely manner;

11) Failing to bring a vehicle into a BAIID installation site at least once every

6 months so that the BAIID and all related wiring and connections may be

inspected for signs of tampering or circumvention;


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SECRETARY OF STATE


12) Preventing the camera from taking clear and accurate images of the

permittee blowing into the mouthpiece, including a sufficiently wide angle

that it will be possible to determine whether the individual blowing into

the BAIID is seated in the driver's seat and whether a circumvention

device has been inserted into the mouthpiece of the BAIID.

e) Sanctions Upon Commission of a Violation. Upon notification of any of the

violations in subsection (d), the Secretary shall take the following action:

1) For a conviction or court supervision for any of the offenses listed in IVC

Section 6-206.1(c-1), or a notification from a BAIID provider or installer

that a physical inspection of any BAIID permittee's vehicle showed any

tampering with or unauthorized circumvention of the BAIID, immediately

cancel the MDDP, extend the suspension as provided for in IVC Section

6-206.1(1), and authorize the immediate removal/deinstallation of the

BAIID. If the MDDP had expired prior to the Secretary receiving

notification of the conviction, supervision or violation, the Secretary shall

re-suspend the MDDP offender as provided for in IVC Section 6-206.1(l).

The MDDP offender may then file a petition for the issuance of an RDP.

The MDDP offender must have a formal hearing pursuant to IVC Section

2-118 and satisfy all the requirements of this Subpart D in order to obtain

the permit.

2) For any MDDP holder whose monitor report or other sufficient evidence

shows any tampering or unauthorized circumvention of the BAIID, or who

fails to bring his or her vehicle in for an inspection pursuant to subsection

(c)(3), send the MDDP holder a letter asking for an explanation of the

failure to bring the vehicle in for an inspection or an explanation of the

tampering or unauthorized circumvention. If a response is received within

21 days after the date of the Secretary's letter and it reasonably assures the

Secretary that no violation occurred, no further action will be taken. If a

response is not received within 21 days or does not reasonably assure the

Secretary, the Secretary shall immediately cancel the MDDP, extend the

suspension as provided for in IVC Section 6-206.1(1), and authorize the

immediate removal/deinstallation of the BAIID. If the summary

suspension is already terminated prior to the MDDP holder failing to bring

his or her vehicle in for an inspection pursuant to subsection (c)(3), or

prior to the Secretary receiving the monitor report/physical inspection

showing the violation, the Secretary shall re-suspend the MDDP offender


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SECRETARY OF STATE


as provided for in IVC Section 6-206.1(1). The MDDP offender may then

file a petition for the issuance of an RDP. The MDDP offender must have

a formal hearing pursuant to IVC Section 2-118 and satisfy all the

requirements of this Subpart D in order to obtain the RDP.

3) For any MDDP holder whose monitor report shows: 10 or more

unsuccessful attempts to start the vehicle with a BAIID installed, within a

30 day period; or 5 or more unsuccessful attempts to start the vehicle with

a BAIID installed, within a 24 hour period; or any single BrAC reading of

0.05 or more, send the MDDP holder a letter asking for an explanation of

the unsuccessful attempts to start the vehicle or the BrAC reading. If a

response is received within 21 days after the date of the Secretary's letter

and it reasonably assures the Secretary that no violation occurred, no

further action will be taken. If a response is not received within 21 days or

does not reasonably assure the Secretary, the Secretary shall extend the

summary suspension for 3 months. If the summary suspension is already

terminated prior to the Secretary receiving the monitor report showing the

violation, the Secretary shall re-suspend for 3 months. Should any

monitor report show multiple violations, each violation provided for in

this subsection shall be a separate violation requiring a separate 3 month

extension or re-suspension.

4) For any MDDP holder whose monitor reports show a failure to

successfully complete a running retest, send the MDDP holder a letter

asking for an explanation of the failure to successfully complete a running

retest. If a response is received within 21 days after the date of the

Secretary's letter and it reasonably assures the Secretary that no violation

occurred, no further action will be taken. If a response is not received

within 21 days or does not reasonably assure the Secretary, the Secretary

shall extend the summary suspension for 3 months. If the summary

suspension is already terminated prior to the Secretary receiving the

monitor report showing the violation, the Secretary shall re-suspend for 3

months.

5) For a removal/deinstallation of a BAIID without authorization, including a

removal or deinstallation caused by the MDDP holder's failure to pay

lease or rental fees due to the BAIID provider, the Secretary shall

immediately cancel the MDDP.


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SECRETARY OF STATE


6) For a failure to utilize the BAIID by the MDDP holder as required, the

Secretary shall extend the summary suspension for 3 months. If the

summary suspension is already terminated prior to the Secretary receiving

the monitor report showing the violation, the Secretary shall re-suspend

for 3 months.

7) For a failure to submit a BAIID for a monitor report in a timely manner,

the following procedure will be followed: unless notified by a BAIID

provider that the BAIID has been removed, all monitor reports shall be

submitted to the Secretary within 37 days after installation and within

every 37 days thereafter. If the Secretary fails to receive an MDDP

holder's monitor reports within the 37 days, the Secretary will conduct an

informal inquiry (will attempt to contact the BAIID provider and MDDP

holder by telephone or e-mail) for the purpose of determining the cause for

this failure. If it is determined or if it appears that the MDDP holder failed

to take in a vehicle with the BAIID or send the BAIID in for timely

monitor reports, then the Secretary will send a letter to the MDDP holder

stating that, if the BAIID is not taken in for a monitor report within 10

days after the date of the letter, the Secretary will extend the summary

suspension for 3 months, or, if the summary suspension is already

terminated prior to the Secretary receiving the monitor report showing the

violation, the Secretary will re-suspend for 3 months. If the MDDP holder

cannot be located or does not respond to the Secretary's request for

information, the MDDP shall be cancelled or, if the MDDP has expired,

the Secretary shall re-suspend the MDDP as provided for in IVC Section

6-206.1(l).

8) Violations detected in any one monitoring period shall not, however, result

in extensions or re-suspensions totaling more than six months, except as

provided in subsection (e)(10).

9) If the MDDP holder is re-suspended for a violation that was not reported

to the Secretary until after the termination of the MDDP holder's summary

suspension, the MDDP holder may obtain another MDDP by notifying the

Secretary in writing and submitting all required fees.

10) When an image shows that the MDDP permittee has utilized any product

that allows the permittee to avoid blowing directly into the mouthpiece of

the BAIID, or when any step has been taken to prevent a clear and


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SECRETARY OF STATE


accurate image of the driver and mouthpiece, the Secretary shall extend

the summary suspension for 3 months.

f) Hearing to Contest Cancellation of MDDP or Extension of the Summary

Suspension. Any MDDP holder whose summary suspension is extended or re-

suspended, or whose MDDP is cancelled as provided for in this Section, may

request a hearing to contest that action. A written request, along with the $50

filing fee, must be received or postmarked within 30 days from the effective date

of the extension, re-suspension or cancellation. The hearing will be conducted as

any other formal hearing under this Part.

g) MDDPs − Content. Any MDDPs issued as provided for in this Section shall, in

addition to all other requirements, state at a minimum that:

1) The MDDP is issued pursuant to the BAIID requirements of this Section

and that a vehicle operated by an MDDP holder must be equipped with a

certified, installed, properly operating BAIID;

2) The provisions of the MDDP also allow the MDDP holder to drive to and

from the BAIID provider or installer for the purpose of installing the

BAIID within 14 days after the issuance date on the MDDP;

3) Once the BAIID is installed, the MDDP holder may drive the vehicle with

the BAIID properly installed for any purpose and at any time;

4) If applicable, the MDDP holder qualifies for any modification or waiver of

BAIID, as provided in subsection (i), or employment exemption from

BAIID, as provided in subsection (j).

h) Use of Monitor Reports. The Secretary shall gather all available monitor reports

and images, and any other information relative to the MDDP holder's

performance and compliance with the BAIID requirements under this Subpart D.

The reports, images and information may be used as evidence at any

administrative hearing conducted by the Secretary under this Part.

i) Modification or Waiver of BAIID. Upon request of the MDDP holder, the

Secretary may consider a medical or physical BAIID modification or waiver for

an MDDP issued under this Section. When an MDDP holder provides a report

from a physician stating that the MDDP holder is physically unable to produce an


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SECRETARY OF STATE


adequate breath sample to operate the BAIID, the Secretary may allow the MDDP

holder to install a BAIID that operates with a lower breath sample requirement.

When an MDDP holder is the owner of only one vehicle, this modification may

also be granted if an immediate family member who resides with the MDDP

holder must drive the vehicle and the immediate family member is unable to

provide an adequate breath sample to operate the BAIID. The Secretary may, at

his or her discretion, obtain a review of the physician's report by the Secretary's

Medical Advisory Board.

j) Employment Exemption from BAIID Requirements. In determining whether an

MDDP holder is exempt from the BAIID requirements pursuant to the waiver

provided for in IVC Section 6-206.1, the following shall apply:

1) The term "employer" shall not include an entity owned or controlled in

whole or in part by the MDDP holder or any member of the MDDP

holder's immediate family, unless the entity is a corporation and the

MDDP holder and the MDDP holder's immediate family own a total of

less than 5% of the outstanding shares of stock in the corporation.

Immediate family shall include spouse, children, children's spouses,

parents, spouse's parents, siblings, siblings' spouses and spouse's siblings;

2) The exemption shall not apply when the employer's vehicle is assigned

exclusively to the MDDP holder, or the MDDP holder uses the vehicle for

commuting to and from employment or for other personal use and no

person may drive the exempted vehicle more than 12 hours per day, 6 days

per week [625 ILCS 5/6-206.1(a-2)];

3) Appropriate limits will be established for necessary on-the-job driving.

The days, hours and mileage limits will not exceed those necessary for the

accomplishment of the MDDP holder's primary employment;

4) This exemption is subject to termination if the Secretary obtains or

receives credible evidence that it is being abused or violated by the MDDP

holder, such as, but not limited to, driving outside the scope of his or her

employment, or driving the employer's vehicle from his or her residence to

the place of employment. Upon obtaining or receiving credible evidence

of the abuse or violation of an exemption, the Secretary shall send the

MDDP holder a letter that requests a response to the evidence. If a

response is received within 21 days after the date of the Secretary's letter


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SECRETARY OF STATE


and it reasonably assures the Secretary that an abuse or a violation did not

occur, no further action will be taken. If a response is not received within

21 days or does not reasonably assure the Secretary, the Secretary shall

immediately terminate the exemption;

5) The Secretary will also inform the MDDP holder whose employment

exemption is terminated that he or she remains eligible to have a BAIID

installed in his or her personal vehicle and the employer's vehicle without

a hearing. Failure to have the BAIID installed by the date designated by

the Secretary will result in the termination of the MDDP;

6) The denial of an exemption and the termination of an exemption may be

contested pursuant to Section 1001.441(k);

7) An exemption also will be granted to an MDDP holder who can prove that

his or her duties include test driving vehicles not owned by the permittee.

The exemption will be limited to this purpose, and to no more than a 5

mile radius from the permittee's place of employment.

k) Decertification of BAIID Provider or BAIID and Denial of BAIID Provider

Certification or BAIID Certification. The Secretary must notify the MDDP

holder of the decertification or denial of certification of a BAIID provider or of a

particular type of BAIID. The MDDP holder must then select a new BAIID

provider or type of BAIID from the list of approved BAIID providers maintained

by the Secretary. The MDDP holder must inform the Secretary of that selection

within 7 days after the receipt of notification from the Secretary. The MDDP

holder must complete registration with a new BAIID provider and/or installation

of a new BAIID within 21 days after the receipt of the notification from the

Secretary. Failure to complete these steps within the 21-day period may result in

cancellation of the MDDP holder's MDDP. All costs related to any change in a

BAIID provider or a BAIID shall be paid by the MDDP holder, unless the

Secretary has deemed the MDDP holder indigent.

l) Indigent BAIID Fund

1) Any BAIID provider who installs a BAIID under the MDDP program

must pay 5% of the total gross revenue received by each contract entered

into with an MDDP holder who is not found to be indigent by the

Secretary, referred to in this subsection as the surcharge.


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SECRETARY OF STATE


A) The surcharge shall include only those fees normally charged an

MDDP holder for installation, monthly rental and monitoring, and

deinstallation of the BAIID during the term of the MDDP holder's

statutory summary suspension.

B) The surcharge shall be submitted to the Secretary by the 15th of

each month and shall include all surcharges incurred during the

previous month. The surcharge must be submitted in the form of a

check, made payable to the Secretary of State, or by electronic

transfer as agreed to by the Secretary and the BAIID provider.

C) Should the summary suspension of an MDDP holder be extended

or a re-suspension issued under the MDDP program and the holder

continue to participate in the program, the surcharge is due for the

period of extension or re-suspension.

2) Any BAIID provider who installs a BAIID under the MDDP program for

an MDDP holder who has been found to be indigent by the Secretary may

apply for reimbursement for any fees incurred as set out in subsection

(b)(2)(C). A provider must submit an invoice to the Secretary by the 15th

of the month following the end of each quarter of the Secretary of State's

fiscal year, which must include the name and driver's license number of

each indigent client, as well as a brief description of the services provided

and the date those services were rendered.The request must be in a form

and in the manner prescribed by the Secretary. The Secretary will

authorize payments in accordance with IVC Section 6-206.1(o). No

payment may be authorized if the provider fails to submit an invoice

within the time set forth in this subsection (l)(2). If a provider has

submitted an invoice to the Secretary that under-reports the number of

indigent clients served in the previous quarter, the provider may not

submit a subsequent invoice seeking reimbursement for services provided

to the unreported indigent clients.

3) The Secretary may audit the records of BAIID providers or installers to

ensure compliance with the required payments to and reimbursements

from the Indigent BAIID Fund.


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SECRETARY OF STATE


4) An MDDP offender may be declared indigent by the Secretary if the

MDDP offender's total monthly income is 150% or less of the federal

poverty guidelines, as evidenced by a certified transcriptcopy of the

United States or State of Illinois tax return for the most recently completed

calendar year.

A) For an MDDP offender who has not filed a United States or State

of Illinois tax return for the most recently completed calendar year,

indigency may be declared if:

i) The MDDP offender is currently receiving Temporary

Assistance to Needy Families (TANF) benefits, as

evidenced by documentation from the Illinois Department

of Human Services;

ii) The MDDP offender is currently receiving Supplemental

Nutrition Assistance Program (SNAP) benefits, as

evidenced by documentation from the Illinois Department

of Human Services.

B) For the MDDP offender who has not filed a United States or State

of Illinois tax return for the most recently completed calendar year

and is not currently receiving TANF or SNAP benefits, indigency

may be declared if the MDDP offender is receiving Supplemental

Security Income (SSI) from the Social Security Administration and

the MDDP offender completes an affidavit under penalty of perjury

swearing the total amount of income received from all sources,

including SSI, is 150% or less of the federal poverty guidelines.

5) An MDDP holder's indigency status shall be valid for the length of the

MDDP. Any MDDP holder whose summary suspension is extended

beyond the length of the MDDP, who wishes to continue participation in

the MDDP program and wishes to be declared indigent, must submit

current documentation as set forth in subsection (l)(4).

m) Reciprocity with Other States. The Secretary will honor the BAIID requirements

imposed by other states on Illinois drivers and drivers licensed in other states, for

offenses committed in other states, and will reciprocate other states' recognition of


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SECRETARY OF STATE


BAIID requirements imposed by Illinois on drivers licensed in Illinois, or licensed

in other states for offenses committed in Illinois.



17

JOINT COMMITTEE ON ADMINISTRATIVE RULES

ILLINOIS GENERAL ASSEMBLY

SECOND NOTICES RECEIVED

The following second notices were received during the period of December 28, 2016 through

January 3, 2017. The rulemakings are scheduled for review at the Committee's January 10, 2017

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

2/9/17 Illinois Commerce Commission,

Telecommunications Access for Persons with

Disabilities (83 Ill. Adm. Code 755)

7/8/16

40 Ill. Reg.

8896

1/10/17


Telecommunications Relay Services (83 Ill.

Adm. Code 756)

7/8/16

40 Ill. Reg.

8939

1/10/17


Interconnection (83 Ill. Adm. Code 790)

7/8/16

40 Ill. Reg.

8952

1/10/17

2/10/17 Department of State Police, Requirements for

Businesses with Private Business Switch

Service to Comply with the Emergency

Telephone System Act (Repealer) (83 Ill. Adm.

Code 726)

11/4/16

40 Ill. Reg.

15047

1/10/17

2/10/17 Department of State Police, Requirements for

Non-Business Entities with Private Business

Switch Service to Comply with the Emergency

Telephone System Act (Repealer) (83 Ill. Adm.

Code 727)

11/4/16

40 Ill. Reg.

15063

1/10/17

2/10/17 Department of State Police, Standards of

Service Applicable to Wireless 9-1-1

6/17/16 1/10/17


17

Emergency Systems (Repealer) (83 Ill. Adm.

Code 728)

40 Ill. Reg.

15079

2/10/17 Department of State Police, Administration of

Funds Created by the Wireless Emergency

Telephone Safety Act (Repealer) (83 Ill. Adm.

Code 729)

11/4/16

40 Ill. Reg.

15099

1/10/17


17

ILLINOIS EMERGENCY MANAGEMENT AGENCY

JANUARY 2017 REGULATORY AGENDA

a) Part (Heading and Code Citation): Political Subdivision Emergency Services and

Disaster Agencies (29 Ill. Adm. Code 301)

1) Rulemaking: Proposed Amendment

A) Description: The Agency will propose amendments to emergency

operations plan, exercise and accreditation requirements and the

emergency management grant program. The amendments will provide

clarification of and updates to current procedures. In addition, some timing

requirements will be removed.

B) Statutory Authority: Authorized by and implementing the Illinois

Emergency Management Agency Act [20 ILCS 3305]

C) Scheduled meeting/hearing dates: None are scheduled at this time, but if

scheduled, dates and times will be announced on the Agency's website or

in the Illinois Register.

D) Date Agency anticipates First Notice: Spring 2017

E) Effect on small businesses, small municipalities or not-for-profit

corporations: The Agency believes this rulemaking will not affect small

businesses or not-for-profit corporations. Small municipalities may be

affected if they have an emergency management program.

F) Agency contact person for information:

Traci Burton

Illinois Emergency Management Agency

1035 Outer Park Drive


217/524-0770

fax: 217/524-3698

G) Related rulemakings and other pertinent information: None


17



b) Part (Heading and Code Citation): Certification and Operation of Radiochemistry

Laboratories (32 Ill. Adm. Code 406)

1) Rulemaking: Proposed Repealer

A) Description: The Agency will propose to repeal this outdated regulation.

B) Statutory Authority: Implementing the Civil Administrative Code of

Illinois [20 ILCS 5] and authorized by Sections 55.10 through 55.12 and

Section 71 of the Civil Administrative Code of Illinois [20 ILCS

2310/55.10 through 55.12, and 20 ILCS 2005/71(D)]




D) Date Agency anticipates First Notice: January 2017


corporations: The Agency does not anticipate any effects on these entities.


Traci Burton




217/524-0770

fax: 217/524-3698


c) Part (Heading and Code Citation): Emergency and Written Notification of an Incident or

Accident Involving a Reportable Hazardous Material or Extremely Hazardous Substance

(29 Ill. Adm. Code 430)



17



A) Description: The Agency will propose to repeal this regulation because

requirements for reporting hazardous spills are included in both 29 Ill.

Adm. Code 430 and 29 Ill. Adm. Code 620. Merging the requirements

into one regulation will streamline requirements and alleviate public

confusion.

B) Statutory Authority: Implementing Section 304 of Title III of the

Superfund Amendments and Reauthorization Act of 1986 (42 USC 11004)

and authorized by Section 5(c) of the Illinois Emergency Management

Agency Act [20 ILCS 3305/5(c)]




D) Date Agency anticipates First Notice: Summer 2017


corporations: The Agency anticipates that this will alleviate a duplicative

regulatory burden for businesses in the State.


Traci Burton




217/524-0770

fax: 217/524-3698

G) Related rulemakings and other pertinent information: The Agency will

amend 29 Ill. Adm. Code 620, Emergency Planning and Community

Right-to-Know, and also propose to repeal 29 Ill. Adm. Code 610,

Development, Annual Review, Coordination of Chemical Safety

Contingency Plans.


17



d) Part (Heading and Code Citation): Administrative Hearings (32 Ill. Adm. Code 200)


A) Description: The Agency will propose an amendment to the Agency's

hearing regulations to include hearing procedures for all programs of the

Agency and procedures for quashing subpoenas.

B) Statutory Authority: Implementing and authorized by the Illinois

Administrative Procedure Act (5 ILCS 100), Illinois Grant Funds

Recovery Act (30 ILCS 705) and the Radiation Protection Act of 1990

(420 ILCS 40)






corporations: The Agency does not anticipate these entities will be

affected unless they have a hearing before the Agency.


Traci Burton




217/524-0770

fax: 217/524-3698


e) Part (Heading and Code Citation): Fees for Analytical Testing of Community Drinking

Water Supply Samples for Radionuclides (32 Ill. Adm. Code 336)


17




A) Description: The Agency will propose to repeal this outdated regulation.

B) Statutory Authority: Implementing and authorized by Section 30(c) of the

Nuclear Safety Law of 2004 [20 ILCS 3310/30(c)]




D) Date Agency anticipates First Notice: January 2017




Traci Burton




217/524-0770

fax: 217/524-3698


f) Part (Heading and Code Citation): Emergency Planning and Community Right-To-Know



A) Description: The Agency will propose amendments to reflect recent

changes in federal requirements and to update antiquated references and

procedures. The Agency will also merge requirements in 29 Ill. Adm.

Code 430 and 610 into this regulation.


17



B) Statutory Authority: Implementing Title III of the Superfund

Amendments and Reauthorization Act of 1986 (P.L. 99-499) and the

Illinois Emergency Planning and Community Right to Know Act [430

ILCS 100] and authorized by Section 5(c) of the Illinois Emergency

Management Agency Act [20 ILCS 3305/5c]








Traci Burton




217/524-0770

fax: 217/524-3698


also propose to repeal 29 Ill. Adm. Code 430 and 610 merging those

requirements into Part 620.

g) Part (Heading and Code Citation): Development, Annual Review, Coordination of

Chemical Safety Contingency Plans (29 Ill. Adm. Code 610)


A) Description: The Agency will propose repealing 29 Ill. Adm. Code 610 to

reduce duplicative requirements with 29 Ill. Adm. Code 620. Merging the

requirements into one regulation will assist with eliminating public

confusion.


17



B) Statutory Authority: Implementing the Illinois Chemical Safety Act (Ill.

Rev. Stat. 1985, ch. 111½, pars. 951 et. seq.) and authorized by Section

7(c)(1) of the Illinois Emergency Services and Disaster Agency Act of

1975 [Ill. Rev. Stat. 1985, ch. 127, par. 1107 (c)(1)]






corporations: The Agency anticipates that this will alleviate a duplicative

regulatory burden for businesses in the State.


Traci Burton




217/524-0770

fax: 217/524-3698


also propose repealing 29 Ill. Adm. Code 430 and amending 29 Ill. Adm.

Code 620.

h) Part (Heading and Code Citation): Licensing of Radioactive Material (32 Ill. Adm. Code

330)


A) Description: The Agency will propose amendments to Section 330.40(d)

to clarify and update the exemption for current procedures and practices

regarding water treatment residuals. In addition, the Agency is


17



anticipating proposing new language in Section 330.20 to provide a

definition of water treatment residuals and in Section 330.220 to add a

general license category for water treatment facilities that do not meet the

exemption requirements in Section 330.40(d).

B) Statutory Authority: Implementing and authorized by the Radiation

Protection Act of 1990 [420 ILCS 40]

C) Scheduled meeting/hearing dates: None are scheduled at this time but, if



D) Date agency anticipates First Notice: Spring 2017


corporations: The Agency anticipates that businesses, small and some

not-for-profit corporations will be affected if they are producing or in

possession of water treatment residuals. This amendment will lessen some

of the regulatory burden by reducing duplicative requirements.


Traci Burton




217/524-0770

fax: 217/524-3698



A) Description: The Agency will propose amendments to Section 330.310

(i)(l) to include sealed sources in the two year storage restriction for

radioactive material that is not being used and Section 330.310(c) to add a

time limitation on submittal of information for transfer of ownership for


17



licenses. IEMA needs to have a written request in hand 90 days prior to

transfer in order to make sure all the licensing requirements are met and

that the new owner is legally bound to adhere to those requirements.



C) Scheduled meeting/hearing dates: None are scheduled at this time but, if




E) Effect on small businesses, small municipalities or not-for profit

corporations: These proposed amendments may affect these entities if

they have licensed radioactive material in storage. The amendment would

increase the level of oversight of material and may result in costs for

disposal of unwanted material. In addition, these entities may be affected

if they transfer ownership of their license. This change will benefit all

entities as it ensures that regulatory requirements are met with no delay in

production for businesses.


Traci Burton




217/524-0770

fax: 217/524-3698

G) Related rulemakings and other pertinent information: The source storage

regulation already exists in 32 Ill. Adm. Code 330.220(a)(6) for generally

licensed sources.

i) Part (Heading and Code Citation): Standards for Protection Against Radiation (32 Ill.

Adm. Code 340)


17




A) Description: The Agency will propose to amend Section 340.810(g) to

require two independent physical controls for all portable devices, not just

portable gauges.








corporations: These amendments could affect all entities that have

portable devices containing radioactive material.


Traci Burton




217/524-0770

fax: 217/524-3698


j) Part (Heading and Code Citation): Radiation Safety Requirements for Wireline Service

Operations and Subsurface Tracer Studies (32 Ill. Adm. Code 351)



17



A) Description: The Agency will propose amendments to Part 351 to add a

requirement that devices must be stored and transported under a two lock

security system and to allow use of the latest electronic dosimeters based

on new technology.








corporations: This may affect small businesses; however, the cost should

be minimal to introduce another lock or locking container into their

storage and transportation procedures. This requirement will benefit both

the licensee and the public by ensuring the radioactive material is secured

from theft, sabotage or loss. The change to dosimetry will allow licensees

to use the latest technology and add other options for their dosimetry

needs.


Traci Burton




217/524-0770

fax: 217/524-3698

G) Related rulemakings and other pertinent information: A similar rule in 32

Ill. Adm. Code 340.810(g) for portable gauges has been in existence since

2007.


17



k) Part (Heading and Code Citation): Fees for Radioactive Material Licensees (32 Ill. Adm.

Code 331)


A) Description: The Agency will propose amendments to add clarifying

language to ensure that fees are required unless the licensee has submitted

a termination request and disposed of licensed radioactive material prior to

September 30th and to ensure consistency of billing with recovery and

remediation fees and reciprocity fees.








corporations: These proposed amendments could affect small businesses

or not-for-profit corporations if they hold a radioactive material license.

The effect should be minimal and will help prevent unnecessary billing to

the licensee.


Traci Burton




217/524-0770

fax: 217/524-3698



17



l) Part (Heading and Code Citation): Notices, Instructions and Reports to Workers;

Inspections (32 Ill. Adm. Code 400)


A) Description: The Agency will propose amendments to Section 400.120

adding a requirement to maintain records of training for 5 years so that

these can be verified during inspections. The amendment would also

clarify that signatures are not required for on-line training if identity can

be verified.








corporations: This could affect all these entities and they will have to

ensure that documented evidence of training is maintained. The effect

should be minimal since most licensees already have this in place. It will

also allow larger institutions such as universities to use on-line training

without securing actual signatures from every user.


Traci Burton




217/524-0770

fax: 217/524-3698



17



m) Part (Heading and Code Citation): Radiation Safety Requirements for Industrial

Radiographic Operations (32 Ill. Adm. Code 350)


A) Description: The Agency will propose amendments to Part 350 adding a

requirement that devices must be stored and transported under a two lock

security system and to allow use of the latest electronic dosimeters based

on new technology.






D) Date Agency anticipates First Notice: Summer/Fall 2017


corporations: This may affect small businesses; however, the cost should

be minimal to include another lock or locking container into their storage

and transportation procedures. This will benefit the licensee and the

public by ensuring radioactive material is secured from loss, theft or

sabotage. The change to dosimetry will allow licensees to use the

latesttechnology and add other options for their dosimetry needs.


Traci Burton




217/524-0770

fax: 217/524-3698


17



G) Related rulemakings and other pertinent information: A similar regulation

was adopted in 32 Ill. Adm. Code 340.810(g) for portable gauges.

n) Part (Heading and Code Citation): Financial Assurance Requirements (32 Ill. Adm. Code

326)


A) Description: Current financial assurance requirements are inadequate if a

licensee defaults on disposal responsibilities. Therefore, the Agency will

propose amendments to Section 326.70(a) to change the amount of

financial assurance required from $25,000 for sealed sources over a curie

to $6000 per curie. In addition, Section 326.80 will be amended to

prohibit reliance on free federally funded disposal options for disposal

planning as these sources are not reliable.






D) Date Agency anticipates First Notice: Summer/Fall 2017


corporations: Most small businesses and not-for-profit corporations do

not possess radioactive material in these amounts so effect should be

minimal. Municipalities are exempt from this requirement. Changes in

Section 326.80 should not affect existing licensees, as it is simply a

clarifying statement for those that would like to eliminate existing surety

in favor of these free programs.


Traci Burton




17




217/524-0770

fax: 217/524-3698


o) Part (Heading and Code Citation): Medical Use of Radioactive Material (32 Ill. Adm.

Code 335)


A) Description: The Agency will propose amendments to clarify the

language in Section 335.1060(a)(3) so that only authorized users can

interpret the 'final' results of tests, studies and treatments.








corporations: This will mainly affect not-for-profit corporations such as

hospitals. These amendments will clarify that the authorized user named

on the license must be the physician of record on medical tests, studies and

treatments involving radioactive material. It also benefits hospitals as it

allows them to use off-site radiology firms to provide medical

interpretations on a consulting basis to on-site authorized users.


Traci Burton




17




217/524-0770

fax: 217/524-3698


p) Part (Heading and Code Citation): Registration and Operator Requirements for Radiation

Installation (32 Ill. Adm. Code 320)


A) Description: The Agency will propose amendments to reclassify

industrial equipment listed in Section 320.10 based on the actual current

radiation hazard and intended usage of x-ray equipment for non-human

use purposes.








corporations: This may affect small businesses and not-for-profit

corporations if they have industrial equipment. The result may be lowered

fees for x-ray equipment registration.


Traci Burton





17



217/524-0770

fax: 217/524-3698


q) Part (Heading and Code Citation): Standards for Protection Against Laser Radiation (32

Ill. Adm. Code 315)


A) Description: The Agency will propose amendments to update references

and charts currently in Part 315.

B) Statutory Authority: Implementing and authorized by the Laser System

Act of 1997 [420 ILCS 56]






corporations: These entities will only be affected if they possess lasers.

The effect should be minimal as the Agency will only be updating its

requirements to meet national standards.


Traci Burton




217/524-0770

fax: 217/524-3698



17



r) Part (Heading and Code Citation): Physical Protection of Category 1 and Category 2

Quantities of Radioactive Material (32 Ill. Adm. Code 337)


A) Description: The Agency will propose amendments to make changes

required by the U.S. Nuclear Regulatory Commission under RATS ID

2013-1 and 2015-2 and to fix clerical errors.






D) Date Agency anticipates First Notice: Spring 2017


corporations: These entities will only be affected if they possess Category

1 or 2 quantities of radioactive material. The effect should be minimal as

most requirements are already being followed by current licensees.


Traci Burton




217/524-0770

fax: 217/524-3698


s) Part (Heading and Code Citation): Regulations for Radon Service Providers (32 Ill.

Adm. Code 422)


17




A) Description: The Agency will propose amendments to update references

and to update its regulation to align with the national AARST/ANSI

standards recognized by the U.S. Environmental Protection Agency.

B) Statutory Authority: Implementing and authorized by the Radon Industry

Licensing Act [420 ILCS 44] and the Radon Resistant Construction Act

[420 ILCS 52]






corporations: Small businesses may be affected if employees hold a radon

professional or technician license and perform radon measurements or

mitigations.


Traci Burton




217/524-0770

fax: 217/524-3698



17

DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION


a) Part (Heading and Code Citation): The Barber, Cosmetology, Esthetics, Hair Braiding,

and Nail Technology Act of 1985 (68 Ill. Adm. Code 1175)

1) Rulemaking:

A) Description: Various sections may be amended to address changes as a

result of the sunset reauthorization of the Act (PA 99-427). In addition,

standards need to be proposed for the Department to waive remedial

training for applicants who have failed their examinations after several

attempts.

B) Statutory Authority: Barber, Cosmetology, Esthetics, Hair Braiding, and

Nail Technology Act of 1985 [225 ILCS 410]

C) Scheduled meeting/hearing dates: No hearings or meetings have been

scheduled.

D) Date agency anticipates First Notice: March 2017


corporations: Licensed barbers, cosmetologists, estheticians, hair braiders,

and nail technicians may be affected.


Department of Financial and Professional Regulation

Attention: Craig Cellini

320 West Washington, 3rd Floor


217/785-0813

fax: 217/557-4451


b) Part (Heading and Code Citation): Boxing and Full-Contact Martial Arts Act (68 Ill.

Adm. Code 1370)


17



1) Rulemaking:

A) Description: Clarification is needed of the Section 13 requirement in the

Act that requires promoters to timely pay a percentage of broadcast tax

receipts to ensure proper documentation is produced to the Department.

Additional clarification of the municipal exemption outlined in Section

6(a)(3) of the Act which has been a point of confusion for the public as

highlighted by recent legislation and industry efforts is also needed. The

purpose of these changes would be to clarify the necessary documentation

promoters must produce in order to provide guidance to licensees and to

municipalities seeking an exemption under the Act so that they may

properly conduct events.

B) Statutory Authority: Boxing and Full-contact Martial Arts Act [225 ILCS

105]


scheduled.

D) Date agency anticipates First Notice: February 2017


corporations: Individuals and/or entities licensed by the Division under

the provisions of the Professional Boxing Act






217/785-0813

fax: 217/557-4451


c) Part (Heading and Code Citation): Collection Agency Act (68 Ill. Adm. Code 1210)


17



1) Rulemaking:


result of the sunset reauthorization of the Act (PA 99-227).

B) Statutory Authority: Collection Agency Act [225 ILCS 425]


scheduled.

D) Date agency anticipates First Notice: Unknown


corporations: Licensed collection agencies may be affected.






217/785-0813

fax: 217/557-4451


d) Part (Heading and Code Citation): Illinois Controlled Substances Act (77 Ill. Adm. Code

3100)

1) Rulemaking:

A) Description: Amendment to this Part needed to include prescribing

psychologists in response to PA 98-668.

B) Statutory Authority: Illinois Controlled Substances Act [720 ILCS 570]


17




scheduled.

D) Date agency anticipates First Notice: May 2017


corporations: Licensed clinical psychologists may be affected.






217/785-0813

fax: 217/557-4451

G) Related rulemakings and other pertinent information: Clinical

Psychologist Licensing Act (68 Ill. Adm. Code 1400)

e) Part (Heading and Code Citation): Funeral Directors and Embalmers Licensing Code (68

Ill. Adm. Code 1250)

1) Rulemaking:

A) Description: Various sections may be amended to include changes to

Continuing Education (CE) and internship renewals as well as changes to

requirements for a preparation room. Technical clean-up changes may

also be made.

B) Statutory Authority: Funeral Directors and Embalmers Licensing Code

[225 ILCS 41]


scheduled.

D) Date agency anticipates First Notice: April 2017


17




corporations: Licensed funeral directors and embalmers may be affected.






217/785-0813

fax: 217/557-4451


f) Part (Heading and Code Citation): Professional Geologist Licensing Act (68 Ill. Adm.

Code 1252)

1) Rulemaking:


result of the sunset reauthorization of the Act (PA 99-26). Technical

clean-up language including changes reflecting the consolidation of the

Department of Financial and Professional Regulation will also be needed.

B) Statutory Authority: Professional Geologist Licensing Act [225 ILCS

745]


scheduled.

D) Date agency anticipates First Notice: May 2017


corporations: Licensed geologists may be affected.



17







217/785-0813

fax: 217/557-4451


g) Part (Heading and Code Citation): Rules for Administration of the Compassionate Use

of Medical Cannabis Pilot Program (68 Ill. Adm. Code 1290)

1) Rulemaking:

A) Description: Due to the infancy of the program the Department is looking

to propose amendments to streamline the application and registration

process and clarify intent. The rules may also need to be amended in

order to make several updates to Sections concerning definitions,

administration, visitors, audit and recordkeeping requirements, inventory

tracking system, security system, destruction and applications.

B) Statutory Authority: Compassionate Use of Medical Cannabis Pilot

Program Act [410 ILCS 130]


scheduled.



corporations: Licensed cannabis dispensaries may be affected.





17





217/785-0813

fax: 217/557-4451


h) Part (Heading and Code Citation): Optometric Practice Act of 1987 (68 Ill. Adm. Code

1320)

1) Rulemaking:

A) Description: PA 98-1111 amended Section 15.1(a-15) of the Act to reflect

recent changes in federal law by clarifying that optometrists’ prescriptive

authority of Scheduled II controlled substances is prohibited except for a

specific limited form of Dihydrocodeinone (Hydrocodone) only in a

quantity sufficient to provide treatment for up to 72 hours. Accordingly,

Section 1320.315 is being amended to include this change regarding

prescriptions for Scheduled II controlled substances.

PA 99-43 amended Section 12 of the Act to eliminate the one year

residency license. Accordingly, Section 1320.35 of the rules is being

repealed, and the application fee for this license is being removed. Also,

technical clean-up changes may be made as well as possible changes to

Continuing Education (CE).

B) Statutory Authority: Illinois Optometric Practice Act of 1987 [225 ILCS

80]


scheduled.

D) Date agency anticipates First Notice: June 2017


corporations: Licensed optometrists may be affected.


17








217/785-0813

fax: 217/557-4451


i) Part (Heading and Code Citation): Pharmacy Practice Act (68 Ill. Adm. Code 1330)

1) Rulemaking:

A) Description: A complete rewriting of the regulations for sterile and non-

sterile compounding is needed including changing the standards for

pharmacy compounding from those specifically set down in rule to the

standards developed by the United States Pharmacopeial-National

Formulary (USP-NF). Other changes will include allowing pharmacies to

sell non-sterile compounded products to practitioners for office use and

sterile compounding of veterinary products for office use. Technical clean

up changes may also be made.

B) Statutory Authority: Pharmacy Practice Act [225 ILCS 85]

C) Scheduled meeting/hearing dates: No hearings have been scheduled.

D) Date agency anticipates First Notice: June 2017


corporations: Licensed pharmacists, pharmacy technicians, and

pharmacies will be affected.




17






217/785-0813

fax: 217/557-4451


j) Part (Heading and Code Citation): Professional Counselor and Clinical Professional

Counselor Licensing Act (68 Ill. Adm. Code 1375)

1) Rulemaking:

A) Description: Changes to curriculum and education requirements may be

made as well as technical clean-up changes.

B) Statutory Authority: Professional Counselor and Clinical Professional

Counselor Licensing Act [225 ILCS 107]


scheduled.



corporations: Licensed professional counselors may be affected.






217/785-0813

fax: 217/557-4451


17




k) Part (Heading and Code Citation): Illinois Roofing Industry Licensing Act (68 Ill. Adm.

Code 1460)

1) Rulemaking:


result of the sunset reauthorization of the Act (PA 99-469).

B) Statutory Authority: Illinois Roofing Industry Licensing Act [225 ILCS

335]


scheduled.



corporations: Licensed roofing contractors and applicants for licensure

may be affected.






217/785-0813

fax: 217/557-4451


l) Part (Heading and Code Citation): Sex Offender Evaluation and Treatment Provider Act


1) Rulemaking:


17



A) Description: The curriculum requirements for associate sex offender

providers need to be revised.

B) Statutory Authority: Sex Offender Evaluation and Treatment Provider Act

[225 ILCS 109]


scheduled.



corporations: Licensed physicians, nurses, psychologists, professional

counselors, clinical social workers, and marriage and family therapists

may be affected.






217/785-0813

fax: 217/557-4451



17

ILLINOIS HOUSING DEVELOPMENT AUTHORITY


a) Part (Heading and Code Citation): Rental Housing Support Program (47 Ill. Adm. Code

380)

1) Rulemaking:

A) Description: Amend various sections to conform with recently passed

legislation and other administrative changes.

B) Statutory Authority: Rental Housing Support Act [310 ILCS 105] and

Illinois Housing Development Act [20 ILCS 3805/12]

C) Scheduled meeting/hearing dates: None

D) Date agency anticipates First Notice: February, 2017


corporations: None


Robin Jones

Illinois Housing Development Authority

111 E. Wacker Drive, Suite 1000

Chicago IL 60601

312/836-7453

G) Related rulemakings and other pertinent information: Rental Housing

Support Program 47 Ill. Adm. Code 380

b) Part (Heading and Code Citation): Multifamily Rental Housing Mortgage Loan Program


1) Rulemaking:

A) Description: Amend various sections to conform with recently passed

legislation and other administrative changes.


17



B) Statutory Authority: Illinois Housing Development Act [20 ILCS 3805]




corporations: None


Robin Jones



Chicago IL 60601

312/836-7453

G) Related rulemakings and other pertinent information: Multifamily Rental

Housing Mortgage Loan Program 47 Ill. Adm. Code 310

c) Part (Heading and Code Citation): National Affordable Housing Act (HOME) Program


1) Rulemaking:

A) Description: Amend various sections to conform with administrative

changes.



D) Date agency anticipates First Notice: March, 2017


corporations: None


17




Robin Jones



Chicago IL 60601

312/836-7453

G) Related rulemakings and other pertinent information: National Affordable

Housing Act (HOME) Program 47 Ill. Adm. Code 371

d) Part (Heading and Code Citation): Homeowner Mortgage Revenue Bond Program (47

Ill. Adm. Code 260)

1) Rulemaking:

A) Description: Amend various sections to conform with other

administrative changes.





corporations: None


Robin Jones



Chicago IL 60601

312/836-7453


17



G) Related rulemakings and other pertinent information: Homeowner

Mortgage Revenue Bond Program (47 Ill. Adm. Code 260)

e) Part (Heading and Code Citation): Public Information, Rulemaking and Organization (2

Ill. Adm. Code 1975)

1) Rulemaking:


changes.

B) Statutory Authority: Sections 7.19 and 7.25 of the Illinois Housing

Development Act [20 ILCS 3805/7.19 and 7.25]




corporations: None


Robin Jones



Chicago IL 60601

312/836-7453

G) Related rulemakings and other pertinent information: Public Information,

Rulemaking and Organization (2 Ill. Adm. Code 1975)

f) Part (Heading and Code Citation): State Housing Appeals Board (47 Ill. Adm. Code 395)

1) Rulemaking:


17




changes.

B) Statutory Authority: Sections 7.19 of the Illinois Housing Development

Act [20 ILCS 3805/7.19] and Section 60 of the Affordable Housing

Planning and Appeal Act [310 ILCS 67/60]




corporations: None


Robin Jones



Chicago IL 60601

312/836-7453

G) Related rulemakings and other pertinent information: State Housing

Appeals Board (47 Ill. Adm. Code 395)

g) Part (Heading and Code Citation): Predatory Lending Database Program (47 Ill. Adm.

Code 390)

1) Rulemaking:

A) Description: Repeal due to program sunset.


and Residential Real Property Disclosure Act [765 ILCS 77/80]



17





corporations: None


Robin Jones



Chicago IL 60601

312/836-7453

G) Related rulemakings and other pertinent information: Predatory Lending

Database Program (47 Ill. Adm. Code 390)


17

HUMAN RIGHTS COMMISSION


a) Part(s) (Heading and Code Citation): Procedural Rules (56 Ill. Adm. Code 5300)

1) Rulemaking:

A) Description: Pursuant to PA 96-876 effective 02/02/10, clarifies a

respondent’s rights upon receipt of a notice of default issued by the

Department, explains the rights of the Complainant after the Commission

grants a Petition for Default, expands the timeline for complainant to

request the Commission review a notice of dismissal of a charge issued by

the Department, limit the number of pages for Request for Review.

Pursuant to 5 ILCS 120/2.06 (g) of the Open Meetings Act, clarifies

accessibility of Commission meetings to the public.

B) Statutory Authority: Authorized by Sections 8-102(E) of the Illinois

Human Rights Act [775 ILCS 8-102(E)]

C) Scheduled meeting/hearing dates: No meetings or hearings are scheduled

or anticipated at this time.

D) Date agency anticipates First Notice: During the next six months.

E) Effect on small business, small municipalities or not for profit

corporations: None


Evelio Mora

Assistant General Counsel

Illinois Human Rights Commission

100 W. Randolph St., Ste. 5-100

Chicago IL 60601

312/814-1914

TTY 312/814-4760

G) Related rulemaking and other pertinent information: None


17



a) Part (Heading and Code Citation): Standards and Licensure Requirements for

Community Integrated Living Arrangements (59 Ill. Adm. Code 115)

1) Rulemaking:

A) Description: This rulemaking adds language regarding monitors and

receiverships; modifies language about terminations and/or discharges;

and, adds new or modifies existing language to enhance and strengthen

licensure qualifications and the application process.

B) Statutory Authority: Implementing the Community-Integrated Living

Arrangements Licensure and Certification Act [210 ILCS 135] and the

Health Care Worker Background Check Act [225 ILCS 46], and

authorized by Section 5-104 of the Mental Health and Developmental

Disabilities Code [405 ILCS 5/5-104] and Section 5 of the Mental Health

and Developmental Disabilities Administrative Act [20 ILCS 1705/5].

C) Scheduled meeting/hearing dates: The public will have an opportunity to

comment on these rules during the First Notice Period. Hearings will be

held if necessary as required by the Illinois Administrative Procedure Act

[5 ILCS 100].

D) Date agency anticipates First Notice: June, 2017


corporations: Yes, this rulemaking will affect small businesses and not-

for-profit corporations that provide community-integrated living

arrangements.


Tracie Drew, Bureau Chief



100 South Grand Avenue, East


217/785-9772


17




b) Part (Heading and Code Citation): Family Assistance and Home-Based Support

Programs for Persons with Mental Disabilities (59 Ill. Adm. Code 117)

1) Rulemaking:

A) Description: This rulemaking is necessary to ensure the rule is consistent

with current Program standards and practices that relate to the Family

Assistance and Home-Based Support Programs.

B) Statutory Authority: Implementing the Home-Based Support Services

Law for Mentally Disabled Adults [405 ILCS 80/2-1] and the Family

Assistance Law for Mentally Disabled Children [405 ILCS 80/3-1] and

authorized by Section 2-16 of the Home-Based Support Services Law for

Mentally Disabled Adults [405 ILCS 80/2-16], Section 5-104 of the

Mental Health and Developmental Disabilities Code [405 ILCS 5/5-104]

and Section 5 of the Mental Health and Developmental Disabilities Act

[20 ILCS 1705/5].




[5 ILCS 100].




for-profit corporations that provide community-integrated living

arrangements.






17





217/785-9772


c) Part (Heading and Code Citation): Medicaid Home and Community-Based Services

Waiver Program for Individuals with Developmental Disabilities (59 Ill. Adm. Code 120)

1) Rulemaking:

A) Description: This rulemaking updates language regarding terminations

and/or discharges and also updates current terminology and processes. It

will also address federal changes to service planning expectations.

B) Statutory Authority: Implementing Section 3 of the Community Services

Act [405 ILCS 30/3] and Sections 5-1 through 5-11 of the Public Aid

Code [305 ILCS 5/5-1 through 5-11] and authorized by Section 5-104 of

the Mental Health and Developmental Disabilities Code [405 ILCS 5/5-

104] and Section 5 of the Mental Health and Developmental Disabilities

Administrative Act [20 ILCS 1705/5].




[5 ILCS 100].




for-profit corporations that provide services in community-based

residential settings.




17







217/785-9772


d) Part (Heading and Code Citation): Sexually Violent Persons (59 Ill. Adm. Code 299)

1) Rulemaking:

A) Description: This rulemaking will update language to implement the

Sexually Violent Persons Commitment Act [725 ILCS 207].

B) Statutory Authority: Implementing and authorized by the Sexually

Violent Persons Commitment Act [725 ILCS 207].




[5 ILCS 100].



corporations: This rulemaking will not have an effect on small businesses,

small municipalities or not-for-profit corporations.








17



217/785-9772


e) Part (Heading and Code Citation): Schedule of Controlled Substances (77 Ill. Adm.

Code 2070)

1) Rulemaking:

A) Description: This rulemaking is necessary to update the Schedule of

Controlled Substances to be consistent with PA 99-371. Other various

substances will also be added to the Schedule including but not limited to,

Thiafentanil, Kratom, Mitragynine, and 7-Hydroxymitragyine.

B) Statutory Authority: Implementing and authorized by Section 100 of the

Illinois Controlled Substances Act [720 ILCS 570/100]; PA 99-371.




[5 ILCS 100].











217/785-9772


17




f) Part (Heading and Code Citation): Child Care (89 Ill. Adm. Code 50)

1) Rulemaking:

A) Description: This rulemaking will make the following changes:

• add the definition for and provide provisions to track compliance with

the federal Health and Safety Standards;

• specify that a determination on an application for child care assistance

will be made no more than 45 days from the date of application;

• require the maintenance of daily attendance records; and establish the

staff criteria for programs that serve only school-age children and

youth.

B) Statutory Authority: Implementing Articles I through IXA and authorized

by Section 12-13 of the Illinois Public Aid Code [305 ILCS 5/Arts. I

through IXA and 12-13]; 45 CFR Subpart D, §98.41 Health and Safety

requirements.




[5 ILCS 100].




for-profit corporations that provide Child Care.







17




217/785-9772


g) Part (Heading and Code Citation): Temporary Assistance for Needy Families (89 Ill.

Adm. Code 112)

1) Rulemaking:

A) Description: This rulemaking will exclude funds in an Achieving a Better

Live Experience (ABLE) account from consideration as unearned income

in determining eligibility and level of assistance payment.

B) Statutory Authority: Implementing and authorized by the Tax Increase

Prevention Act of 2014, Section 529A of the Internal Revenue Code and

the ABLE Account Program, 15 ILCS 505/16.6.




[5 ILCS 100].

D) Date agency anticipates First Notice: May, 2017











17



217/785-9772

G) Related rulemakings and other pertinent information: 89 Ill. Adm. Code

113; 89 Ill. Adm. Code 121

h) Part (Heading and Code Citation): Aid to the Aged, Blind or Disabled (89 Ill. Adm.

Code 113)

1) Rulemaking:


Live Experience (ABLE) account from consideration as unearned income

and as an asset in determining eligibility and level of assistance payment.



the ABLE Account Program, 15 ILCS 505/16.6.




[5 ILCS 100].

D) Date agency anticipates First Notice: May, 2017










217/785-9772


17




112; 89 Ill. Adm. Code 121

i) Part (Heading and Code Citation): Supplemental Nutrition Assistance Program (SNAP)


1) Rulemaking:


Live Experience (ABLE) account from consideration as income and as a

resource in determining eligibility for SNAP. This rulemaking will also

revise the student of higher education exemptions.



the ABLE Account Program, 15 ILCS 505/16.6 and the Agricultural Act

of 2014.




[5 ILCS 100].












17



217/785-9772


112; 89 Ill. Adm. Code 113

j) Part (Heading and Code Citation): Collections and Recoveries (89 Ill. Adm. Code 165)

1) Rulemaking:

A) Description: This rulemaking will make the following changes: establish

that once a debt becomes delinquent after regular payments have not been

made for 90 days, the debt will remain delinquent regardless of any

payments made after the 90 days; and clarify when and how collection

methods will be applied.

B) Statutory Authority: Implementing and authorized by Sections 11-18, 12-

4.4 and 12-13 of the Illinois Public Aid Code [305 ILCS 5/11-18, 12-4.4

and 12-13] and 7 CFR 273.18.




[5 ILCS 100].




for-profit corporations that provide Child Care.








17



217/785-9772


k) Part (Heading and Code Citation): Early Intervention Program (89 Ill. Adm. Code 500)

1) Rulemaking:

A) Description: This rulemaking will delete the provisions regarding nursing

services for the purpose of evaluation to determine a child’s

developmental status and need for Early Intervention services. Other

healthcare professionals such as physicians, developmental therapists, and

speech language pathologists, not nurses, complete the evaluation to

determine a child’s developmental status and need for Early Intervention

services.

B) Statutory Authority: Implementing and authorized by the Early

Intervention Services System Act [325 ILCS 20/8].




[5 ILCS 100].

D) Date agency anticipates First Notice: April, 2017











17



217/785-9772


l) Part (Heading and Code Citation): Program Definitions (89 Ill. Adm. Code 521)

1) Rulemaking:

A) Description: This rulemaking will add new language or update current

language regarding certain words or phrases including, but not limited to,

the following: Authorized Activities, Competitive Employment Outcome,

Customized Employment, DSU, Employment Outcome, Entity, Extended

Services, Federal Minimum Wage, Ongoing Support Services, Pre-

Employment Transition Coordination, Pre-Employment Transition

Services, Recipients, Required Activities, Special Wage Certificate,

Student with a Disability, Supported Employment, Supported

Employment Services, Transition Services, and Youth with a Disability.

B) Statutory Authority: Implementing and authorized by Section 3(a), (b)

and (k) of the Disabled Persons Rehabilitation Act [20 ILCS 2405/3(a), (b)

and (k)]; The Rehabilitation Act of 1973 as amended by the Workforce

Innovation and Opportunity Act (WIOA).




[5 ILCS 100].



corporations: Yes, this rulemaking will affect small businesses, small

municipalities or not-for-profit corporations who provide Vocational

Rehabilitation services.




17







217/785-9772


m) Part (Heading and Code Citation): Grants and Contracts (89 Ill. Adm. Code 525)

1) Rulemaking:

A) Description: This rulemaking will update the TTY/TDD requirements for

contractors/rate agreement holders to include the use of relay services.

B) Statutory Authority: Implementing Section 3(k) of the Disabled Persons

Rehabilitation Act [20 ILCS 2405/3(k)].




[5 ILCS 100].




for-profit corporations that are required to have a TTY/TDD.








17



217/785-9772


n) Part (Heading and Code Citation): Services (89 Ill. Adm. Code 590)

1) Rulemaking:

A) Description: This rulemaking will amend language affecting: how

transition services are provided, what justification is needed to qualify for

supported employment, the purpose of and types of supported

employment, the criteria to be transitioned to extended services and the

purpose of and types of extended services.

B) Statutory Authority: Implementing Section 3 of the Disabled Persons

Rehabilitation Act [20 ILCS 2405/3] and authorized by Section 5-625 of

the Civil Administrative Code of Illinois [20 ILCS 5/5-625]; The

Rehabilitation Act of 1973 as amended by the Workforce Innovation and

Opportunity Act (WIOA).




[5 ILCS 100].












17




217/785-9772


o) Part (Heading and Code Citation): Closure of a Rehabilitation Case (89 Ill. Adm. Code

595)

1) Rulemaking:

A) Description: This rulemaking will clarify the types of employment

outcomes that may be considered for a Vocational Rehabilitation

Customer.

B) Statutory Authority: Implementing and authorized by Section 3(a), (b),

and (k) of the Disabled Persons Rehabilitation Act [20 ILCS 2405/3(a), (b)

and (k)]; The Rehabilitation Act of 1973 as amended by the Workforce

Innovation and Opportunity Act (WIOA).




[5 ILCS 100].












17




217/785-9772


p) Part (Heading and Code Citation): Program Description (89 Ill. Adm. Code 676)

1) Rulemaking:

A) Description: This rulemaking will update and/or add new language

regarding Electronic Visit Verification, Medicaid IMPACT enrollment,

Individual Provider requirements and Home and Community-Based

Services.


Rehabilitation Act [20 ILCS 2405/3]; the SMART Act [305 ILCS 5/5-

f(g)]; the Fair Labor Standards Act of 1938 [29 USC 201 et seq.]; 42 CFR

440.




[5 ILCS 100].




for-profit corporations that provide services under the Home Services

Program.







17




217/785-9772


677; 89 Ill. Adm. Code 684; 89 Ill. Adm. Code 686

q) Part (Heading and Code Citation): Customer Rights and Responsibilities (89 Ill. Adm.

Code 677)

1) Rulemaking:




Services.



f(g)]; the Fair Labor Standards Act of 1938 (29 USC 201 et seq.); and

Centers for Medicare and Medicaid Services (42 CFR 440).




[5 ILCS 100].





Program.





17






217/785-9772



r) Part (Heading and Code Citation): Determination of Need (DON) and Resulting Service

Cost Maximums (SCMs) (89 Ill. Adm. Code 679)

1) Rulemaking:

A) Description: This rulemaking will update language to ensure the rule is

consistent with current Program standards and practices that relate to

federal Home and Community-Based Services regulations.


Rehabilitation Act [20 ILCS 2405/3].




[5 ILCS 100].





Program.






17





217/785-9772


s) Part (Heading and Code Citation): Prescreening (89 Ill. Adm. Code 681)

1) Rulemaking:





Rehabilitation Act [20 ILCS 2405/3].




[5 ILCS 100].





Program.








17



217/785-9772


t) Part (Heading and Code Citation): Eligibility (89 Ill. Adm. Code 682)

1) Rulemaking:





Rehabilitation Act [20 ILCS 2405/3] and Centers for Medicare and

Medicaid Services (42 CFR 440).




[5 ILCS 100].





Program.







217/785-9772


17




u) Part (Heading and Code Citation): Service Planning and Provision (89 Ill. Adm. Code

684)

1) Rulemaking:




Services.








[5 ILCS 100].





Program.







217/785-9772


17





v) Part (Heading and Code Citation): Provider Requirements, Type Services, and Rates of

Payment (89 Ill. Adm. Code 686)

1) Rulemaking:




Services.








[5 ILCS 100].





Program.








17



217/785-9772



w) Part (Heading and Code Citation): Illinois Long-Term Care Partnership Program (89 Ill.

Adm. Code 688)

1) Rulemaking:


consistent with current Program standards and practices that relate to the

Long-Term Care Partnership Program.

B) Statutory Authority: Long-Term Care Partnership Program Act [215

ILCS 132] and Section 3(g) of the Disabled Persons Rehabilitation Act

[20 ILCS 2405/3(g)].




[5 ILCS 100].












17



217/785-9772


x) Part (Heading and Code Citation): Centers for Independent Living (89 Ill. Adm. Code

886)

1) Rulemaking:

A) Description: Pursuant to the Workforce Innovation Opportunity Act, this

rulemaking will update language to address certification and/or

accreditation. This rulemaking will also include information on the

federal Uniform Guidance regulations.

B) Statutory Authority: Implementing and authorized by Section 12a of the

Disabled Persons Rehabilitation Act [20 ILCS 2405/12a], and 29 U.S.C.

711 and 796; The Rehabilitation Act of 1973 as amended by the

Workforce Innovation and Opportunity Act (WIOA).; Centers for

Independent Living (34 CFR 364 and 366); and 2 CFR 200.




[5 ILCS 100].




for-profit corporations that provide services related to Centers for

Independent Living.







17




217/785-9772



17

DEPARTMENT OF JUVENILE JUSTICE


a) Part (Heading and Code Citations): Juvenile Delinquent Release (20 Ill Adm. Code

2460)

1) Rulemaking:

A) Description: The Department of Juvenile Justice anticipates the adoption

of new rules implementing the provisions of PA 99-628 requiring the

Department to establish a process for deciding the date of release on

aftercare for every juvenile delinquent committed to the Department of

Juvenile Justice under Section 5-750 of the Juvenile Court Act of 1987.

B) Statutory Authority: 730 ILCS 5/3-2.5-85

C) Scheduled meeting/hearing dates: None have been scheduled.

D) Date agency anticipates First Notice: During the next 6 months

E) Affect on small businesses, small municipalities or not-for-profit

corporations: None


Kathryn Williams

Policy Staff Attorney

Department of Juvenile Justice

707 North 15th St.

Springfiel IL 62702

217/557-1010 ext. 3018

[email protected]



17



a) Part (Heading and Code Citations): E-Pay Program (74 Ill. Adm. Code 735)

1) Rulemaking:

A) Description: PA 99-856, effective August 19, 2016, authorizes the State

Treasurer to establish and administer the E-Pay program. This program

allows governmental agencies to accept payments 24 hours a day, seven

days per week, utilizing credit card and electronic payment options. This

rule will provide clarification for the implementation and administration of

the program by the Treasurer’s Office.

B) Statutory Authority: Section 17 of the State Treasurer Act [15 ILCS

505/17]


D) Date agency anticipates First Notice: March 2017


corporations: The purpose of the E-Pay program is to offer local and state

government agencies a convenient, secure and affordable electronic

payments processing option for the acceptance of credit card, debit card,

and E-check payments from constituents. The program allows the Office

to achieve economies of scale and save on costs for local governmental

units.


G. Allen Mayer

Deputy General Counsel

Illinois State Treasurer

219 State House


217/557-2673

fax: 217/785-2777

e-mail: [email protected]


17





17

ILLINOIS RACING BOARD


a) Part (Heading and Code Citation): Illinois Racing Board, 11 Ill. Adm. Code 200

1) Rulemaking:

A) Description: This Part may be amended as necessary to reflect changes

made to Part 210.

B) Statutory Authority: Section 9(b) of the Illinois Horse Racing Act of 1975

[230 ILCS 5/9(b)]

C) Scheduled meeting/hearing dates: Interested persons may send specific

criticisms, suggestions, and/or comments to the Illinois Racing Board in

writing during the First Notice Period.

D) Date agency anticipates First Notice: Undetermined


corporations: None


Mickey Ezzo


100 W. Randolph Street

Suite 5-700

Chicago IL 60601

312/814-5017

fax: 312/814-5062

[email protected]


b) Part (Heading and Code Citation): Definitions, 11 Ill. Adm. Code 210

1) Rulemaking:

A) Description: Delete unnecessary and duplicative definitions.


17




[230 ILCS 5/9(b)]






corporations: None


Mickey Ezzo



Suite 5-700

Chicago IL 60601

312/814-5017

fax: 312/814-5062

[email protected]


c) Part (Heading and Code Citation): Supertrifecta Exchange, 11 Ill. Adm. Code 310

1) Rulemaking:

A) Description: This Part is being repealed because the racetracks no longer

utilize this wager.


[230 ILCS 5/9(b)]


17






D) Date agency anticipates First Notice: The Board anticipates First Notice

publication in the Illinois Register in February of 2017.


corporations: None


Mickey Ezzo



Suite 5-700

Chicago IL 60601

312/814-5017

fax: 312/814-5062

[email protected]


d) Part (Heading and Code Citation): Hi/Low, 11 Ill. Adm. Code 313

1) Rulemaking:


utilize this wager.


[230 ILCS 5/9(b)]





17






corporations: None


Mickey Ezzo



Suite 5-700

Chicago IL 60601

312/814-5017

fax: 312/814-5062

[email protected]


e) Part (Heading and Code Citation): Show Quinella, 11 Ill. Adm. Code 316

1) Rulemaking:


utilize this wager.


[230 ILCS 5/9(b)]







17




corporations: None


Mickey Ezzo



Suite 5-700

Chicago IL 60601

312/814-5017

fax: 312/814-5062

[email protected]


f) Part (Heading and Code Citation): Countdown, 11 Ill. Adm. Code 317

1) Rulemaking:


utilize this wager.


[230 ILCS 5/9(b)]







corporations: None



17



Mickey Ezzo



Suite 5-700

Chicago IL 60601

312/814-5017

fax: 312/814-5062

[email protected]


g) Part (Heading and Code Citation): WPS Pick (N), 11 Ill. Adm. Code 323

1) Rulemaking:


utilize this wager.


[230 ILCS 5/9(b)]







corporations: None


Mickey Ezzo




17



Suite 5-700

Chicago IL 60601

312/814-5017

fax: 312/814-5062

[email protected]


h) Part (Heading and Code Citation): Uniform System of Accounts, 11 Ill. Adm. Code 412

1) Rulemaking:

A) Description: In an on-going initiative to make rules more efficient, these

rules will be amended to conform to Generally Accepted Accounting

Principles (GAAP).


[230 ILCS 5/9(b)]






corporations: None


Mickey Ezzo



Suite 5-700

Chicago IL 60601

312/814-5017


17



fax: 312/814-5062

[email protected]


i) Part (Heading and Code Citation): Inter-Track Wagering Facilities, 11 Ill. Adm. Code

435

1) Rulemaking:

A) Description: Changes will be made to Section 435.110.


[230 ILCS 5/9(b)]






corporations: None


Mickey Ezzo



Suite 5-700

Chicago IL 60601

312/814-5017

fax: 312/814-5062

[email protected]



17



j) Part (Heading and Code Citation): Licensing, 11 Ill. Adm. Code 502

1) Rulemaking:

A) Description: Sections may be repealed and amended.


[230 ILCS 5/9(b)]






corporations: None


Mickey Ezzo



Suite 5-700

Chicago IL 60601

312/814-5017

fax: 312/814-5062

[email protected]


k) Part (Heading and Code Citation): Substance Abuse, 11 Ill. Adm. Code 508

1) Rulemaking:


17



A) Description: An amendment may be made to define "bodily fluid

specimens" as "biological specimens", to conduct testing utilizing current

and future more reliable and less invasive technologies.


[230 ILCS 5/9(b)]






corporations: None


Mickey Ezzo



Suite 5-700

Chicago IL 60601

312/814-5017

fax: 312/814-5062

[email protected]


l) Part (Heading and Code Citation): Jockeys, Apprentices, Jockey Agents, and Valets, 11

Ill. Adm. Code 1411

1) Rulemaking:

A) Description: Repeal Section 1411.120.


17




[230 ILCS 5/9(b)]






corporations: None


Mickey Ezzo



Suite 5-700

Chicago IL 60601

312/814-5017

fax: 312/814-5062

[email protected]



17

DEPARTMENT OF REVENUE


a) Part (Heading and Code Citations): Income Tax, 86 Ill. Adm. Code 100

1) Rulemaking:

A) Description: New rules will be added to Part 100 concerning the tax credit

for Tech Prep Youth Vocational Programs (IITA Section 209); the

reallocation of items under IITA Section 404; pass-through of investment

credits from partnerships and Subchapter S corporations to their partners

and shareholders; filing of refund claims and other collection matters, sand

interest computations.

Part 100 will be amended by adding rules and amending existing rules

governing the computation of base income under Article 2 of the IITA, the

allocation and apportionment of base income under Article 3 of the IITA,

and the filing of returns and payment of taxes under Articles 5 and 6 of the

IITA.

Part 100 will be amended to update the provisions defining unitary

business groups and computing the combined tax liability of unitary

business groups.

Part 100 will be amended by adding rules providing guidance on the

addition and subtraction modifications allowed in IITA Section 203, on

the credit for residential property taxes paid in IITA Section 208, on the

acceptance of substitute W-2s, electronic filing of returns, and rounding

amounts on returns to the nearest dollar.

Part 100 will be amended to clarify definitions of terms in IITA Section

1501(a).

Part 100 will be amended to implement legislation enacted in 2005, 2006,

2007, 2008, 2009, 2010, 2011, 2012, 2013, 2014, 2015, and 2016,

including the historic preservation and hospital credits, the credits and

subtractions allowed with respect to enterprise zones, credits for hiring

veterans and ex-felons, bonus depreciation adjustments, withholding by

employers, partnerships, Subchapter S corporations and trusts, changes to

apportionment formulas and taxation of real estate investment trusts and

their investors, recoveries of itemized deductions, special net loss rules for


17



cooperatives, recipients of nondeductible dividends from controlled

foreign corporations, and holders of residual interests in real estate

mortgage investment companies, appeals to the Tax Tribunal, Illinois

Secure Choice Savings Program Act, and the State Tax Preparer Oversight

Act.

Part 100 will be amended to provide additional guidance on nexus and on

the Illinois income tax consequences of changes in federal income tax

laws.

Finally, the Department will continue the updating and correction of Part

100.

B) Statutory Authority: 35 ILCS 5/101 and 35 ILCS 5/1401

C) Scheduled meeting/hearing dates: No schedule has been established at

this time.

D) Date agency anticipates First Notice: As noted above, there will be a

number of rulemakings proposed with respect to Part 100 over the next six

months. We anticipate filing rulemakings amending Part 100 on a regular

basis during the next six months of this year.

E) Effect on small business, small municipalities or not-for-profit

corporations: These rulemakings will affect any business that incurs an

income tax filing obligation.


Brian Stocker

Staff Attorney

Illinois Department of Revenue

101 W. Jefferson, 5-500


217/782-2844



17



b) Part (Heading and Code Citations): Retailers' Occupation Tax, 86 Ill. Adm. Code

130

1) Rulemaking:

A) Description: Amendments will be made to update the Retailers'

Occupation Tax regulations to reflect new statutory developments,

decisional law and Department policies. Rulemakings are also

promulgated as part of the Department's continuing effort to codify

policies contained in various letter rulings.

New rules will be added to Part 130 provide guidance regarding

the documentation requirement for sales by retailers to exempt

organizations holding active exemption numbers issued by the

Department; to describe how "deal of the day" types of

transactions are taxed and to provide examples regarding those

transactions; to implement PA 98-1058 regarding the furnishing of

financial information to a municipality, including confidentiality

requirements.

Section 130.311 will be amended to reflect the provisions of PA

99-855, which provides an exemption for menstrual pads, tampons

and menstrual cups. This section will also be amended to reflect

the provisions of PA 99-858, which provides that the preferential

low rate of tax applies to products classified as Class III medical

devices by the United States Food and Drug Administration that

are used for cancer treatment pursuant to a prescription, as well as

any accessories and components related to those devices.

Section 130.2007 will be amended to explain the proper use by an

exempt organization of its exemption identification number issued

by the Department and consequences of an organization's failure to

use ordinary care to ensure that the exemption identification

number is not improperly utilized. Consequences include

revocation of the exemption identification number.


17



Sections 130.455 and 130.2013 will be amended to implement the

provisions of PA 98-628 and PA 98-1080, which change the

method of determining the "selling price" for first division and

certain types of second division motor vehicles that are leased for

defined periods in excess of one year.

Sections 130.501 and 130.745 will be amended to reflect changes

made as a result of PA 98-496, which authorizes the Department to

disallow the vendor's discount under certain circumstances.

Section 130.910 will be amended in response to enactment of PA

98-0352, which prohibits the sale, possession and use of automated

sales suppression devices, or zappers. This section will also be

amended in response to enactment of PA 97-1074, which added

the criminal offense of sales tax evasion.

Section 130.450 will be amended to clarify the documentation

required to demonstrate a separate agreement between the seller

and purchaser for installation, alteration and special service

charges.

Section 130.1960 will be amended to reflect the changes from

Public Act 99-0217 regarding bad debt deductions, including bad

debt deductions for private label credit cards.

B) Statutory Authority: 35 ILCS 120/12

C) Scheduled meetings/hearing dates: No schedule has been

established at this time.

D) Date agency anticipates First Notice: As noted above, there will be

a number of rulemakings proposed with respect to Part 130 over

the next six months. We anticipate filing rulemakings amending

Part 130 on a regular basis during the next six months of this year.


corporations: Small businesses that sell tangible personal property

at retail will be affected by these regulations. Tax exempt


17



organizations will be affected by the changes proposed to Section

130.2005, 130.2007, and the new section providing guidance on

how to document exempt sales to those organizations. Persons

purchasing rolling stock, including aircraft and watercraft for use

as rolling stock moving in interstate commerce, will be affected by

the changes to Section 130.340, as will sellers of such items.


Jerilynn Troxell Gorden

Deputy General Counsel, Sales and Excise Tax




217/782-2844


c) Part (Heading and Code Citations): Use Tax, 86 Ill. Adm. Code 150

1) Rulemaking:

A) Description: Amendments will be made to update the Use Tax

regulations to reflect new statutory developments, decisional law

and Department policies.

Section 150.401 will be amended to clarify when out-of-state

retailers attending trade shows in this State are not considered to

have a Use Tax collection on remote sales to Illinois customers and

to provide guidance on other issues presented by retailer presence

at trade shows in Illinois.

Section 150.1015 will be amended to add new provisions in

response to PA 98-352, which prohibits the sale, possession and

use of automated sales suppression devices, or zappers



17





D) Date agency anticipates First Notice: We anticipate filing

rulemakings amending Part 150 during the next six months of this

year.


corporations: These amendments will affect persons subject to the

Use Tax.







217/782-2844


d) Part (Heading and Code Citations): Bingo License and Tax Act, 86 Ill. Adm.

Code 430

1) Rulemaking:

A) Description: Regulations will be updated to reflect the provisions

of Public PA 93-742, which authorizes the Department to issue 3-

year bingo licenses, including regular licenses, limited licenses or

senior citizen restricted licenses, the amendments in PA 95-228,

dealing with licensing, the amendments in PA 97-1150,

implementing the Criminal Code of 2012. The regulations will

also be amended to clarify definitions, record keeping

requirements and the documentation required for a license


17



application, and the amendments in PA 99-177 regarding special

permits.


C) Scheduled meeting/hearing dates: No schedule has been



rulemakings during the next six months of this year.


corporations: Entities eligible for bingo licenses will be affected

by this rulemaking.


Brian Stocker

Staff Attorney




217/782-2844

G) Related rulemakings and other pertinent information: There are no

related rulemakings.

e) Part (Heading and Code Citations): Pull Tabs and Jar Games Act, 86 Ill. Adm.

Code 432

1) Rulemaking:

A) Description: Regulations will be amended to implement the

amendments in PA 95-228 dealing with licensing and to clarify

record keeping requirements and the documentation required for a

license application and the amendments in PA 97-1150,

implementing the Criminal Code of 2012.


17









corporations: Entities eligible for pull tabs and jar games licenses

will be affected by this rulemaking.


Brian Stocker

Staff Attorney




217/782-2844



f) Part (Heading and Code Citations): Hydraulic Fracturing Tax, 86 Ill. Adm. Code

475

1) Rulemaking:

A) Description: A new Part will be promulgated in response to

enactment of PA 98-22 and PA 98-23 (Hydraulic Fracturing

Regulatory Act, including the Illinois Hydraulic Fracturing Tax).

B) Statutory Authority: 35 ILCS 450/2-65


17








corporations: Small businesses may be included in the persons

required to file returns, pay taxes and maintain books and records.







217/782-2844



g) Part (Heading and Code Citations): Uniform Penalty and Interest Act, 86 Ill.

Adm. Code 700

1) Rulemaking:

A) Description: The Department will amend the regulations in Part

700 to reflect recent amendments to the Uniform Penalty and

Interest Act and Department policies.





17





E) Affect on small business, small municipalities and not-for-profit

corporations: These rulemakings will provide guidance for any

business or not-for-profit corporation that incurs tax liabilities

potentially subject to penalty or interest obligations under the

Uniform Penalty and Interest Act.


Brian Stocker

Associate Counsel, Income Tax




217/782-2844


h) Part (Heading and Code Citations): The Illinois Liquor Control Commission, 11

Ill. Adm. Code 100

1) Rulemaking:

A) Description: Section 270.115 will be amended to reflect the

provisions of PA 99-216, which changes the manner in which

conditional sales are sourced. The amendments specify that a

retailer selling tangible personal property to a nominal lessee or

bailee pursuant to a lease with a dollar or other nominal option to

purchase is engaged in the business of selling at the location where

the property is first delivered to the lessee or bailee for its intended

use.



17





D) Date agency anticipates First Notice: We anticipate filing rules

within the next six months of the year.


corporations: These rulemakings will affect any business that

operates at retail and makes conditional sales.





101 W. Jefferson Street, 5-500


217/782-2844

G) Related rulemakings and other pertinent information: Similar

rulemakings will be promulgated for other local taxes administered

by the Department.


17

TEACHERS' RETIREMENT SYSTEM OF THE STATE OF ILLINOIS


a) Part (Heading and Code Citation): The Administration and Operation of the Teachers'

Retirement System, 80 Ill. Adm. Code 1650

1) Rulemaking:

A) Description: The Teachers' Retirement System anticipates amending

Employer Services rules as needed to ensure all policies in the TRS

Employer Guide that affect persons outside the agency constitute rule as

defined by Section 1-70 of the IAPA. The System also anticipates

clarifying by rule as necessary to implement new legislation (P.A. 99-682)

that allows an opportunity for annuitants who received a refund to

reestablish rights to survivor benefits.

B) Statutory Authority: Implementing and authorized by Article 16 of the

Illinois Pension Code [40 ILCS 5/Art. 16].

C) Scheduled meeting/hearing dates: There is no proposed schedule of dates

for meetings/hearings at this time.

D) Date agency anticipates First Notice: Unknown.

E) Effect on small businesses, small municipalities or not for profit

corporations: None


Sandy Cochran

Teachers' Retirement System

Office of Legal Counsel

P.O. Box 19253

2815 West Washington

Springfield IL 62794-9253

217/753-0375



17

PROCLAMATIONS

2016-321

Linda Yu Day

WHEREAS, Linda Yu, veteran television news anchor and reporter at ABC 7, has been one of

Chicago’s most respected broadcast journalists for nearly four decades; and,

WHEREAS, Linda will retire from broadcast journalism on Wednesday, November 23, 2016,

after more than 40 years in the television news industry; and,

WHEREAS, Linda began her television career in 1974 as a writer and producer in Los Angeles;

she also worked in Portland, Oregon, and San Francisco before moving to Chicago in 1979,

becoming one of the city’s first Asian-American broadcast journalists; and,

WHEREAS, Linda joined the ABC 7 news team in 1984 as co-anchor of the station's 4 p.m.

newscast, leading that newscast to become the most-watched in its time slot for the past 32 years;

and,

WHEREAS, Linda’s dedication to broadcast news excellence earned her five local Emmy

Awards; in 2005, she was inducted into the prestigious "Silver Circle”, recognizing significant

contributions to Chicago broadcasting; and,

WHEREAS, Linda recently published her first book, “Lessons I Learned in America”, which

was published in Chinese as a guide to help young Chinese women in the global workplace; and,

WHEREAS, in her retirement, Linda plans to write another book and spend more time with her

children, Francesca and Bryan;

THEREFORE, I, Bruce Rauner, Governor of the State of Illinois, do hereby proclaim

Wednesday, November 23, 2016, LINDA YU DAY in Illinois, in honor and recognition of

Linda’s many years of dedicated service to the people of Chicago and Illinois.

Issued by the Governor November 16, 2016

Filed by the Secretary of State December 28, 2016

2016-322

Enrolled Agent Week


17

PROCLAMATIONS

WHEREAS, the enrolled agent profession dates back to 1884 when, after questionable claims

were presented for Civil War losses, Congress acted to regulate persons who represented citizens

in their dealings with the U.S. Treasury Department; and,

WHEREAS, enrolled agents have been an important advocate for both Illinois taxpayers and for

the Illinois Department of Revenue; and,

WHEREAS, enrolled agents assist taxpayers with issues ranging from the annual compliance

filing of their tax return to more complex issues of audits, liens, levies, appeals and collections;

and,

WHEREAS, their knowledge, professionalism, and integrity make the enrolled agent "America's

Tax Expert®";

THEREFORE, I, Bruce Rauner, Governor of the State of Illinois, do hereby proclaim February

1-7, 2017, as ENROLLED AGENT WEEK in Illinois, and recognize the Illinois Society of

Enrolled Agents (IlSEA) and its members for their role in Illinois’ tax return preparation

industry.



2016-323

Mentoring Month

WHEREAS, every day in Illinois, mentors help youth in communities across the state face the

challenges of growing into adulthood; and,

WHEREAS, research shows that young people matched with a caring adult through a quality

mentoring program are 52 percent less likely to skip school, 46 percent less likely to use illegal

drugs, 27 percent less likely to start drinking, and are more likely to have positive relationships

with adults and to make positive plans for their future; and,

WHEREAS, more than 400 active mentoring organizations currently operate in Illinois, and tens

of thousands of youth in our state already have the benefit of caring supportive volunteer

mentors; and,


17

PROCLAMATIONS

WHEREAS, the Illinois Mentoring Partnership, the Serve Illinois Commission, and the Illinois

Senior Corps branch of National Service are all committed to improving the lives of children

through various mentorship resources and programs; and,

WHEREAS, fewer than 3 percent of youth in Illinois are currently served in a mentoring

program, and many children in Illinois desperately need the support of a quality mentor; and,

WHEREAS, mentors can commit as little as one hour a week and still make a significant

positive impact on the outcome of a child’s life; and,

WHEREAS, the month of January is celebrated as Mentoring Month across the nation in an

effort to decrease the number of youth who do not have a trusted mentor in their lives;

THEREFORE, I, Bruce Rauner, Governor of the State of Illinois, do hereby proclaim January

2017 as MENTORING MONTH in Illinois, and urge all Illinoisans to recognize the important

work that mentors do and support these mentors in their efforts to help guide the next generation.



2016-324

Monarch Butterfly Month

WHEREAS, the monarch butterfly is the official state insect of the State of Illinois; and,

WHEREAS, monarch butterflies, as well as other pollinating species such as bees and bats, help

move pollen from one plant to another, fertilizing flowers and making it possible for plants to

produce food needed to feed people and wildlife; and,

WHEREAS, the population of the monarch butterfly has declined at an alarming rate, a decrease

of more than 90 percent in the past 20 years; Illinois has been designated as a high-priority area

for monarch conservation by the U.S. Fish and Wildlife Service and the U.S. Department of

Agriculture’s Natural Resources Conservation Service; and,

WHEREAS, the monarch was identified as a Species of Greatest Conservation Need in the most

recent Illinois Wildlife Action Plan, created by the Illinois Department of Natural Resources

(IDNR); and,


17

PROCLAMATIONS

WHEREAS, many factors contributed to the decline of monarchs and other pollinators, such as

habitat loss, pesticides, and climate change; and,

WHEREAS, the State of Illinois has already taken several steps to educate citizens on preserving

and restoring the monarch population: the IDNR coordinated an Illinois Monarch Butterfly

Summit on September 9, 2016; monarchs and native bees were highlighted in the Division of

Education tent at the 2016 Illinois State Fair; and an education webpage and nine video podcasts

are posted on the IDNR website; and,

WHEREAS, every citizen has the ability to make a difference and restore the monarch butterfly

population by planting milkweed, reducing pesticides and herbicides, educating others,

establishing monarch waystations, and supporting other monarch conservation efforts;

THEREFORE, I, Bruce Rauner, Governor of the State of Illinois, do hereby proclaim May 2017

as MONARCH BUTTERFLY MONTH in Illinois, and encourage all Illinoisans to value and

recognize the importance of the monarch butterfly and help restore the monarch butterfly

population.



2016-325

University of Illinois Day

WHEREAS, the University of Illinois is a world-class public research university system that

belongs to the people of Illinois and includes one of the original 37 public land-grant institutions;

and,

WHEREAS, during the past 150 years, nearly 900,000 people have graduated from one of the

three University of Illinois institutions in Urbana-Champaign, Chicago, and Springfield; and,

WHEREAS, University of Illinois alumni, benefiting from their transformative learning

experiences in and out of the classroom, have traversed the nation and the world to make

significant societal impact; and,

WHEREAS, the University of Illinois plays a transformational role in the economic development

of the State of Illinois through innovations in engineering, the sciences, medicine, humanities,

business, law, the social sciences, arts, media, and much more; and,


17

PROCLAMATIONS

WHEREAS, the University of Illinois has a brilliant legacy and attracts world-class faculty and

students from Illinois, across the nation, and around the globe as one of the State’s premier

educators; and,

WHEREAS, the University of Illinois serves society by creating knowledge, disseminating it,

and putting it to work on a large scale with excellence;


28, 2017, as UNIVERSITY OF ILLINOIS DAY in Illinois, and encourage Illinoisans to

celebrate 2017 as the Sesquicentennial of one of the State’s leading institutions of higher

learning, the University of Illinois.



2016-326

Career and Technical Education Month

WHEREAS, a commitment to career and technical education helps ensure Illinois has a strong,

well-trained workforce that enhances productivity in business and industry, and solidifies the

state’s leadership in national and international marketplaces; and,

WHEREAS, providing citizens with career and technical education stimulates growth of

businesses and industries by preparing workers for the occupations forecasted to experience the

fastest growth in the next decade; and,

WHEREAS, citizens benefit from career and technical education because it enables individuals

to pursue satisfying careers suited to personal skills and interests; provides the technical

knowledge necessary for professional success; and teaches leadership skills that are useful on the

job, at home, and in the community; and,

WHEREAS, for more than 80 years, the Illinois Association for Career and Technical Education

(IACTE), the only association in Illinois dedicated to the support and service of career and

technical educators, has been committed to the betterment of the profession, and to providing

visibility and assistance for career and technical education; and,

WHEREAS, each year in the month of February, the IACTE celebrates Career and Technical

Education Month to promote the advancement of career and technical education professions in

the state. The theme for 2017’s month-long celebration is “Celebrate Today, Own Tomorrow!”;


17

PROCLAMATIONS


2017 as CAREER AND TECHNICAL EDUCATION MONTH in Illinois, and encourage all

citizens to become familiar with the services and benefits offered by career and technical

education programs in our state, and to support and participate in these programs to enhance

individual work skills and productivity.



2016-327

Flag Lowering Order for PFC Tyler Iubelt

WHEREAS, all citizens owe a tremendous debt of gratitude to the men and women of the armed

forces who selflessly serve to protect our lives and keep our families safe; and,

WHEREAS, every day these men and women face great risks and put their safety on the line to

perform their duties; and,

WHEREAS, on Saturday, November 12, 2016, 20-year-old United States Army Private First

Class Tyler R. Iubelt of Du Quoin, Illinois, died of injuries sustained from an improvised

explosive device at Bagram Air Force Base in Parwan Province, Afghanistan, while in support of

Operation Freedom's Sentinel; and,

WHEREAS, Private First Class Iubelt was sworn into the U.S. Army on October 21, 2015, and

assigned to Combat Support, Headquarters and Headquarters Company, 1st Special Troops

Battalion, 1st Sustainment Brigade, 1st Cavalry Division, Fort Hood, Texas; and,

WHEREAS, throughout his career as a proud member of the United States Army, Private First

Class Tyler R. Iubelt represented the State of Illinois admirably; and,

WHEREAS, Private First Class Iubelt is survived by his wife Shelby, daughter Violet, and many

family members and friends;

THEREFORE, I, Bruce Rauner, Governor of the State of Illinois, do hereby order all persons or

entities governed by the Illinois Flag Display Act to fly their flags at half-staff starting from

sunrise on Monday, November 21, 2016, until sunset on Wednesday, November 23, 2016, in

honor and remembrance of U.S. Army Private First Class Tyler R. Iubelt whose selfless service

and sacrifice is an inspiration to the residents of the Land of Lincoln.


17

PROCLAMATIONS



2016-328

Toys for Tots Day

WHEREAS, founded in 1947, the United States Marine Corps Reserve Toys for Tots program

collects new, unwrapped toys each year and distributes those toys as Christmas gifts to less

fortunate children; and,

WHEREAS, the United States Marine Corps Reserve coordinates the national program, working

with community groups to customize each Toys for Tots campaign to local needs; and,

WHEREAS, since it began in 1978, the Chicagoland Toys for Tots Motorcycle Parade has

grown into an annual tradition involving thousands of motorcyclists, each donating a toy for the

Toys for Tots program; and,

WHEREAS, the Chicagoland Toys for Tots Motorcycle Parade involves thousands of donors,

volunteers, corporate sponsors, and small businesses, all giving their time, money, and energy to

make the holiday season more joyful for families in need; and,

WHEREAS, on Sunday, December 4, 2016, these volunteers and motorcyclists will join together

for the 39th annual Chicagoland Toys for Tots Motorcycle Parade;

THEREFORE, I, Bruce Rauner, Governor of the State of Illinois, do hereby proclaim Sunday,

December 4, 2016, TOYS FOR TOTS DAY in Illinois in celebration of the 39th annual

Chicagoland Toys for Tots Motorcycle Parade.



2016-329

Cervical Cancer Awareness Month

WHEREAS, January is recognized nationally as Cervical Cancer Awareness Month, an

observance that promotes education about cervical cancer causes, screenings, and treatments;

and,


17

PROCLAMATIONS

WHEREAS, an estimated 12,990 women were diagnosed with cervical cancer in 2016 in the

United States, and 4,120 women were estimated to have lost their lives to cervical cancer in 2016

in the U.S.; and,

WHEREAS, the Illinois Breast and Cervical Cancer Program offers free breast exams,

mammograms, pelvic exams, Pap tests, diagnostic services, and referral to treatment options to

eligible uninsured and underinsured women; and,

WHEREAS, IBCCP identified 112 cervical abnormalities with five identified cervical cancers in

FY 2016; during the past five years, IBCCP has identified 128 cases of cervical cancer; and,

WHEREAS, with routine screening and follow-up, cervical cancer is highly preventable; and,

WHEREAS, early detection through routine screening can significantly increase chances of

survival; and,

WHEREAS, throughout January, public and private organizations, as well as state and local

governments around the country, will promote education about cervical cancer causes,

screenings, and treatments;


2017 as CERVICAL CANCER AWARENESS MONTH in Illinois, and encourage all women

to receive regular screenings and invite each citizen to join the continued fight against cervical

cancer.

Issued by the Governor December 14, 2016


2016-330

Crime Stoppers of Lake County Month

WHEREAS, Crime Stoppers of Lake County was formed in 1983 and is a community program

comprised of concerned citizens who work closely with police authorities, the news media, and

the public in the fight against crime in Lake County and surrounding communities; and,

WHEREAS, Crime Stoppers combats local crime by offering cash rewards to anyone who

provides information that leads to the arrest of felony crime offenders or the capture of felony


17

PROCLAMATIONS

fugitives. Informants always remain anonymous, and cash rewards are funded primarily by

private contributions; and,

WHEREAS, thanks to Crime Stoppers, there have been more than 6,665 criminal arrests

throughout Lake County, Northern Illinois, and Wisconsin since the program’s inception in

1983. Altogether, more than $29 million worth of contraband and stolen property has been

seized; and,

WHEREAS, the success of Crime Stoppers would not be possible without the support of

everyone in the community. Consequently, Crime Stoppers also promotes the importance of

reporting suspicious behavior and criminal activity; and,

WHEREAS, to support their mission, Crime Stoppers of Lake County raises money and

sponsors events designed to raise awareness during the month of January;


2017 as CRIME STOPPERS OF LAKE COUNTY MONTH in Illinois, in recognition of their

successful program, and encourage all citizens to help keep their communities safe and free of

crime.



2016-331

Illinois Society of Association Executives Day

WHEREAS, the mission of the Illinois Society of Association Executives (ISAE) is to advocate

for associations and be the primary statewide professional development resource for association

staff members; and,

WHEREAS, associations provide a vital communication and education link for individuals,

organizations, government, and the general population on topics unique to associations; and,

WHEREAS, the ISAE represents CEOs and executives from more than 150 associations

throughout Illinois that generate more than $100 million each year for the State’s economy; and,

WHEREAS, the ISAE’s member associations employ more than 2,300 people in various

capacities; and,


17

PROCLAMATIONS

WHEREAS, the ISAE provides educational, experiential, and advocacy resources to its

members; and,

WHEREAS, the ISAE’s Annual Convention & Trade Show brings together association

executives and industry partners/suppliers with the goal to network and educate in one location;

and,

WHEREAS, the ISAE will hold its 55th Annual Convention & Trade Show in Springfield,

Illinois, on January 26, 2017, to celebrate and recognize contributions of associations and their

employees;


26, 2017, as ILLINOIS SOCIETY OF ASSOCIATION EXECUTIVES DAY in Illinois, in

support of our associations and the contributions their employees make to Illinois’ communities.



2016-332

"Get the Lead Out" Hackathon Day

WHEREAS, in 2015, 500,000 children in the United States were estimated to have blood lead

levels greater than the intervention level recommended by the U.S. Centers for Disease Control

and Prevention (CDC); and,

WHEREAS, Illinois identified more than 20,000 children with confirmed blood lead levels

greater than the intervention level recommended by the CDC; and,

WHEREAS, the major source of lead exposure among Illinois children continues to be lead-

contaminated dust and lead-based paint banned in 1978; and,

WHEREAS, Governor Rauner and the Illinois Children’s Cabinet have prioritized education and

the reduction of lead poisoning as one of three major priorities for Illinois; and,

WHEREAS, the Illinois Mathematics and Science Academy endeavors to work on initiatives

that advance the human condition and improve the quality of life for residents of Illinois and

beyond; and,


17

PROCLAMATIONS

WHEREAS, the Illinois Mathematics and Science Academy is hosting the “Get the Lead Out”

Hackathon where teams of Illinois high school students develop plans to increase the number of

Illinois children tested for lead poisoning and to reach more families through targeted

communications about prevention;


13, 2017, as “GET THE LEAD OUT” HACKATHON DAY in Illinois in honor of the strides

taken by the students and mentors, and encourage all citizens to recognize the prevalence of lead

poisoning in our society and to join in working toward eradication of this preventable condition.



2016-333

Martin Luther King, Jr. Day of Service

WHEREAS, Dr. Martin Luther King, Jr. devoted his life to the advancement of civil rights and

public service. He believed in a nation of freedom and justice for all, and challenged all citizens

to help build a more perfect union and live up to the purpose and potential of America; and,

WHEREAS, Dr. King recognized that everyone can be great because everyone can serve, and

during his lifetime encouraged all Americans to serve their neighbors and their communities;

and,

WHEREAS, in 1973, the State of Illinois became the first state to make Dr. King’s birthday a

state holiday, and the citizens of Illinois honor Dr. King’s legacy each year on the third Monday

in January, this year marking the 31st anniversary of the nationwide observance of the Martin

Luther King, Jr. federal holiday; and,

WHEREAS, in 1994, Congress initiated the King Day of Service, a nationwide effort to

transform the federal holiday honoring Dr. Martin Luther King, Jr. into a day of community

service, grounded in Dr. King’s teachings, that helps solve social problems while focusing on

bringing people together and breaking down the barriers that have divided us as a nation; and,

WHEREAS, thousands of Illinois residents use Martin Luther King, Jr. Day as a day on, not a

day off, by spending it performing community service each year; and,


17

PROCLAMATIONS

WHEREAS, hundreds of thousands of volunteers in cities and towns across the nation participate

in King Day service projects, in all 50 states, the District of Columbia, Guam, and Puerto Rico;

and,

WHEREAS, non-profit organizations, volunteer managers, AmeriCorps and Senior Corps

members across the nation have organized hundreds of projects for volunteers to engage in

service, honoring the goals of the King Day of Service; and,

WHEREAS, the King Day of Service, which falls on January 16th this year, is a time for the

people of Illinois to recognize Dr. King’s teachings on advancing equality and opportunity for all

by contributing their own time and talents in a day of service; and,

WHEREAS, the King Day of Service is an excellent opportunity to take the first step in making

service a regular activity in the lives of Illinois residents. It is an important day to encourage each

citizen to take part in service that will benefit communities and neighborhoods, and provide a

fitting memorial to the life of Martin Luther King, Jr.;

THEREFORE, I, Bruce Rauner, Governor of the State of Illinois, do hereby proclaim Monday,

January 16, 2017, as MARTIN LUTHER KING, JR. DAY OF SERVICE in the State of

Illinois, and urge our citizens to honor the memory of Dr. King, to put his teachings into action

by participating in the King Day of Service, and to find ways to give back to their communities.



2016-334

Chicago Business Opportunity Days

WHEREAS, the 50th Annual Chicago Business Opportunity Fair (CBOF) will be held April 20-

21, 2017, at the Hyatt Regency Chicago; and,

WHEREAS, the CBOF provides minority suppliers and purchasing personnel from major buying

organizations the opportunity to meet and exchange information about mutual buying and selling

needs; and,

WHEREAS, the 50th anniversary of the CBOF assists in advancing the year-round efforts of the

Chicago Minority Business Development Council, Inc., an organization devoted to stimulating

minority business development and purchasing in Chicago and throughout the State of Illinois;

and,


17

PROCLAMATIONS

WHEREAS, the CBOF Minority Business Enterprise Input Committee (MBEIC) Awards

Reception will take place on April 20th to recognize honorees and advocates who support

supplier diversity on both local and national levels;

THEREFORE, I, Bruce Rauner, Governor of the State of Illinois, do hereby proclaim April 20-

21, 2017, as CHICAGO BUSINESS OPPORTUNITY DAYS in Illinois, in recognition of the

50th anniversary of the Chicago Business Opportunity Fair.



2016-335

Radon Action Month

WHEREAS, radon is a colorless, odorless, tasteless radioactive gas that is released from the

decay of uranium in soil and can seep into homes and buildings to dangerous levels; and,

WHEREAS, the Centers for Disease Control and Prevention recognizes radon as the leading

cause of home-related deaths in the United States; and,

WHEREAS, the Surgeon General of the United States issued a national health advisory warning

Americans that indoor radon is the second-leading cause of lung cancer in the nation; and,

WHEREAS, according to the United States Environmental Protection Agency, more than 21,000

lung cancer deaths every year are related to radon, with as many as 1,160 men and women in

Illinois at risk of developing radon-related lung cancer every year; and,

WHEREAS, this health risk is preventable as radon can be detected with a simple test and fixed

through well-established venting techniques; and,

WHEREAS, the Illinois Radon Awareness Act requires sellers to provide anyone buying a

home, condominium, or other residential property in Illinois with information about indoor radon

exposure and its link to lung cancer; and,

WHEREAS, the Illinois Radon Resistant Construction Act requires all one- and two-family

dwellings to be built using techniques to reduce home radon concentrations; and,


17

PROCLAMATIONS

WHEREAS, the Illinois Emergency Management Agency and the American Lung Association

partner to provide radon information and guidance to families about home radon tests and will

join organizations throughout the United State in January to raise awareness about the health

risks posed by radon during January 2017;


2017 as RADON ACTION MONTH in Illinois and urge all residents to test their homes for

radon and reduce their risk of developing lung cancer by taking actions to lower radon levels in

their homes when necessary.



ILLINOIS ADMINISTRATIVE CODE Issue Index - With Effective Dates

Rules acted upon in Volume 41, Issue 2 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 80 - 310 ......................... 213 2 - 2676 ......................... 279 2 - 2676 ......................... 289 50 - 651 ......................... 312 50 - 653 ......................... 332 50 - 655 ......................... 340 ADOPTED RULES 83 - 500 1/1/2017 ......................... 349 83 - 501 12/29/2016 ......................... 351 86 - 3000 12/29/2016 ......................... 380 89 - 112 1/1/2017 ......................... 395 92 - 1030 12/29/2016 ......................... 438 14 - 130 12/28/2016 ......................... 451 92 - 1001 12/28/2016 ......................... 473 EXECUTIVE ORDERS AND PROCLAMATIONS 16 - 321 11/16/2016 ......................... 617 16 - 322 11/17/2016 ......................... 617 16 - 323 11/17/2016 ......................... 618 16 - 324 11/17/2016 ......................... 619 16 - 325 11/17/2016 ......................... 620 16 - 326 11/18/2016 ......................... 621 16 - 327 11/18/2016 ......................... 622 16 - 328 11/28/2016 ......................... 623 16 - 329 12/14/2016 ......................... 623 16 - 330 12/14/2016 ......................... 624 16 - 331 12/14/2016 ......................... 625 16 - 332 12/19/2016 ......................... 626 16 - 333 12/19/2016 ......................... 627 16 - 334 12/20/2016 ......................... 628 16 - 335 12/23/2016 ......................... 629 REGULATORY AGENDA 29 - 301 ......................... 528 68 - 1175 ......................... 548 47 - 380 ......................... 559 56 - 5300 ......................... 565 59 - 115 ......................... 566 20 - 2460 ......................... 591 74 - 735 ......................... 592 11 - 200 ......................... 594

86 - 100 ......................... 605 80 - 1650 ......................... 616

ORDER FORM

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